Securities with Increased Margin Requirements - TD Canada Trust [PDF]

3mv Energy Corp. TMV'H. T. 25%. 49 North Resources Inc. FNR. T. 25%. 500.com Ltd Cl-a Spn/adr. WBAI. US. 25%. 58.com Inc
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Idea Transcript

Securities With Increased Margin Requirements as of March 2, 2018

The loan values of the following securities have been reduced. The following loan values are subject to change at any time, without notice. Please note that there is no loan value if the stock is below $3.00. Security Name 01 Communique Lab Inc 1347 Property Insurance 180 Degree Capital Corp 1-800-flowers.com Inc-a1st Constitution Bancorp 21vianet Group Inc-adr 22nd Century Group Inc 2u Inc 3d Signatures Inc 3d Systems Corp 49 North Resources Inc 500.com Ltd Cl-a Spn/adr 58.com Inc Adr 5n Plus Inc 6d Global Technologies 8point3 Energy Prtns-a Lp A V Homes Inc A&w Rev Rylts Incm Fd T/u A.h. Belo Corp Ser-a A.p. Moeller-maersk A/s-a A.p. Moeller-maersk A/s-b A10 Networks Inc Aac Holdings Inc Aaron's Inc Ab Svensk Exportk-biofuel Ab Svensk Exportk-grains Abcann Global Corp Abcourt Mines Inc Cl B Abengoa Sa-b Eur 0.0002 Abeona Therapeutics Inc Abercrombie & Fitch Co-aAberdeen Asia-pacific Inc Aberdeen Chile Fd Inc Aberdeen E/m Small Co Opp Aberdeen Incm Cred Strat Aberdeen Intl Inc Aberdeen Israel Fund Aberdeen Latin Amer Eqty Abertis Infraestructuras Ability Inc Abiomed Inc Abitibi Royalties Inc Ablynx Nv Sp/adr Abraxas Petroleum Corp Absolute Software Corp Ac Immune Sa Acacia Resrch-acacia Tech Acadia Pharmaceutical Inc Acadian Timber Corp Acasta Enterprises Inc-b Acasti Pharma Inc Cl-a Accelerate Diagnostics Acceleron Pharma Inc Acceleware Ltd Acciona Sa Eup 1 Accor Sa Accord Financial Corp Accuray Inc Acelrx Pharmaceuticals Acer Therapeutics Inc Achaogen Inc Achieve Life Sciences Inc Achillion Pharmaceuticals Ackermans & Van Haaren

Symbol

Major Market

ONE PIH TURN FLWS FCCY VNET XXII TWOU DXD DDD FNR WBAI WUBA VNP SIXD CAFD AVHI AW.UN AHC AMKAF AMKBF ATEN AAC AAN FUE GRU ABCN ABI AGOAF ABEO ANF FAP CH ABE ACP AAB ISL LAQ ABFOF ABIL ABMD RZZ ABLX AXAS ABT ACIU ACTG ACAD ADN AEF ACST AXDX XLRN AXE ACXIF ACRFF ACD ARAY ACRX ACER AKAO ACHV ACHN AVHNF

T US US US US US US US T US T US US T US US US T US US US US US US US US T T US US US T US US US T US US US US US T US US T US US US T T T US US T US US T US US US US US US US

Loan Value (No Loan Value below $3.00)

25% 25% 25% 50% 25% 50% 50% 50% 0% 50% 25% 25% 50% 25% 0% 50% 50% 50% 25% 25% 25% 25% 25% 50% 0% 0% 25% 25% 0% 25% 50% 50% 25% 25% 25% 25% 25% 25% 25% 25% 50% 25% 50% 50% 25% 25% 25% 25% 25% 0% 0% 50% 25% 25% 25% 25% 25% 50% 0% 0% 25% 0% 25% 25%

Security Name Aclaris Therapeutics Inc Acm Research Inc Cl-a Acme Resources Corp Acme United Corp Acnb Corp Acorda Therapeutics Inc Acorn Energy Inc Acorn Intl Inc Sp/adr-new Acs Actividades De Const Actelion Ltd Chf .5 Actinium Pharamaceuticals Action Energy Inc Active Weigth Rep Pol Etf Active Wgt Fds Us Tax Etf Actua Corp Acuityads Holdings Inc Acura Pharmaceuticals Inc Acushnet Holdings Corp Adamas Pharmaceuticals Adamera Minerals Corp Adamis Pharmaceut Crp-new Adams Diversified Eqty Fd Adams Natural Res Fund Adams Res & Energy Inc Adaptimmune Therap Sp/adr Addus Homecare Corp Addvantage Tech Group Inc Adecco Group Ag Adesto Technologies Corp Adex Mining Inc Adf Group Inc Sv Adidas Ag Adma Biologics Inc Admiral Group Plc Adomani Inc Adtalem Global Education Aduro Biotech Inc Advanced Accel App Sp/adr Advanced Emissions Solns Advanced Explorations Inc Advanced Proteome Thrptcs Advansix Inc Advantage Cdn H/yld-a T/u Advantage Insurance Inc Advantest Corp Advaxis Inc Advectus Life Sciences Advent Claymore Glb T/ret Advent Clym Cv Sec&fd-ii Advent Clym Cvt Sec&in Fd Adverum Biotechnologies Advisors Peritus High Yld Advisorsh Star Gl Buy Etf Adya Inc Aegean Marine Petro Ntwrk Aeglea Biotherapeutics Aegon Nv 8% Pfd Aehr Test Systems Aemetis Inc Aeon Co Ltd Jpn 50 Aerie Pharmaceuticals Inc Aerocentury Corp Aeterna Zentaris Inc Aethlon Medical Inc Aevi Genomic Medicine Inc Affimed N.v. Africa Oil Corp African Gold Group Inc African Queen Mines Ltd Ag Mortgage Investment Tr Ag&e Holdings Inc Ageas Sa/nv Agellan Commercial Reit Agenus Inc Agile Therapeutics Inc Agility Health Inc-vtg

Symbol

Major Market

ACRS ACMR ACY'H ACU ACNB ACOR ACFN ATV ACSAF ALIOF ATNM AECFF GOP TAXR ACTA AT ACUR GOLF ADMS ADZ ADMP ADX PEO AE ADAP ADUS AEY AHEXF IOTS ADE DRX ADDDF ADMA AMIGF ADOM ATGE ADRO AAAP ADES ADEXF APC ASIX AHY.UN AVI ADTTF ADXS AVXSF LCM AGC AVK ADVM HYLD VEGA ADYA ANW AGLE AEK AEHR AMTX AONNF AERI ACY AEZS AEMD GNMX AFMD AOI AGG AQ MITT AGNU AGESF ACR.UN AGEN AGRX AHI

US US T US US US US US US US US US US US US T US US US T US US US US US US US US US T T US US US US US US US US US T US T US US US US US US US US US US T US US US US US US US US T US US US T T T US US US T US US T

Loan Value (No Loan Value below $3.00)

25% 25% 0% 25% 25% 25% 25% 0% 25% 0% 0% 0% 0% 0% 50% 25% 0% 50% 25% 25% 0% 25% 25% 25% 25% 50% 25% 25% 25% 25% 25% 25% 0% 25% 25% 50% 25% 50% 25% 25% 0% 50% 25% 25% 25% 0% 0% 25% 25% 25% 0% 25% 0% 25% 0% 0% 0% 25% 25% 25% 25% 25% 0% 25% 0% 0% 25% 25% 25% 50% 0% 25% 50% 25% 0% 25%

Security Name Agilysys Inc Agios Pharmaceuticals Inc Agjunction Inc Agria Corp Spn Adr Agrofresh Solutions Inc Aia Group Ltd Aileron Therapeutics Inc Aimia Inc Aimia Inc 6.25% Sr-3 Pfd Aimia Inc S-2 Cum F/r Pfd Aimia Inc Ser-1 Pfd Aimmune Therapeutics Inc Air Industries Group Air Liquide Eur 11 Air T Inc Airboss Of America Cp Airgain Inc Airiq Inc Airmedia Group Inc Sp/adr Aisin Seiki Co Ltd Ajinomoto Co Inc Ak Stl Hldg Corp Akari Therapeutics Adr Akcea Therapeutics Inc Akebia Therapeutics Inc Akers Biosciences Inc Akita Drilling Ltd Cl B Akita Drilling Ltd-a Nv Akorn Inc Akoustis Technologies Inc Akumin Inc Akzo Nobel Alabama Graphite Corp Alabama Power Co 5%-a Pfd Alacer Gold Corp Alamos Gold Inc Cl-a Alarm.com Holdings Inc Alaska Air Group Inc Alaska Communications Albireo Pharma Inc Alcentra Capital Corp Alder Biopharmaceuticals Alderon Iron Ore Corp Aldeyra Therapeutics Inc Aldridge Minerals Inc Alexandra Capital Corp Alexandria Minerals Corp Alexco Resources Corp Alexion Pharmaceuticals Alfa Laval Ab Pv Sek 10 Algold Resources Ltd Algoma Central Corp Alibaba Group Holding-adr Alico Inc Alignvest Acq Ii Cl-a Rvs Alimera Sciences Inc Alio Gold Inc Alj Regional Holdings Inc Alkali3 Resources Inc Alkermes Plc Allegheny Tech Incorp Allegiant Travel Co Allena Pharmaceuticals Alliance Hldgs Gp Lpu Alliance Mma Inc Alliance One Intl Inc-new Alliance Res Partners L.p Alliancebernstein Glb Fd Alliancebernstein Hld Lpu Allianz Se Allianzgi Convt & Incm Fd Allianzgi Cv&icm 2024 Tgt Allianzgi Cv&incm Fd Ii Allianzgi Divsf Incm&conv Allianzgi Eq&conv Incm Fd Allianzgi Nfg Dv Int&prem

Symbol

Major Market

AGYS AGIO AJX GRO AGFS AAIGF ALRN AIM AIM.C AIM.B AIM.A AIMT AIRI AIQUF AIRT BOS AIRG IQ AMCN ASEKF AJINF AKS AKTX AKCA AKBA AKER AKT'B AKT'A AKRX AKTS AKU'U AKZOF CSPG ALP.Q ASR AGI ALRM ALK ALSK ALBO ABDC ALDR IRON ALDX AGM AXC AZX AXR ALXN ALFVF ALG ALC BABA ALCO AQY'A ALIM ALO ALJJ ALK'H ALKS ATI ALGT ALNA AHGP AMMA AOI ARLP AWF AB ALIZF NCV CBH NCZ ACV NIE NFJ

US US T US US US US T T T T US US US US T US T US US US US US US US US T T US US T US T US T T US US US US US US T US T T T T US US T T US US T US T US T US US US US US US US US US US US US US US US US US

Loan Value (No Loan Value below $3.00)

50% 50% 25% 0% 25% 25% 0% 50% 50% 50% 50% 25% 25% 25% 25% 25% 25% 25% 0% 0% 25% 50% 0% 25% 25% 25% 25% 25% 50% 25% 25% 25% 25% 25% 25% 50% 50% 50% 25% 25% 25% 25% 25% 0% 25% 0% 25% 25% 50% 25% 25% 25% 50% 25% 0% 0% 25% 25% 0% 50% 50% 25% 0% 50% 25% 25% 50% 25% 50% 25% 25% 25% 25% 25% 25% 25%

Security Name Allied Cap 6.875% Notes Allied Healthcre Prod-new Allied Hotel Pptys Inc Allied Motion Techs Inc Alliqua Biomedical-new Allot Communications Ltd Allscripts Healthcare Sol Almonty Industries Inc Alnylam Pharmaceuticals I Alpha & Omega Semiconduct Alpha Pro Tech Alphaclone Alt Alpha Etf Alphatec Holdings Inc-new Alphinat Inc Alpine Global Dyn Div-new Alpine Global Premier Ppt Alpine Immune Sciences Alpine Total Dyn Div-new Alps Electric Co Ltd Alstom Alta Mesa Resources Inc-a Altai Res Inc Altamira Gold Corp Altan Rio Minerals Ltd Alteryx Inc Cl-a Altimmune Inc Altisource Asset Mgmt Crp Altisource Portfolio Soln Altitude Resources Inc Altius Minerals Corp Altrust Financial Svcs Alturas Minerals Corp Aluminum Corp Of China-h Aluminum Crp Of China-adr Alvopetro Energy Ltd Amada Co Ltd, Isehara Amag Pharmaceuticals Inc Amarc Resources Ltd Amarillo Gold Corp Amarin Corp Plc Adr A-mark Precious Metals Ambac Finl Group Inc-new Amber Road Inc Ambev Sa Adr Ambient Corp Amc Entertainment Hldg-a Amcon Distributing Co Amcor Ltd - Ord Amec Foster Wheeler Plc Amedica Corp-new Amedisys Inc Amer First Multifamily Lp Amer Shared Hosp Svcs Inc Ameresco Inc Cl-a Ameri Holdings Inc American Axle & Mfg Hldgs American Cap Snr Floating American Caresource Hldgs American Century Dvsf Etf American Century Stx Etf American Core Sec Div T/u American Creek Res Ltd American Cumo Mining Corp American Eagle Outfit American Electric Techs American Lorain Corp American Manganese Inc American Midstream Lpu American National Bankshr American Outdoor Brands American Public Educ Inc American Realty Investors American River Bankshares American Software Cl -aAmerican Spectrm Rlty American Superconduct-new

Symbol

Major Market

AFC AHPI AHP AMOT ALQA ALLT MDRX AII ALNY AOSL APT ALFA ATEC NPA AGD AWP ALPN AOD APELF AOMFF AMR ATI ALTA AMO AYX ALT AAMC ASPS ALI ALS ATFS ALT ALMMF ACH ALV AMDWF AMAG AHR AGC AMRN AMRK AMBC AMBR ABEV AMBTQ AMC DIT AMCRF AMCBF AMDA AMED ATAX AMS AMRC AMRH AXL ACSF GNOW KORP VALQ ACZ.UN AMK MLY AEO AETI ALN AMY AMID AMNB AOBC APEI ARL AMRB AMSWA AQQSQ AMSC

US US T US US US US T US US US US US T US US US US US US US T T T US US US US T T US T US US T US US T T US US US US US US US US US US US US US US US US US US US US US T T T US US US T US US US US US US US US US

Loan Value (No Loan Value below $3.00)

0% 25% 25% 50% 25% 25% 25% 25% 50% 50% 25% 0% 25% 25% 25% 25% 0% 25% 25% 0% 50% 25% 0% 25% 50% 0% 0% 25% 25% 50% 0% 25% 0% 50% 25% 25% 25% 25% 25% 25% 25% 0% 25% 0% 25% 50% 25% 25% 0% 25% 50% 25% 25% 25% 25% 50% 25% 25% 0% 0% 25% 25% 25% 50% 25% 0% 25% 25% 50% 50% 50% 25% 25% 50% 25% 25%

Security Name American Vanguard Corp America's Car-mart Inc Americas Silver Corp Amerigo Resources Ltd Ameris Bancorp Amerisafe Inc Ameriserv Fin Cap I 8.45% Ameriserv Financial Inc Ames National Corp Amg Bioenergy Res Hldgs Amicus Therapeutics Inc Amira Nature Foods Ltd Amp Limited Ampal-american Israel Crp Ampco-pittsburgh Corp Amphastar Pharmaceuticals Ampio Pharmaceuticals Inc Amplify Transfrm Data Etf Ampliphi Biosciences-new Amrep Corporation Amseco Exploration Ltd Amtech Systems Inc Amtrust Fin Svc 7.25% Nts Amtrust Finl Svc 7.5% Pfd Amtrust Finl Svcs Inc Amyris Inc-new Anadarko Petroleum Corp Analytixinsight Inc Anaptysbio Inc Anavex Life Sciences Corp Anchor Bancorp Anconia Resources Corp Andatee China Marine Fuel Anderson's Inc (the) Andina Acquisition Crp Ii Andrew Peller Ltd-a Nv Andrew Peller Ltd-b Vtg Anfield Energy Inc Angi Homeservices Inc-a Angkor Gold Corp Anglo Amer Plc Usd0.54945 Anglo Pacific Grp Plc Anglogold Ashanti Ltd Adr Ani Pharmaceuticals Inc Annaly Cap Mgmt-g 6.5% Pf Annidis Corp Ansaldo Sts Spa Antares Pharma Inc Antero Midstream Gp Lp Antero Midstream Prtns Lp Antero Resources Corp Anterra Energy Inc Cl-a Anthera Pharmaceutic-new Antibe Therapeutics Inc Antioquia Gold Inc Antofagasta Hldgs Plc Antrim Energy Inc Anworth Mortgage Asset C Aoxing Pharma Co Inc Apa Group Stapled Securty Apellis Pharmaceuticals Aperam Sa Aphria Inc Apollo Coml Real Est Fnc Apollo Endosurgery Inc Apollo Investment Corp Apollo Medical Hldgs Inc Apollo Senior Flt Rate Apollo Tactical Income Fd Appliance Recycling Ctr Applied Dna Svcs Inc Applied Genetic Techs Crp Applied Optoelectronics Approach Res Inc Apptio Inc Cl-a Apricus Biosciences-new

Symbol

Major Market

AVD CRMT USA ARG ABCB AMSF ASRVP ASRV ATLO ABG'H FOLD ANFI AMLTF AMPLQ AP AMPH AMPE BLOK APHB AXR AEL'H ASYS AFSS AFST AFSI AMRS APC ALY ANAB AVXL ANCB ARA AMCF ANDE ANDA ADW'A ADW'B AEC ANGI ANK AAUKF APY AU ANIP ACMGP RHA ASDOF ATRS AMGP AM AR ATERF ANTH ATE AGD ANFGF ATGYF ANH AOXG APAJF APLS APMSF APH ARI APEN AINV AMEH AFT AIF ARCI APDN AGTC AAOI AREX APTI APRI

US US T T US US US US US T US US US US US US US US US US T US US US US US US T US US US T US US US T T T US T US T US US US T US US US US US US US T T US US US US US US US T US US US US US US US US US US US US US

Loan Value (No Loan Value below $3.00)

50% 50% 25% 25% 50% 50% 25% 25% 25% 0% 25% 25% 25% 25% 25% 25% 0% 25% 0% 25% 25% 25% 0% 0% 50% 25% 50% 25% 25% 0% 25% 25% 0% 50% 0% 50% 50% 25% 50% 25% 25% 25% 0% 25% 0% 25% 0% 25% 50% 50% 50% 25% 0% 0% 25% 25% 25% 50% 0% 25% 25% 25% 25% 50% 25% 50% 25% 25% 25% 25% 25% 0% 50% 50% 50% 0%

Security Name Aptevo Therapeutics Inc Aptiv Plc Aptose Biosciences Inc Aq Corporation Aqua Metals Inc Aquabounty Technologies Aquaventure Holdings Ltd Aquila Resources Inc Aquinox Pharmaceuticals Aradigm Corp Aralez Pharmaceuticals Aratana Therapeutics Inc Arbor Rlty Tr 7.375% Pfd Arbor Rlty Tr Inc Arbutus Biopharma Corp Arc Document Solutns Inc Arc Group Worldwide Inc Arca Biopharma Inc-new Arcadia Biosciences-new Arcbest Corporation Arcelormittal Cl-a Arch Coal Inc Cl-a Arch Therapeutics Inc Archon Minerals Ltd Archrock Inc Archrock Partners Lp Arcimoto Inc Arcland Resources Inc Arcos Dorados Hldgs Inc-a Arcturus Therapeutics Ltd Ardelyx Inc Ardmore Shipping Corp Arena Minerals Inc Arena Pharmaceuticals-new Ares Commercial R/e Corp Ares Dynamic Credit Alloc Argenx Se Spons Ads Argex Titanium Inc Argo Group Us Inc 6.5% Pf Argonaut Gold Inc Argos Therapeutics-new Arian Resources Corp Arian Silver Corp Arianne Phosphate Inc Aritzia Inc Sub Vtg Arizona Mining Inc Ark Restaurants Corp Arkadia Cap Corp Arlington Asset 6.75% Nt Arlington Asset Invst-new Arlington Asst 6.625% Pfd Armada Mercantile Ltd Armco Metals Hldgs Inc Armo Biosciences Inc Armour Residentl Reit-new Arotech Corp Aroway Energy Inc Arqule Inc Array Biopharma Inc Arrow Dogs Of World Etf Arrow Dwa Country Rot Etf Arrow Financial Corp Arrowhead Pharmaceuticals Arsanis Inc Artesian Res Corp Cl A Artisan Prtnrs Asst Mgt-a Arts Way Mfg Inc Aryx Therapeutics Inc Asa Gold & Prec Mtls Ltd Asahi Group Holdings Ltd Asanko Gold Inc Asb Capital Inc Asbestos Corporation Ltd Ascena Retail Group Inc Ascendant Resources Inc Ascendis Pharma A/s Adr

Symbol

Major Market

APVO APTV APS AQCP AQMS AQB WAAS AQA AQXP ARDM ARZ PETX ABRN ABR ABUS ARC ARCW ABIO RKDA ARCB MT ARCH ARTH ACS AROC APLP FUV ADR'H ARCO ARCT ARDX ASC AN ARNA ACRE ARDC ARGX RGX AGIIL AR ARGS ARC'H ASLRF DAN ATZ AZ ARKR AKC'H AIC AI AIW ARM AMCO ARMO ARR ARTX ARW'H ARQL ARRY DOGS DWCR AROW ARWR ASNS ARTNA APAM ARTW ARYX ASA ASBRF AKG ASB'H AB'H ASNA ASND ASND

US US T US US US US T US US T US US US US US US US US US US US US T US US US T US US US US T US US US US T US T US T US T T T US T US US US T US US US US T US US US US US US US US US US US US US US T T US T US

Loan Value (No Loan Value below $3.00)

0% 70% 0% 0% 25% 0% 0% 25% 25% 0% 25% 0% 25% 50% 25% 25% 25% 0% 25% 50% 50% 50% 0% 25% 50% 50% 25% 0% 0% 25% 25% 50% 25% 25% 50% 25% 25% 25% 25% 50% 0% 25% 25% 25% 50% 0% 25% 0% 0% 50% 0% 0% 25% 25% 50% 25% 25% 0% 25% 0% 0% 25% 25% 0% 50% 50% 25% 25% 25% 25% 25% 0% 0% 50% 25% 25%

Security Name Ascent Capital Grp Inc-a Ascot Res Ltd Ashford Inc Asia Bio-chem Group Corp Asia Pacific Fund Inc Asia Pacific Wire&cable Asian Mineral Res Ltd Asian Tv Network Intl Ltd Aspen Aerogels Inc Aspen Group Inc Aspen Insurance Holdings Assembly Biosciences Inc Assicurazioni Generali Assoc Brit Foods 5 15/22p Assure Holdings Corp Assured Gtd 5.6% Pfd-new Assured Gtd 6.25% Pfd-new Assured Gtd 6.875% Pf-new Asta Funding Inc Astellas Pharma Inc Jpy50 Asterias Biotherapeutic-a Aston Bay Holdings Ltd Astronova Inc Astrotech Corp-new Asure Software Inc Asv Holdings Inc Asx Limited At Home Group Inc At&t Inc 5.35% Global Nts Ata Inc Adr Atac Resources Ltd Atacama Pacific Gold Corp Atalaya Mining Plc Atara Biotherapeutics Inc Athabasca Minerals Inc Athenahealth Inc Athenex Inc Athersys Inc Atico Mining Corp Atlantia Spa - Eur 1 Atlantic Acquisition Corp Atlantic Amern Corp Atlantic Coast Financial Atlantic Gold Corp Atlantic Indl Mnls Inc Atlantic Power Corp-new Atlantic Pwr 4.85%-s1 Pfd Atlantic Pwr Pfd Eq-s2 Pf Atlantic Pwr Pfd Eq-s3 Pf Atlanticus Holdings Corp Atlas Air Worldwd Hldg Atlas Energy Grp Llc Atlas Finl Hldgs 6.625%pf Atlas Finl Hldgs Inc-new Atlassian Corp Plc Cl-a Atlatsa Resources Corp Atmanco Inc Atomera Inc Atossa Genetics Inc-new Atrium Mortgage Invt Corp Attunity Ltd Atyr Pharma Inc Auburn National Bancorp Auckland Intl Airport-new Audentes Therapeutics Inc Audiocodes Ltd Augusta Industries Inc Aura Minerals Inc Aura Silver Resources Inc Aurania Resources Ltd Aurcana Corporation Aurcrest Gold Inc Aurinia Pharmaceuticals Aurion Res Ltd Auris Medical Holding Ag Aurora Cannabis Inc

Symbol

Major Market

ASCMA AOT AINC ABCXF APB APWC ASN SAT ASPN ASPU AHL ASMB ARZGF ASBFF IOM AGO.F AGO.E AGO.B ASFI ALPMF AST BAY ALOT ASTC ASUR ASV ASXFF HOME TBB ATAI ATC ATM AYM ATRA ABM ATHN ATNX ATHX ATY ATASF ATAC AAME ACFC AGB ANL'H ATP AZP.A AZP.B AZP.C ATLC AAWW ATLS AFHBL AFH TEAM ATL ATW ATOM ATOS AI ATTU LIFE AUBN ACKDF BOLD AUDC AAO ORA AUU ARU AUN AGO AUP AU EARS ACB

US T US US US US T T US US US US US US T US US US US US US T US US US US US US US US T T T US T US US US T US US US US T T T T T T US US US US US US T T US US T US US US US US US T T T T T T T T US T

Loan Value (No Loan Value below $3.00)

25% 25% 25% 0% 25% 25% 25% 0% 25% 25% 50% 25% 0% 25% 25% 0% 0% 25% 25% 25% 0% 25% 25% 25% 25% 25% 25% 50% 0% 0% 25% 25% 0% 25% 25% 50% 25% 0% 25% 0% 0% 25% 25% 25% 0% 25% 25% 25% 25% 25% 50% 25% 25% 25% 50% 25% 25% 25% 0% 25% 25% 0% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 0% 25%

Security Name Aurora Spine Corp Auryn Resources Inc Aust & Nzld Banking Group Austex Oil Ltd Austpro Energy Corp Australian Banc Incm-a Tu Australian Reit Icm-a T/u Autocanada Inc Autogrill Spa Itl Autohome Inc Cl-a Adr Automotive Finco Corp Automotive Ppty Reit T/u Autoweb Inc Avadel Pharma Plc Spn Adr Avalon Advanced Materials Avalon Hldgs Corp Cl-aAvante Logixx Inc Avaya Holdings Corp Avcorp Industries Inc Aveda Trans&engy Svcs Inc Avenira Limited Avenue Therapeutics Inc Aveo Pharmaceuticals Inc Avesoro Resources Inc Avexis Inc Avianca Holdings-adr Pfd Aviat Networks Inc-new Avid Bioservices Inc Avid Biosvcs S-e 10.5% Pf Avid Technology Inc Avidus Management Grp Inc Avigilon Corp Avinger Inc-new Avino Silver & Gold Mns Avista Hlthcr Pub Acq-a Aviva Plc Gb 25p Avon Prods Inc Avrupa Minerals Ltd Aware Inc Mass Axion Ventures Inc Axis Auto Finance Inc Axovant Sciences Ltd Axsome Therapeutics Inc Axt Inc Aytu Bioscience Inc Azabache Energy Inc Azarga Uranium Corp Cl-a Azimut Exploration Inc Azimut Holding Spa Azteca Gold Corp Azul S.a Spons Adr Azure Power Global Ltd Azurrx Biopharma Inc B Communications Ltd B Riley Finl Inc 7.5% Pfd B. Riley Finl Inc 7.25%nt B. Riley Finl Inc 7.5% Nt Babcock Intl Group Plc.60 Bacanora Minerals Ltd Bae Systems Plc Ord 2.5p Balchem Corp Baldwin & Lyons Cl-b Baldwin & Lyons Inc Cl-a Ballantyne Strong Inc Ballard Power Systems Inc Balmoral Resources Ltd Balto Resources Ltd Banc Of California Inc Banco Bilbao Vizcaya Argn Banco Bradesco S.a. Adr Banco Bradesco Sa Adr Banco De Sabadell Sa Banco Latinoamer Comerc-e Banco Macro Sa Adr Banco Santan 6.41% S1 Pfd Banco Santan 6.5% S-5 Pfd

Symbol

Major Market

ASG AUG ANEWF ATXDF AUS'H AUI.UN HRR.UN ACQ ATGSF ATHM AFCC APR.UN AUTO AVDL AVL AWX XX AVYA AVP AVE MMMKF ATXI AVEO ASO AVXS AVH AVNW CDMO CDMOP AVID AVD'H AVO AVGR ASM AHPA AIVAF AVP AVU AWRE AXV AXIS AXON AXSM AXTI AYTU AZBCF AZZ AZM AZIHF AZGFF AZUL AZRE AZRX BCOM RILYZ RILYG RILYL BCKIF BCN BAESF BCPC BWINB BWINA BTN BLDP BAR BAL'H BANC BBVA BBDO BBD BNDSF BLX BMA SAN.I SAN.C

T T US US T T T T US US T T US US T US T US T T US US US T US US US US US US T T US T US US US T US T T US US US US US T T US US US US US US US US US US T US US US US US T T T US US US US US US US US US

Loan Value (No Loan Value below $3.00)

25% 25% 25% 25% 0% 25% 25% 50% 0% 0% 25% 25% 25% 25% 25% 25% 25% 0% 25% 25% 25% 0% 0% 25% 50% 25% 25% 0% 0% 25% 25% 50% 25% 25% 0% 25% 50% 25% 25% 0% 0% 0% 0% 50% 0% 25% 25% 25% 0% 0% 0% 25% 0% 25% 25% 50% 25% 0% 25% 25% 50% 25% 25% 25% 25% 25% 0% 50% 50% 0% 0% 25% 25% 0% 50% 50%

Security Name Banco Santan 6.8% S4 Pfd Banco Santan-chle Adr Banco Santander S.a. Adr Banco Santander S6 F/r Pf Banco Santandr Brasil Adr Bancorp 34 Inc Bancorp Inc (the) Bancorp Of New Jersey Inc Bancroft Fund 5.375%-a Pf Bancroft Fund Limited Bandera Gold Ltd-new Bank Of China Ltd-h Bank Of Comm Holdings Inc Bank Of Communications-h Bank Of East Asia Bank Of Princeton (the) Bank Of The James Finl Gp Bank South Carolina Corp Bankfinancial Corp Bankinter Sa Banks Island Gold Ltd Bankwell Finl Group Inc Banner Corporation Bannerman Resources Ltd Banro Corp-new Baozun Inc-a Spon Adr Barc Bk Fi Enh Gl H/y Etn Barc Bk Ipath-b Bloom Etn Barc Ipath S&p500 Vix S/t Barc Ipath-b Blm Agri Etn Barc Ipath-b Blm Alum Etn Barc Ipath-b Blm Coff Etn Barc Ipath-b Blm Cott Etn Barc Ipath-b Blm Engy Etn Barc Ipath-b Blm Grns Etn Barc Ipath-b Blm Inds Etn Barc Ipath-b Blm Live Etn Barc Ipath-b Blm Nick Etn Barc Ipath-b Blm Plat Etn Barc Ipath-b Blm Prec Etn Barc Ipath-b Blm Soft Etn Barc Ipath-b Blm Sug Etn Barc Ipath-b Blm Tin Etn Barc Ipath-b Copp Sub Etn Barcl Bk Shiller Cape Etn Barclays Bk Plc Ipath Idx Barclays Etn+ Sel Mlp Etn Barclays Etn+fi Enh Euro Barclays Fi Enh Gbl Eur Barclays Inverse Us Treas Barclays Ipath Gsci Etn Barclays Return Disab Etn Barclays S&p Veqtor Etn Barclays Women In Leader Barings Corporate Invest Barings Glb Short Dur H/y Barings Participation Etf Barington/hilco Acqs Corp Barker Minerals Ltd Barkerville Gold Mns Ltd Barnes & Noble Education Barnes & Noble Inc Barnwell Industries Barrett Bill Corp Barrett Bus Svcs Inc Basf Se Basic Energy Svcs Inc-new Bassett Furniture Industr Batero Gold Corp Bay Bancorp Inc Bay National Corp Bayer Ag Bayerische Motorenwk(bmw) Baylin Technologies Inc Baymount Inc Bayshore Petroleum Corp

Symbol

Major Market

SAN.A BSAC SAN SAN.B BSBR BCTF TBBK BKJ BCV.A BCV BGL BACHF BOCH BKFCF BKEAF BPRN BOTJ BKSC BFIN BKIMF BKSLF BWFG BANR BNNLF BAA BZUN FIGY GAZB VXX JJAB JJUB BJO BALB JJEB JJGB JJMB COWB BJJN PGMB JJPB JJSB SGGB JJTB JJCB CAPE GSP ATMP FLEU FEEU TAPR OIL RODI VQT WIL MCI BGH MPV BHAC BML BGM BNED BKS BRN BBG BBSI BFFAF BAS BSET BAT BYBK BAYN BAYZF BAMXF BYL BYM'H BSH

US US US US US US US US US US T US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US T T US US US US US US US US T US US US US T T T

Loan Value (No Loan Value below $3.00)

50% 0% 50% 50% 0% 25% 50% 25% 25% 25% 0% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 50% 25% 25% 50% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 25% 25% 25% 0% 25% 25% 50% 50% 25% 50% 25% 25% 50% 50% 25% 25% 0% 25% 25% 25% 0% 25%

Security Name Baytex Energy Corp Bbva Banco Frances Sa Adr Bcb Bancorp Inc (nj) Be Resources Inc Bear Creek Mining Corp Bear State Financial Inc Beasley Broadcast Grp-a Beaufield Resources Inc Beazer Homes Usa Inc-new Becker Milk Co-b Spl Nv Beiersdorf Ag Beigene Ltd Spn/adr Bel Fuse Inc Cl A Bel Fuse Inc Cl B Bellatrix Exploration-new Belle Intl Holdings Bellerophon Therapeutics Bellicum Pharmaceuticals Bellus Health Inc-new Belmond Ltd Cl-a Belo Sun Mining Corp Belvedere Res Ltd Benchmark Botanics Inc Beneficial Bancorp Inc Benefitfocus Inc Bengal Energy Ltd Benitec Biopharma Adr-new Benton Resources Inc Berkshire Hils Bancorp Besra Gold Inc Bevo Agro Inc Beyondspring Inc Bfc Cap Tr Ii Tr Pfd Bg Staffing Inc Big 5 Sporting Goods Corp Big Lots Inc Big Rock Brewery Inc Big Rock Partners Acq Bioamber Inc Bioanalytical System Inc Bioasis Technologies Inc Bioblast Pharma Ltd-new Biocept Inc-new Bioceres Sa Adr Biocryst Pharmaceuticals Biodelivery Sciences Intl Biofrontera Ag Adr Biogen Inc Biohaven Pharmaceutical Bio-key Intl Inc Biolase Inc Biolife Solutions Inc Bioline Rx Ltd-spn Adr Biomarin Pharmaceutcl Inc Biomerica Inc Biondvax Pharmaceut S/adr Biopharmx Corp Biorem Inc Bioscrip Inc Biosign Technologies Inc Biospecifics Tech Corp Biostar Pharma Inc-new Biosyent Inc Biotime Inc Bioverativ Inc Biozoom Inc Birchcliff Energy Ltd Birchcliff Energy-a Pfd Birchcliff Engy 7%-c Pfd Bird Construction Inc Birks Group Inc Bison Capital Acquis Corp Bitauto Hldgs Ltd Spo Adr Bitterroot Resources Ltd Bjs Restaurants Inc Black Box Corp

Symbol

Major Market

BTE BFR BCBP BER BCM BSF BBGI BFD BZH BEK'B BDRFF BGNE BELFA BELFB BXE BELLF BLPH BLCM BLU BEL BSX BEL BBT BNCL BNFT BNG BNTC BEX BHLB BSRAF BVO BYSI BANFP BGSF BGFV BIG BR BRPA BIOA BASI BTI ORPN BIOC BIOX BCRX BDSI BFRA BIIB BHVN BKYI BIOL BLFS BLRX BMRN BMRA BVXV BPMX BRM BIOS BITKF BSTC BSPM RX BTX BIVV BIZM BIR BIR.A BIR.C BDT BGI BCAC BITA BTT BJRI BBOX

T US US T T US US T US T US US US US US US US US T US T T T US US T US T US US T US US US US US T US US US T US US US US US US US US US US US US US US US US T US US US US T US US US T T T T US US US T US US

Loan Value (No Loan Value below $3.00)

50% 0% 25% 25% 25% 50% 25% 25% 50% 25% 25% 50% 25% 25% 25% 25% 25% 25% 0% 50% 25% 25% 0% 50% 50% 25% 0% 25% 50% 25% 25% 25% 25% 25% 25% 50% 25% 0% 25% 25% 0% 0% 0% 0% 25% 0% 25% 50% 25% 25% 25% 25% 0% 50% 25% 0% 0% 25% 50% 25% 25% 0% 0% 25% 50% 0% 50% 50% 50% 50% 25% 0% 50% 25% 50% 25%

Security Name Black Diamond Group Ltd Black Iron Inc Black Lion Capital Corp Black Ridge Acquisition Blackbird Energy Inc Blackhawk Res Corp Blackheath Resources Inc Blackline Safety Corp Blackpearl Resources Inc Blackrock 2022 Gl Icm Opp Blackrock Capital Invt Cp Blackrock Corp Hi Yld Fnd Blackrock Ltd Dur Incm Tr Blackrock Multi Sec Incm Blackrock Mun2030 Tgt Trm Blackrock Science & Tech Blackrock Util,infr&power Blacksteel Energy Inc Blackstone / Gso Sr Float Blackstone Mortgage Tr-a Blackstone/gso Long Short Blackstone/gso Stgc Credt Blink Charging Co Blockchain Power Tr T/u Blockchain Techs Cl-a Etf Blonder Tongue Labs Inc Bloom Select Incm Fd T/u Bloom Us Incm&grwth-a T/u Bloomin' Brands Inc Blucora Inc Blue Apron Holdings Inc-a Blue Capital Reinsurance Blue Hills Bancorp Inc Blue Ribbon Income Fd T/u Blue River Res Ltd Blue Water Petroleum Corp Bluebird Bio Inc Bluedrop Perform Learning Blueknight Egy 17.5%-a Pf Blueknight Energy Llc Lpu Bluelinx Holdings Inc-new Blueprint Medicines Corp Bluerock Resdnt Gw Reit-a Bluerock Resid Gw-d Pfd Bluerock Resid-a Reit Pfd Bluerock Resid-c Reit Pfd Bluerock Ventures Crp-new Bluerush Media Group Blumetric Environmental Bmo Elkhorn Dwa Mlp Sel Bmo Flt/rt Hi Yld T/u Etf Bmo Hi Yld Us Corp Bd Etf Bmo Hy Us C/b Hdg C$ Indx Bmo India Equity Indx Etf Bmo Msci Emrg Mkt Idx Etf Bmo Rex Micr Fang+idx Etn Bmo Rex Micr Fang+idx Etn Bmo Us Put Write Etf Bmo Us Put Write U$ Etf Bmtc Group Inc Bnk Petroleum Inc Bnp Paribas - Ord Boc Hong Kong Hldgs Ltd Bofi Hldg Inc 6.25% Nts Bofi Holding Inc Boingo Wireless Inc Boise Cascade Co Bojangles Inc Bok Finl Crp 5.375%sub Nt Bold Stroke Ventures Inc Bold Ventures Inc Boliden Ab Bolsas Y Mercados Espanol Bonanza Creek Energy-new Bonavista Energy Corp Bonso Electroncs Intl Inc

Symbol

Major Market

BDI BKI BLC'P BRAC BBI BLR BHR BLN PXX BGIO BKCC HYT BLW BIT BTT BST BUI BEY BSL BXMT BGX BGB CCGI BPWR.U HBLK BDR BLB.UN BUA.UN BLMN BCOR APRN BCRH BHBK RBN.UN BXR BWPC BLUE BPLI BKEPP BKEP BXC BPMC BRG BRG.D BRG.A BRG.C BCR'H BTV BLM BMLP ZFH ZJK ZHY ZID ZEM FNGD FNGU ZPW ZPW'U GBT BKX BNPQF BNKHF BOFIL BOFI WIFI BCC BOJA BOKFL BSV'H BOL BDNNF SOHMF BCEI BNP BNSO

T T T US T T T T T US US US US US US US US T US US US US US T T US T T US US US US US T T US US T US US US US US US US US T T T US T T T T T US US T T T T US US US US US US US US T T US US US T US

Loan Value (No Loan Value below $3.00)

25% 25% 0% 0% 25% 25% 25% 25% 25% 25% 50% 25% 25% 25% 25% 25% 25% 25% 25% 50% 25% 25% 0% 0% 0% 25% 25% 25% 50% 50% 50% 25% 50% 25% 25% 25% 50% 25% 25% 25% 25% 50% 25% 25% 25% 25% 0% 25% 25% 0% 25% 35% 25% 50% 50% 0% 0% 0% 0% 25% 25% 25% 25% 0% 50% 50% 50% 50% 0% 0% 25% 25% 0% 25% 50% 25%

Security Name Bonterra Energy Corp Bon-ton Stores Inc Boot Barn Holdings Inc Boralex Inc Cl-a Borqs Technologies Inc Bos Better Online Sol-new Boston Pizza Royl Inc T/u Boston Private Finl Hldg Boulder Growth & Incm Fnd Bouygues 1eur Bovie Medical Corp Bowl America Inc Com Box Inc Cl-a Boxlight Corp Cl-a Boyuan Constr Group Inc Bp Cdn Gold Miners Bear-a Bp Cdn Gold Miners Bull-a Bp Crd Oil 2x Dly Bear-a Bp Crd Oil 2x Dly Bull-a Bp Gold Bullion 2x Bear-a Bp Gold Bullion 2x Bull-a Bp Natl Gas 2x Dly Bear-a Bp Natl Gas 2x Dly Bull-a Bp Nsdq-100 2x Dly Bear-a Bp Nsdq-100 2x Dly Bull-a Bp Prudhoe Bay Royalty Tr Bp S&p 500 2x Dly Bear-a Bp S&p500 2x Dly Bull-a Bp S&p500 Vix S/t Fut Etf Bp S&p500 Vix S/t Inv-a Bp S&ptsx Capp En Bear-a Bp S&ptsx Capp En Bull-a Bp S&ptsx Capp Fin Bear-a Bp S&ptsx Capp Fin Bull-a Bp S&ptsx60 2x Dly Bear-a Bp S&ptsx60 2x Dly Bull-a Bp Silv 2x Dly Bear-a Etf Bp Silv 2x Dly Bull-a Etf Bp Sp500vix S/t Fut2x Etf Bradmer Pharmaceu Inc Brainstorm Cell Therapeut Brambles Ltd Brampton Brick Ltd-a Sv Brand Leaders Incm Fd T/u Brand Marvel Wrld Con Prd Brasilagro Cia Br Sp/adr Braskem S.a. S/adr Bravo Brio Restaurant Grp Breaking Data Corp Breitburn Engy Prtnrs Lpu Brf S.a. Adr Bri-chem Corp Brick Brewing Co Ltd Bridge Bancorp Inc Bridgeline Digital-new Bridgepoint Education Inc Bridgestone Corp #5108 Bridgford Foods Corp Brightcove Inc Brio Gold Inc Bristow Group Inc British Land Co Plc - 25p Brixton Metals Corp-new Broadvision Inc Broadway Finl Corp Del Broadwind Energy Inc-new Brookdale Sr Living Inc Brookfield Busn Prtns Lpu Brookfield Dtla 7.625% Pf Brookfield Glb Infras T/u Brookfield Global Listed Brookfield Invs C1 S-a Pf Brookfield Offc-aaa-gg Pf Brookfield Rl Est Svc Inc Brookfield Select Opp T/u Brookline Bancorp Inc

Symbol

Major Market

BNE BONTQ BOOT BLX BRQS BOSC BPF.UN BPFH BIF BOUYF BVX BWL'A BOX BOXL BOY HGD HGU HOD HOU HBD HBU HND HNU HQD HQU BPT HSD HSU HUV HVI HED HEU HFD HFU HXD HXU HZD HZU HVU BMR'H BCLI BMBLF BBL'A HBL.UN BMW'H LND BAK BBRG BKD BBEPQ BRFS BRY BRB BDGE BLIN BPI BRDCF BRID BCOV BRIO BRS BRLAF BBB BVSN BYFC BWEN BKD BBU.UN DTLA'PR BGI.UN INF BRN.A BPO.G BRE BSO.UN BRKL

T US US T US US T US US US US US US US T T T T T T T T T T T US T T T T T T T T T T T T T T US US T T T US US US T US US T T US US US US US US T US US T US US US US T US T US T T T T US

Loan Value (No Loan Value below $3.00)

50% 25% 50% 50% 0% 25% 25% 50% 25% 25% 25% 25% 50% 25% 0% 35% 35% 35% 35% 35% 35% 35% 35% 35% 35% 50% 35% 35% 0% 0% 35% 35% 35% 35% 35% 35% 35% 35% 0% 0% 0% 25% 25% 25% 25% 0% 0% 25% 25% 50% 0% 25% 25% 50% 25% 50% 25% 25% 25% 25% 50% 25% 25% 25% 25% 25% 50% 70% 25% 25% 25% 25% 50% 25% 25% 50%

Security Name Brs Resources Ltd Brt Apartments Corp Bryn Mawr Bank Corp Bsb Bancorp Inc Bsm Technologies Inc Bsquare Corp Btb Reit T/u - New Btl Group Ltd Buffalo Coal Corp Buhler Industries Inc Build-a-bear Workshop Inc Builders Captl Mrtg Nv-a Builders Firstsource Inc Bullman Minerals Inc Bunzl Plc Gbp 32.142 Burberry Group Plc-new Burcon Nutrascience Cp Butte Energy Inc C & F Finanacial Corp C&j Energy Services Inc Cabco S04-101 Tr-gs Cap I Cabco S-04-102 Tr Sbc Cabco Tr For Jcp 7.625%pf Cabo Drilling Corp Cache Inc Cactus Inc Cl-a Cadiz Inc Caesarstone Ltd Cafepress Inc Caiterra Intl Energy Corp Caixabank S.a. Cal Dive Intl Inc Caladrius Biosciences-new Calamos Cnvt&high Inc Fnd Calamos Conv Oppor&inc Fd Calamos Dynamic Conv&incm Calamos Glbl Dynamic Incm Calamos Global Total Rtrn Calamos Stgc Total Ret Fd Caldera Resources Inc Caldwell Ptnrs Intl Inc Caldwell Us Div Adv T/u Caledonia Mining Corp Caleres Inc Calfrac Well Services Ltd Calgon Carbon Corp Calian Group Ltd Calibre Mining Corp California Nanotechs Corp California Res Corp-new Calithera Biosciences Inc Calix Inc Callaway Golf Co Callidus Capital Corp Callidus Software Inc Callinex Mines Inc Callitas Health Inc Callon Pete Co Calumet Specialty Pro Lpu Calyx Ventures Inc Calyxt Inc Camber Energy Inc Cambium Learning Grp Inc Cambria Tail Risk Etf Cambridge Bancorp Camden National Corp Cameco Corp Cameo Resources Corp Camtek Ltd Can Fite Biopharma-sp Adr Canaccord 3.885%-a 1st Pf Canaccord 4.993%-c 1st Pf Canaccord Genuity Group Canacol Energy Ltd Canada Carbon Inc Canada Energy Partners

Symbol

Major Market

BRS BRT BMTC BLMT GPS BSQR BTB.UN BTL BUF BUI BBW BCF BLDR BUL BZLFF BBRYF BU BEN'H CFFI CJ GYB GYC PFH CBE CACH WHD CDZI CSTE PRSS CTI CIXPF CDVIQ CLBS CHY CHI CCD CHW CGO CSQ CAEFF CWL UDA.UN CAL CAL CFW CCC CGY CXB CNO CRC CALA CALX ELY CBL CALD CNX LILY CPE CLMT CYX CLXT CEI ABCD TAIL CATC CAC CCO CRU CAMT CANF CF.A CF.C CF CNE CCB CE

T US US US T US T T T T US T US T US US T T US US US US US T US US US US US T US US US US US US US US US US T T T US T US T T T US US US US T US T T US US T US US US US US US T T US US T T T T T T

Loan Value (No Loan Value below $3.00)

25% 25% 50% 25% 25% 25% 25% 25% 0% 25% 25% 25% 50% 25% 25% 25% 25% 25% 25% 50% 25% 25% 25% 25% 25% 50% 50% 50% 25% 25% 25% 25% 0% 25% 25% 25% 25% 25% 25% 0% 25% 25% 0% 50% 50% 50% 25% 25% 25% 50% 25% 50% 50% 50% 50% 25% 0% 50% 50% 0% 25% 0% 25% 0% 25% 50% 50% 0% 25% 0% 50% 50% 50% 50% 25% 25%

Security Name Canada Goose Hldgs Inc Sv Canada Rare Earth Corp Canada Strategic Mtls Inc Canada Zinc Metals Corp Canadabis Capital Inc Canadian Conv Plus Fd T/u Canadian High Incm Eq T/u Canadian Inv Grd Pf-t Utf Canadian Overseas Pete Lt Canadian Res Income T/u Canadian Solar Inc Canadian Spirit Res Inc Canadian World Fund Ltd Canadian Zinc Corp Canaf Group Inc Canalaska Uranium Ltd Canam Coal Corp Canarc Resource Corp Canasia Finl Inc Cl-a Canasil Res Inc Cancer Genetics Inc Candente Copper Corp-new Candente Gold Corp Canex Energy Corp Canfor Pulp Products Inc Canickel Mining Ltd Canlan Ice Sports Crp-new Cannabis Strat Acq-a Rvs Cannabis Wheaton Income Cannae Holdings Inc Cannimed Therapeutics Inc Canoe Mining Ventures Crp Canopy Growth Corp Canso Credit Income-a T/u Canso Select Opport-a T/u Canstar Resources Inc Canterbury Park Hldg Corp Canterra Minerals Corp Cantex Mine Dev Corp Capella Education Co Capgain Properties Inc Capita Group 2.0667 Gbp Capital Dgmc Inc Capital Products Lp Capital Southwest 5.95%nt Capital Southwest Corp Capital Venture Euro Plc Capitala Fin Corp 6% Nts Capitala Fin Crp 5.75%nts Capitala Finance Corp Capitalsouth Bancorp Capitol Fed Finl Inc Capitol Invt Corp Iv Cl-a Capricor Therapeutics Inc Capricorn Busn Acquis-new Capstar Financial Hldgs Capstead Mtge Corp Capstone Infra3.271%-a Pf Capstone Turbine Corp-new Cara Operations Ltd Svs Cara Therapeutics Inc Carbo Ceramics Inc Carbonite Inc Cardinal Energy Ltd Cardiocomm Solutions Cardiome Pharma Corp-new Cardiovascular Sys Inc Cardlytics Inc Care.com Inc Caredx Inc Career Education Corp Cargurus Inc Cl-a Caribbean Utilities Carlsberg As Cl-b Carmanah Technologies Crp Carolina Trust Bancshares

Symbol

Major Market

GOOS LL CJC CZX CANB'P CCI.UN CIQ.UN RIGP.U XOP RTU.UN CSIQ SPI CWF CZN CAF CVV COECF CCM CNA'H CLZ CGIX DNT CDG CSC'H CFX CML ICE CSA'A CBW CNNE CMED CLV WEED PBY.UN SCW.UN ROX CPHC CTM CD CPLA CPP'H CTAGF FGF CPLP CSWCL CSWC CPVNF CPTAL CPTAG CPTA CAPB CFFN CIC CAPR CAK'H CSTR CMO CSE.A CPST CARA CARA CRR CARB CJ EKG COM CSII CDLX CRCM CDNA CECO CARG CUP'U CABJF CMH CART

T T T T T T T T T T US T T T T T US T T T US T T T T T T T T US T T T T T T US T T US T US T US US US US US US US US US US US T US US T US T US US US T T T US US US US US US T US T US

Loan Value (No Loan Value below $3.00)

50% 25% 25% 25% 0% 25% 25% 25% 25% 25% 50% 25% 25% 25% 25% 25% 25% 25% 0% 25% 0% 25% 25% 0% 50% 25% 25% 0% 25% 50% 25% 25% 25% 25% 25% 25% 0% 25% 25% 50% 25% 0% 0% 0% 0% 50% 0% 0% 0% 25% 0% 50% 0% 0% 0% 25% 50% 25% 25% 50% 25% 25% 50% 50% 25% 0% 50% 25% 50% 0% 25% 50% 25% 25% 25% 25%

Security Name Carpenter Technology Carrefour Sa Carriage Svcs Inc Carrizo Oil & Gas Carrols Restaurant Group Cars.com Inc Cartesian Inc Cartier Resources Inc Carvana Co Cl-a Carver Bancorp Inc Cas Med Sys Inc Casa Minerals Inc Cascades Inc Cascadian Therapeut-new Casi Pharmaceuticals Inc Casio Computer Co Ltd Castle Brands Inc Castlight Health Inc Cl-b Catabasis Pharmaceuticals Catalent Inc Catalyst Biosciences-new Catalyst Pharmaceuticals Catasys Inc-new Cathay Pac Airways-hkd.2 Cathedral Energy Svcs Ltd Cato Corp Cl A Cavco Industries Inc Cb Financial Services Inc Cbak Energy Technology Cbre Clarion Glbl Rl Incm Cca Industries Inc C-com Satellite Syst Inc Ccur Holdings Inc Cdi Corp Cdn Gen Inv 3.75%-a4 Pfd Cdn General Invs Ltd Cdn Oil Recovery&remediat Cdn Util&telecom Incm T/u Ceapro Inc Ceco Environmental Corp Celadon Group Inc Celcuity Inc Celgene Corp Cellcom Israel Ltd Celldex Therapeutics Inc Cellect Biotech Ltd S/adr Cellectar Biosciences Inc Cellectis Sa Spon Adr Cellular Biomedicine Grp Cel-sci Corp-new Celsion Corp-new Celsius Holdings Inc Celyad Sa Unspon Adr Cematrix Corporation Cementos Pacasmay Adr-new Cemex S.a.b De C.v Adr Cemtrex Inc Cemtrex Inc Pfd Centamin Plc Center Coast Brookfld Mlp Centerra Gold Inc Centerstate Bank Corp Centrais Eletr Bsl Adr Pf Centrais Eletrobras Adr Central & Eastern Euro Fd Central Euro Media Entr-a Central Federal Corp-new Central Japan Railway Co Central Pac Finl Corp-new Central Securities Central Valley Comm Banc Centric Health Corp Centrica Plc 6 14/81 P Centrus Energy Corp Cl-a Century Aluminum Co Century Bancorp Inc Cl-a

Symbol

Major Market

CRS CRERF CSV CRZO TAST CARS CRTN ECR CVNA CARV CASM CASA CAS CASC CASI CSIOF ROX CSLT CATB CTLT CBIO CPRX CATS CPCAF CET CATO CVCO CBFV CBAK IGR CAW CMI CCUR CDI CGI.D CGI CVR UTE.UN CZO CECE CGI CELC CELG CEL CLDX APOP CLRB CLLS CBMG CVM CLSN CELH CYAD CVX CPAC CX CETX CETXP CEE CEN CG CSFL EBR'B EBR CEE CETV CFBK CJPRF CPF CET CVCY CHH CPYYF LEU CENX CNBKA

US US US US US US US T US US US T T US US US US US US US US US US US T US US US US US US T US US T T T T T US US US US US US US US US US US US US US T US US US US T US T US US US US US US US US US US T US US US US

Loan Value (No Loan Value below $3.00)

50% 25% 50% 50% 50% 50% 25% 25% 50% 25% 25% 0% 50% 0% 0% 25% 25% 50% 0% 50% 0% 25% 25% 0% 25% 50% 50% 25% 0% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 0% 50% 25% 0% 0% 0% 25% 25% 0% 0% 25% 25% 25% 25% 50% 25% 25% 0% 25% 25% 50% 0% 0% 25% 50% 25% 25% 50% 25% 50% 25% 25% 25% 50% 25%

Security Name Century Casinos Inc Century Communities Inc Century Glb Commodities Centurylink Inc Cenveo Inc-new Ceragon Networks Ltd Cerecor Inc Ceres Global Ag Corp Cerro Grande Mining Corp Cerus Corp Cervus Equipment Corp Ces Energy Solutions Corp Cesca Therapeutics Inc Ceva Inc Cgg Spons Adr-new Cgx Energy Inc-new Chalice Gold Mines Ltd Champion Bear Resources Champion Comm Svcs Inc Champions Oncology Inc Changfeng Energy Inc Changyou.com Ltd Cl-a Adr Channeladvisor Corp Chanticleer Hldgs Inc Chantrell Ventures Corp Charles & Colvard Ltd Charter Financial Crp-new Chc Student Housing Corp Check-cap Ltd Checkpoint Therapeutics Cheetah Mobile Inc-a Adr Chefs' Warehouse Inc Chegg Inc Chembio Diagnostics Inc Chemocentryx Inc Chemtrade Logistics T/u Chemung Financial Corp Cheniere Energy Inc Cheniere Energy Prtrs L.p Cheniere Energy Ptnrs Lpu Cherokee Inc Cherry Hill Mortgage Inv Cherry Hill Mtg Inv-a Pfd Chesapeake Energy Corp Chesapeake Engy 4.5% Pfd Chesapeake Gold Corp Chesapeake Granite Wash Chesswood Group Ltd Chf Solutions Inc-new Chiasma Inc Chiba Bank Ltd Chicago Rivet & Machine Chicken Soup For The Soul Childrens Place Inc (the) Chilean Metals Inc Chimerix Inc China Adv Constr Mat-new China Auto Logistics-new China Automotive Systems China Biologic Prod Hldgs China Botanic Pharma Inc China Ceramics Co Ltd-new China Coal Energy Co -hChina Commercial Credit China Construction Bank-h China Cord Blood Corp China Digital Tv Hldg Adr China Distance Edu Hl Adr China Ed Alliance Inc-new China Education Res Inc China E-wallet Payment Gr China Fin Online -spn/adr China Fund Inc China Gerui Advanced Matl China Gold Intl Res Corp China Goldcorp Ltd

Symbol

Major Market

CNTY CCS CNT CTL CVO CRNT CERC CRP CEG CERS CERV CEU KOOL CEVA CGG OYL CXN CBA CCMS CSBR CFY CYOU ECOM BURG CV'H CTHR CHFN CHC CHEK CKPT CMCM CHEF CHGG CEMI CCXI CHE.UN CHMG LNG CQP CQH CHKE CHMI CHMI.A CHK CHK.D CKG CHKR CHW CHFS CHMA CHBAF CVR CSSE PLCE CMX CMRX CADC CALI CAAS CBPO CBPI CCCL CCOZF CCCR CICHF CO STVVY DL CEAI CHN RGHLF JRJC CHN CHOPF CGG CAU'H

US US T US US US US T T US T T US US US T T T US US T US US US T US US T US US US US US US US T US US US US US US US US US T US T US US US US US US T US US US US US US US US US US US US US US T US US US US T T

Loan Value (No Loan Value below $3.00)

0% 50% 25% 50% 25% 25% 0% 25% 25% 50% 25% 50% 25% 50% 25% 25% 25% 25% 0% 25% 25% 50% 25% 25% 25% 25% 25% 25% 25% 0% 50% 50% 50% 25% 25% 50% 25% 50% 50% 50% 25% 25% 25% 25% 25% 25% 25% 25% 25% 0% 25% 25% 25% 50% 25% 0% 0% 0% 0% 25% 0% 0% 0% 0% 25% 0% 0% 50% 0% 0% 25% 0% 25% 0% 0% 0%

Security Name China Green Agriculture China Hgs Real Estate Inc China Info Tech Inc-new China Jo-jo Drugstore Inc China Keli Electric Co Lt China Lending Corp China Medicine Corp China Merchants Port Hldg China Minerals Mining Crp China Natural Resources China New Borun Corp Adr China Online Educ Spn Adr China Overseas Land & Inv China Pharma Holdings Inc China Rapid Finance S/adr China Recycling Engy-new China Resources Land Ltd China Resources Power Hld China Sthrn Airlines Adr China Sunergy Co Ltd Adr China Techfaith Adr-new China Xd Plastics Co Ltd China Xiniya Fashion Adr China Zenix Auto Intl Adr Chinacache Intl Spon/adr Chinanet Online Hldgs-new Chinook Energy Inc-new Chipmos Techs Inc Spn Adr Chiyoda Corp Choice Pptys Reit T/u Chorus Aviation Vtg&v/vtg Chorus Ltd Npv Christian Hansen Hldgs As Christopher & Banks Corp Chubu Electric Power Co Chugai Pharmaceutical Co Chuys Holdings Inc Cia Energetica Mn Spn Adr Cia Paranaense Adr Pfd Cia Saneamento Basico-adr Cibt Education Group Inc Cidara Therapeutics Inc Cie Financiere Richemnt-a Cim Commercial Trust Corp Cimpress N.v. Cinedigm Corp Cl-a New Ciner Resources Lpu Cipher Pharmaceutical Inc Cipher Resources Inc Circa Enterprises Inc Citadel Income Fd T/u Citi Trends Inc Citi Veloc Dly Aud Vs Usd Citi Veloc Dly Chf Vs Usd Citi Veloc Dly Eur Vs Usd Citi Veloc Dly Gbp Vs Usd Citi Veloc Dly Jpy Vs Usd Citi Veloc Dly Usd Vs Aud Citi Veloc Dly Usd Vs Chf Citi Veloc Dly Usd Vs Eur Citi Veloc Dly Usd Vs Gbp Citi Veloc Dly Usd Vs Jpy Citic Limited Citigp Velocity Short Lib Citigroup C-tracks Etn Citigrp C-trks Mill/how-b Citigrp Velocity Long Lib Citius Pharmaceuticals Citizens & Northn Corp Citizens B&t Holdings Inc Citizens Comm Bancorp Inc Citizens First Corp Citizens Holding Co Citizens Inc - A City Holdings Co Citybank Lynwood (wash)

Symbol

Major Market

CGA HGSH CNIT CJJD ZKL CLDC CHME CMHHF CMV CHNR BORN COE CAOVF CPHI XRF CREG CRBJF CRPJF ZNH CSUNY CNTF CXDC XNY ZX CCIH CNET CKE IMOS CHYCF CHP.UN CHR CRRLF CRTSF CBK CHUEF CHGCF CHUY CIG'C ELP SBS MBA CDTX CFRHF CMCT CMPR CIDM CINR CPH CIFR CTO CTF.UN CTRN UAUD UCHF UEUR UGBP UJPY DAUD DCHF DEUR DGBP DJPY CTPCF DLBR DIVC MLPE ULBR CTXR CZNC CBTH CZWI CZFC CIZN CIA CHCO CTBK

US US US US T US US US T US US US US US US US US US US US US US US US US US T US US T T US US US US US US US US US T US US US US US US T T T T US US US US US US US US US US US US US US US US US US US US US US US US US

Loan Value (No Loan Value below $3.00)

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Security Name Civeo Corp Cda Civista Bancshares Inc Civista Bancshares Inc Pf Civitas Solutions Inc Ckx Lands Inc Claim Post Resources Inc Clairvest Group Inc Clarent Corp Clarke Inc Clarus Corporation Claymore Cef Gs Connect Claymore Gugg Bullet 2021 Claymore Gugg Bullet 2022 Claymore Gugg Bullet 2025 Clean Diesel Tech Inc-new Clean Energy Fuels Corp Clean Seed Cap Group Ltd Clean Teq Holdings Ltd Clear Channel Outdoor-a Clearfield Inc Clearford Water Systems Clearone Inc Clearside Biomedical Inc Clearsign Combustion Corp Clearstream Energy Svcs Clearwater Paper Corp Clearwater Seafoods Inc Cleghorn Minerals Ltd Clementia Pharmaceuticals Cleveland Biolabs Inc-new Cleveland-cliffs Inc Clifton Bancorp Inc Clipper Realty Inc Cloud Peak Energy Inc Cloudera Inc Clough Glb Div & Incm Fd Clough Global Equity Fd Clough Global Opport Fund Clovis Oncology Inc Clp Holdings Ltd Clydesdale Resources Inc Cm Finance Inc Cm Seven Star Acquisition Cnb Financial Corp (pa) Co2 Solutions Inc Coastway Bancorp Inc Cobalt 27 Capital Crp-new Cobalt Intl Energy Inc Cobiz Financial Inc Cobra Venture Corp Coca Cola Femsa Sab-s/adr Coca Cola Hbc Ltd Coca-cola Amatil Ltd Coda Octopus Group Inc Code Rebel Corp Codexis Inc Co-diagnostics Inc Codorus Valley Bancorp Coeur Mining Inc Coffee Holding Co Inc Cogeco Inc Sv Cogentix Medical Inc Cogint Inc Cohbar Inc Cohen & Company Inc Cohen & Steers Closed-end Cohen & Steers Inc Cohen & Steers Infras Fnd Cohen & Steers Ltd Dur Fd Cohen & Steers Select Pfd Cohen&steers Gl Incm Bldr Cohen&steers Mlp Incm&egy Cohen&steers Qly Incm Rty Cohen&steers Total Rlty Cohen&steers-reit&pf Incm Coherus Biosciences Inc

Symbol

Major Market

CVEO CIVB CIVBP CIVI CKX CPS CVG CLRN CKI CLAR GCE BSJL BSJM BSJP CDTI CLNE CSX CLQ CCO CLFD CLI CLRO CLSD CLIR CSM CLW CLR CZZ CMTA CBLI CLF CSBK CLPR CLD CLDR GLV GLQ GLO CLVS CLPHF CEO'H CMFN CMSS CCNE CST CWAY KBLT CIEIQ COBZ CBV KOF CCHBF CCLAF CODA CDRBQ CDXS CODX CVLY CDE JVA CGO CGNT COGT COB'U COHN FOF CNS UTF LDP PSF INB MIE RQI RFI RNP CHRS

US US US US US T T US T US US US US US US US T T US US T US US US T US T T US US US US US US US US US US US US T US US US T US T US US T US US US US US US US US US US T US US T US US US US US US US US US US US US

Loan Value (No Loan Value below $3.00)

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Security Name Colabor Group Inc Colas Pv/eur 1.5 Collectors Universe Collegium Pharmaceutical Collplant Hldgs Ltd S/adr Colonial Coal Intl Corp Colony Bancorp Inc Coloplast A/s-b Dkk1.0 Colorado Resources Ltd Colt Resources Inc Columbia Banking Sys Inc Columbia Emerg Mk Con Etf Columbia Seligma Prem Tec Columbus Gold Corp Comcast Hldg 2%exch Zones Comet Industries Ltd. Command Security Corp Commander Resources Ltd Commerce Resources Corp Commercehub Inc Ser-c Commercewest Bank Commerzbank Ag Commonwealth Bank Austral Communications Sys Inc Community Bancorp Inc Community Bank System Inc Community Bankers Trust Community Financial Corp Community First Bancshare Community Health Systems Community West Bancshare Commvault Systems Inc Comp Energetica Minas Nv Companhia Brasileira-adr Companhia Siderurg Sp Adr Compania Deminas Bue Adr Compass Diversfd Hldg Lpu Compugen Ltd Computer Modelling Group Computer Programs & Syst Computer Task Group Computershare Limited Cpu Compx Intl Inc Comstock Hldg Cos-a New Comstock Mining Inc-new Comstock Res Inc-new Comsys Holdings Corp Cona Resources Ltd Conatus Pharmaceuticals Concert Pharmaceuticals Concord Med Svcs-spon Adr Concordia Intl Corp Condor Gold Plc Condor Hospitality Tr Inc Condor Resources Inc Conformis Inc Conifer Holdings Inc Conifex Timber Inc Connacher Oil & Gas Ltd Connectone Bancorp-new Connecture Inc Conn's Inc Cono Italiano Inc Cons Hci Hldgs-b Cons Water Co Inc Consol Coal Resources Lp Consol Energy Inc Consolidated Woodjam Copp Constantine Metal Res Ltd Constellation Alpha Cap Constellium Nv Cl-a Consumer Portfolio Svc In Consumers Engy Co $4.50pf Contact Energy Ltd Contango Oil & Gas Continental Ag

Symbol

Major Market

GCL COABF CLCT COLL CQPTY CAD CBAN CLPBF CXO GTP COLB ECON STK CGT CCZ CMU MOC CMD CCE CHUBK CWBK CRZBF CBAUF JCS CTBI CBU ESXB TCFC CFBI CYH CWBC CVLT CIG CBD SID BVN CODI CGEN CMG CPSI CTG CMSQF CIX CHCI LODE CRK CMSYF CONA CNAT CNCE CCM CXR COG CDOR CN CFMS CNFR CFF CLLZF CNOB CNXR CONN CNOZ CXA'H CWCO CCR CEIX WCC CEM CNAC CSTM CPSS CMS.B COENF MCF CTTAF

T US US US US T US US T T US US US T US T US T T US US US US US US US US US US US US US US US US US US US T US US US US US US US US T US US US T T US T US US T US US US US US T US US US T T US US US US US US US

Loan Value (No Loan Value below $3.00)

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Security Name Continental Gold Inc Continental Materials Crp Continental Precious Mnls Contrafect Corp Contravir Pharmaceuticals Controladora Vuela Adr Co-op Gen Ins 5%-e S-c Pf Cooper Std Hldgs Inc Cooper Tire & Rubber Co Copa Holdings Sa-a Copper Fox Metals Inc Copper Mountain Mining Cp Copsync Inc Coral Gold Res Ltd Corbus Pharmaceut Hldgs Corby Spirit & Wine-a Vtg Corby Spirit & Wine-b N/v Corcept Therapeutics Inc Cordoba Minerals Corp-new Cordy Oilfield Svcs Inc Core Canadian Div T/u Core Gold Inc Core Molding Technologies Core-mark Hldg Co Inc Corex Gold Corp Corindus Vascular Robotic Corium International Inc Cormedix Inc Cornerstone Cap Res Cornerstone Metals Inc Cornerstone Ondemand Inc Cornerstone Strat Val-new Cornerstone Total Ret-new Coro Mining Corp Corp Backed Tst-peco 8% Corp Bk Tr Jc Penny 7%-a1 Corporacion Mapfre Sa Corporate Res Svcs Inc Corridor Res Inc Corsa Coal Corp Cortex Business Solns Inc Corts Tr Jc Penney-7.625% Corvus Gold Inc Corvus Pharmaceuticals Cosan Ltd Cosco Shipping Ports Ltd Cosigo Resource Ltd Costamare 8.75%-d Perp Pf Costamare Inc Costamare Inc 7.625%-b Pf Costamare Inc 8.5%-c Pfd Costamare Inc 8.875%-e Pf Costar Group Inc Cotinga Pharmaceuticals Counterpath Corp County Bancorp Inc Coupa Software Inc Courtland Capital Inc Covalon Technologies-new Cowen Inc 7.35% Sr Nts Cowen Inc Cl-a Cpfl Energia S A Cpi Aerostructures Inc Cpi Card Group Inc-new Cps Technologies Corp Craft Brew Alliance Inc Crailar Technologies Inc Crawford & Co Cl-a Crawford & Co Cl-b Cray Inc Cred Su Ft Enh Eur 50 Etn Cred Su X-lks Mlt-ast Etn Credent Capital Corp Credit Agricole Sa, Paris Credit Enh Corts Tr8.205% Credit Saison Co Ltd

Symbol

Major Market

CNL CUO CZQ'H CFRX CTRV VLRS CCS.C CPS CTB CPA CUU CMMC COYNQ CLH CRBP CSW'A CSW'B CORT CDB CKK CDD.UN CGLD CMT CORE CGE CVRS CORI CRMD CGP CCC CSOD CLM CRF COP KTH JBN MPFRF CRRSQ CDH CSO CBX KTP KOR CRVS CZZ CSPKF CSG'H CMRE.D CMRE CMRE.B CMRE.C CMRE.E CSGP COT PATH ICBK COUP CTD'H COV COWNZ COWN CPL CVU PMTS CPSH BREW CRLRQ CRD'A CRD'B CRAY FIEU MLTI CDT'H CRARF KTN CSASF

T US T US US US T US US US T T US T US T T US T T T T US US T US US US T T US US US T US US US US T T T US T US US US T US US US US US US T T US US T T US US US US T US US US US US US US US T US US US

Loan Value (No Loan Value below $3.00)

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Security Name Credit Su Ag S&p Mlp Etn Credit Su Axela Trd3x Etn Credit Su Axela Trd3x Etn Credit Su Fi L/c Gwth Etn Credit Su X-lks Wti Etns Credit Suis X-lks Crd Oil Credit Suisse A/mgmt Incm Credit Suisse H/yld Bd Fd Crescita Therapeutics Inc Crestwood Eqt Prtn Lp-new Cresud S.a. Cifya Spd Adr Crew Energy Inc Crh Medical Corporation Crispr Therapeutics Ag Criteo Sa Spn/adr Critical Elements Corp Crocs Inc Cronos Group Inc Cross Timbers Royalty Tr Crosswinds Holdings Inc Crown Capital Partner Inc Crown Crafts Inc Crs Electronics Inc Cryoport Inc Cryptoglobal Corp Crystal Rock Holdings Inc Cs Renminbi Trust Etv Cs Vs 3x Invs Gold Etn Cs Vs 3x Invs Silver Etn Cs Vs 3x Long Gold Etn Cs Vs 3x Long Nat Gas Etn Cs Vs Inverse Vix Medterm Cs Vs Inverse Vix S/term Cs Vs Vix Mid Term Cs X-lk Mth 2xlv Mtg Reit Cs X-lk Mth Pay 2xlev Etn Cs X-lks Gld Cov Call Etn Cs X-lks Slv Cov Call Etn Csi Compressco Lpu Csl Limited -ordCsop Ftse China A50 Etf Csp Incorporated Ct Developers Ltd Ct Reit T/u Cti Biopharma Corp-new Cti Industries Corp Ctpartners Executive Sear C-tracks Mill/how Mlp Etn Ctrip.com Intl Ltd Adr Cu Inc 2.24%cum Red S4 Pf Cu Inc Cum/red Ser-1 Pfd Cub Energy Inc Cue Biopharma Inc Cui Global Inc-new Culp Inc Cumberland Pharmaceutical Cumulus Media Inc-new Curis Inc Curo Group Holdings Corp Currency Exchange Intl Currencyshs Singapore Trs Current Water Techs Inc Cushing Energy Income Fnd Cushing Mlp&infra Tot Ret Cushing Renaissance (the) Customers Bancorp Inc Cvb Financial Corp Cvd Equipment Corp Cvr Partners Lpu Cwc Energy Services Corp Cyanotech Corporation Cyberoptics Corp Cyclacel Pharmaceut-new Cyclacel Pharmact 6% Pfd Cyclone Uranium Corp Cymabay Therapeutics Inc

Symbol

Major Market

MLPO DBRT UBRT FLGE OIIL USOI CIK DHY CTX CEQP CRESY CR CRH CRSP CRTO CRE CROX MJN CRT CWI CRWN CRWS LEDCF CYRX CPTO CRVP FXCH DGLD DSLV UGLD UGAZ ZIV XIV VIIZ REML AMJL GLDI SLVO CCLP CMXHF AFTY CSPI DEV'H CRT.UN CTIC CTIB CTPR MLPC CTRP CIU.C CIU.A KUB CUE CUI CULP CPIX CMLSQ CRIS CURO CXI FXSG WATR SRF SRV SZC CUBI CVBF CVV UAN CWC CYAN CYBE CYCC CYCCP CYUR CBAY

US US US US US US US US T US US T T US US T US T US T T US US US T US US US US US US US US US US US US US US US US US T T US US US US US T T T US US US US US US US T US T US US US US US US US T US US US US US US

Loan Value (No Loan Value below $3.00)

0% 0% 0% 0% 0% 0% 25% 25% 0% 50% 0% 50% 25% 25% 50% 25% 50% 25% 25% 0% 25% 25% 25% 25% 0% 25% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 50% 25% 50% 25% 0% 25% 0% 25% 25% 0% 50% 25% 25% 25% 25% 25% 50% 0% 25% 0% 25% 25% 0% 25% 25% 25% 25% 50% 50% 25% 50% 25% 25% 25% 0% 0% 25% 25%

Security Name Cymat Technologies Ltd Cynergistek Inc Cypress Energy Partnrs Lp Cyprium Mining Corp Cyren Ltd Cys Investments Inc Cytokinetics Inc-new Cytomx Therapeutics Inc Cytori Therapeutics-new Cytosorbents Corp Cytrx Corp-new Dai-ichi Life Insurance Daiichi Sankyo Co Ltd, To Daikin Industries Ltd Daily Journal Co Dainippon Sumitomo Pharma Daiwa House Industry Co Daiwa Secs Group Inc Jpn Dalmac Energy Inc Dalradian Resources Inc Danaos Corp Daqo New Engy Crp-adr New Dare Bioscience Inc Dariohealth Corp Dasan Zhone Solns Inc-new Daseke Inc Data Communications Mgmt Data I O Corp Datametrex Ai Ltd Datawatch Corp Datawind Inc Datum Ventures Inc Dave & Buster's Entertmnt Davidstea Inc Dawson Geophysical Co-new Daxor Corp Db Agri Double Long Etf Db Agri Double Short Etf Db Agriculture Long Etf Db Agriculture Short Etf Db Base Metals Short Etn Db Base Mtls Dbl Long Etn Db Base Mtls Dbl Shrt Etn Db Commodity Dbl Long-etf Db Commodity Dbl Shrt-etf Db Commodity Shrt Etn-etf Db Crude Oil Dbl Shrt Etn Db Crude Oil Short Etn Db Crude Oil Short Etn Db Gold Double Long Etn Db Gold Double Short Etn Db Gold Short Etn D-box Technologies Inc-a Dbv Technologies Spon Adr Dbx Etf Xtrk Hi Beta Etf Dbx Etf Xtrk Low Beta Etf Dbx Etf Xtrk Shrt Dur Etf Dbx Xtrack Msci Braz Hdge Dbx Xtrk Usd H/y Corp Bd Dean Foods Co-new Decade Resources Ltd Deciphera Pharmaceuticals Decisive Dividend Corp Deckers Outdoor Corp Defiance Silver Corp Del Frisco's Restrnt Grp Del Taco Restaurants Inc Delaware Enhanced Global Delaware Inv Colorado Mun Delaware Inv Minn Muni Ii Delaware Inv Nat Mun Incm Delaware Invt Div&incm Fd Delek Logistics Lpu Delia's Inc Delmar Pharmaceuticals Delphi Energy Corp

Symbol

Major Market

CYM CTEK CELP CUG'H CYRN CYS CYTK CTMX CYTX CTSO CYTR DCNSF DSKYF DKILF DJCO DNPUF DWAHF DSECF DAL DNA DAC DQ DARE DRIO DZSI DSKE DCM DAIO DM DWCH DW DAT'H PLAY DTEA DWSN DXR DAG AGA AGF ADZ BOS BDD BOM DYY DEE DDP DTO OLO SZO DGP DZZ DGZ DBO DBVT HYUP HYDW SHYL DBBR HYLB DF DEC DCPH DE DECK DEF DFRG TACO DEX VCF VMM VFL DDF DKL DLIAQ DMPI DEE

T US US T US US US US US US US US US US US US US US T T US US US US US US T US T US T T US US US US US US US US US US US US US US US US US US US US T US US US US US US US T US T US T US US US US US US US US US US T

Loan Value (No Loan Value below $3.00)

25% 25% 25% 25% 25% 50% 25% 25% 0% 25% 0% 25% 25% 25% 25% 25% 25% 25% 25% 25% 0% 50% 25% 25% 25% 50% 25% 25% 0% 25% 25% 0% 50% 25% 25% 25% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 25% 25% 0% 0% 35% 0% 35% 50% 25% 25% 25% 50% 25% 50% 50% 25% 25% 25% 25% 25% 50% 25% 0% 25%

Security Name Delta 9 Cannabis Inc-new Delta Apparel Co Delta Technology Hldgs Lt Denali Therapeutics Inc Denbury Resources Inc-new Denison Mines Corp Denny's Corp Denso Corp Dentsu Inc, Tokyo Depomed Inc Dermira Inc Despegar.com Corp Destination Maternity Cor Destination Xl Group Inc Destiny Media Techs Deswell Inds Inc Determine Inc Detour Gold Corp Deutsche Boerse Ag Deutsche High Incm Opp Fd Deutsche Lufthansa Ag Deutsche Multi-mkt Icm Tr Deutsche Muni Incm Tr Deutsche Post Ag Deutsche Strat Mun Icm Tr Deutsche Strategic Icm Tr Deutsche Telekom Ag Reg Deutsche X-track H/yld Bd Devin Energy Corp Dexcom Inc Dextera Surgical Inc Dgse Companies Inc Dhi Group Inc Dhx Media Ltd Var Vtg Shr Dhx Media Ltd Vtg Shr Diagnocure Inc Diagnos Inc Diamcor Mining Inc Diamedica Therapeutics Diamond Est Wine&spirits Diamond Offshore Drilling Diana Containerships-new Diana Shipping 8.5% Pfd Diana Shipping Inc Diana Shipping Inc-b Pfd Dianor Resources Inc Diasorin S.p.a. Dicerna Pharmaceuticals Dick's Sporting Goods Inc Diebold Nixdorf Inc Difference Cap Finl Inc Differential Brands Group Diffusion Pharmaceuticals Digi Intl Inc Digiliti Money Group Inc Digirad Corporation Digital Ally Inc-new Digital Turbine Inc Dillards Cap Tr I 7.5% Pr Dillard's Inc Cl-a Dime Community Bancshares Dineequity Inc Diplomat Pharmacy Inc Direct Coating Inc Direxion Daily Csi300 Etf Direxion Daily Euro Stx50 Direxion Dly 20+yr T-bull Direxion Dly 7-10y T-bear Direxion Dly 7-10y T-bull Direxion Dly Aero&def Etf Direxion Dly Brzl Bull 3x Direxion Dly Csi 300 Etf Direxion Dly Csi Chn Intr Direxion Dly Dev Mkts-new Direxion Dly Dv Mk Bull3x Direxion Dly E/m Bd Bul3x

Symbol

Major Market

NINE DLA DELT DNLI DNR DML DENN DNZOF DNTUF DEPO DERM DESP DEST DXLG DSY DSWL DTRM DGC DBOEF DHG DLAKF KMM KTF DPSTF KSM KST DTEGF HYIH DVC'H DXCM DXTR DGSE DHX DHX'A DHX'B DGCRF ADK DMI DMA DWS DO DCIX DSXN DSX DSX.B RSDNF DSRLF DRNA DKS DBD DCF DFBG DFFN DGII DGLT DRAD DGLY APPS DDT DDS DCOM DIN DPLO DTCO CHAD EUXL TMF TYO TYD DFEN BRZU CHAU CWEB DPK DZK EMBU

T US US US US T US US US US US US US US T US US T US US US US US US US US US US T US US US US T T US T T T T US US US US US US US US US US T US US US US US US US US US US US US US US US US US US US US US US US US US

Loan Value (No Loan Value below $3.00)

0% 25% 0% 25% 50% 50% 50% 25% 25% 25% 25% 0% 25% 25% 25% 0% 25% 50% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 0% 50% 25% 25% 25% 50% 50% 0% 25% 25% 0% 25% 50% 0% 0% 0% 0% 0% 0% 0% 50% 50% 25% 25% 0% 50% 25% 25% 25% 25% 25% 50% 50% 50% 50% 0% 0% 0% 0% 0% 0% 0% 0% 25% 0% 0% 0% 0%

Security Name Direxion Dly E/m Bear-new Direxion Dly E/m Bull 3x Direxion Dly Egy Bear-new Direxion Dly Engy Bull 3x Direxion Dly Eur Fin Bull Direxion Dly Fin Bear-new Direxion Dly Ftse Chn-new Direxion Dly Ftse Eur Bul Direxion Dly Gld Mnr Bull Direxion Dly Gld Mns Etf Direxion Dly H/y Bear 2x Direxion Dly Homebld&supp Direxion Dly Ind Bull Etf Direxion Dly Jpn Bull 3x Direxion Dly Korea 3x Etf Direxion Dly M/c Bear-new Direxion Dly M/c Bull-new Direxion Dly Mdcap Bull3x Direxion Dly Msci India Direxion Dly Msci Mex Etf Direxion Dly Nat Gas Etf Direxion Dly Pharma & Med Direxion Dly R/e Bear-new Direxion Dly Reg Bk Bull Direxion Dly Rl Est Bull Direxion Dly Rus Bull 3x Direxion Dly S&p Bio Etf Direxion Dly S&p Bull 3x Direxion Dly S&p O&g Etf Direxion Dly S&p500 Bul2x Direxion Dly S/c Bear-new Direxion Dly Smcap Bull3x Direxion Dly Sp500 Bull3x Direxion Dly Tec Bear-new Direxion Dly Tech Bull 3x Direxion Dly Transpor Etf Direxion Dly Utl Bull Etf Direxion Jr Gld Mnrs Bear Direxion Jr Gld Mnrs Bull Direxion Ptfl+dev Mkt Etf Direxion Ptfl+emer Mk Etf Direxion Ptfl+s&p 500 Etf Direxion Ptfl+s&p M/c Etf Direxion Ptfl+s&p S/c Etf Direxion Ptfl+tot Bnd Etf Direxion Reg Bks Bear Etf Direxion Russia Bear Etf Direxion Semi Bear 3x Etf Direxion Silv Mnr Bull 2x Direxion Sp500 Bear1x Etf Direxion Sp500 Bear3x Etf Direxn Dl Fin Bull 3x-new Direxn Dly Ftse Chna Bull Direxn Dly Lat Ame Bull3x Direxn Dly Nat Gas Bull3x Direxn Dly S&p O&g Bull3x Direxn Dly20+y T-bear-new Dirtt Environment Sol Inc Discovery-crp Enterprises Distribuidora Internacion Ditech Holding Corp Divergent Energy Svcs Crp Diversicare Hlthcare Svcs Diversified Restaurant Hl Diversified Royalty Corp Divestco Inc Cl-a Dividend & Income Fd-new Dividend Select 15 Corp Dixie Group Inc Cl-a Dlc Holdings Corp Dlh Holdings Corp Dmg Blockchain Solns Inc Dnb Financial Corp Dnp Select Income Fnd Inc Document Security Sys-new Dogness (intl) Corp Cl-a

Symbol

Major Market

EDZ EDC ERY ERX EUFL FAZ YANG EURL NUGT DUST HYDD NAIL DUSL JPNL KORU MIDZ SMLL MIDU INDL MEXX GASX PILL DRV DPST DRN RUSL LABD LABU DRIP SPUU TZA TNA SPXL TECS TECL TPOR UTSL JDST JNUG PPDM PPEM LLSP PPMC LLSC PPTB WDRW RUSS SOXS SHNY SPDN SPXS FAS YINN LBJ GASL GUSH TMV DRT DCY DIDAF DHCP DVG DVCR SAUC DIV DVT DNI DS DXYN DLC DLHC DMGI DNBF DNP DSS DOGZ

US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US T T US US T US US T T US T US T US T US US US US

Loan Value (No Loan Value below $3.00)

0% 0% 0% 0% 35% 0% 0% 0% 0% 0% 25% 0% 0% 0% 0% 0% 35% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 35% 0% 0% 0% 0% 0% 0% 0% 0% 0% 35% 35% 35% 35% 35% 35% 0% 0% 0% 35% 0% 0% 0% 0% 0% 0% 0% 0% 50% 25% 25% 25% 25% 25% 25% 50% 25% 25% 50% 25% 0% 25% 0% 25% 25% 25% 0%

Security Name Dolphin Entertainment Inc Dominion En 5.25%-a Nts Dominion Res Blk Warrior Domtar Corp-new Donegal Group Inc -a Donnelley Finl Solns Inc Dorchester Minerals Lp Dorian Lpg Ltd Dorman Products Inc Doubleline Incm Sol-a T/u Doubleline Incm Solutions Doubleline Oppor Cr Fnd Doubleview Capital Corp Dova Pharmaceuticals Inc Dover Downs Gaming & Ent Dover Motorsports Inc Dpw Holdings Inc Dr Reddy's Labs-adr Dragon Victory Intl Ltd Dragonfly Capital Corp Dragonwave Inc-new Draper Oakwood Tech Acq-a Drdgold Ltd Sp/adr Dream Hard Asset Alts T/u Dream Industrial Reit T/u Dream Office Reit T/u Dreyfus Alc Glb Incm 2024 Dreyfus High Yield St Fnd Dreyfus Mun Incme Inc Dreyfus Muni Bnd Infrast Dreyfus Strat Municipals Dreyfus Strategic Mun Bd Drive Shack Inc Dropcar Inc Drx Dly Scond 3x Bull Etf Dryships Inc-new Ds Healthcare Group Inc Dsv As Dkk 1.0 Dsw Inc Class-a Dtf Tax-free Income Inc Duff & Phelps Gl Utl Incm Duff & Phelps Select Engy Duff & Phelps Util Corp Duluth Holdings Inc Cl-b Dundee Corp Cl-a-sv Dundee Corp Sr-3 1st Pfd Dundee Corp Srs-2 Pfd Dundee Corp7.5% S5 1st Pf Dundee Energy Ltd Dundee Precious Metals Dupont E I De Nemour Pr-a Dupont E I De Nemour Pr-b Durect Corporation Dxi Energy Inc Dxn Dly Retl 3x Bull Etf Dxn Healthcre Bull 3x Etf Dxp Enterprises Inc Dynacert Inc Dynacor Gold Mines Inc Dynacq Healthcare Inc Dynagas Lng Parters Lpu Dynagas Lng-a 9% Cm Rd Pf Dynasil Corp Of Amer Dynatronics Corp-new Dynavax Technologies-new Dynegy Inc Dynex Capital Inc Dynex Power Inc E.on Ag-new E.s.i. Environmental Sens Eagle Bancorp Inc Eagle Bancorp Montana Inc Eagle Bulk Shipping Inc Eagle Capital Growth Fd Eagle Energy Inc Eagle Financial Bancorp

Symbol

Major Market

DLPN DRUA DOMR UFS DGICA DFIN DMLP LPG DORM DSL.UN DSL DBL DBV DOVA DDE DVD DPW RDY LYL DRC'H DRWIQ DOTA DRD DRA.UN DIR.UN D.UN DCF DHF DMF DMB LEO DSM DS DCAR SOXL DRYS DSKX DSDVF DSW DTF DPG DSE DUC DLTH DC'A DC.D DC.B DC.E EUGFF DPM DD.A DD.B DRRX DXI RETL CURE DXPE DYA DNG DYII DLNG DLNG.A DYSL DYNT DVAX DYN DX DNX ENAKF ESV EGBN EBMT EGLE GRF EGL EFBI

US US US T US US US US US T US US T US US US US US US T US US US T T T US US US US US US US US US US US US US US US US US US T T T T US T US US US T US US US T T US US US US US US US US T US T US US US US T US

Loan Value (No Loan Value below $3.00)

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Security Name Eagle Growth & Income Opp Eagle Pharmaceuticals Inc Eagle Plains Res Ltd Eagle Point Cr 7.75%-b Pf Eagle Point Cred 6.75% Nt Eagle Point Cred Co-a Pfd Eagle Point Credit 7% Nts Eagle Point Credit Co Inc Earl Resources Ltd Earthworks Inds Inc East Africa Metals Inc East Coast Inv Grade T/u East Japan Railway Co East West Petroleum Corp Easterly Acquisition Corp Eastern Co Eastern Goldfields Inc Eastern Platinum Ltd-new Eastmain Res Inc Eastman Kodak Co Eastside Distilling Inc Easyjet Plc-new Eaton Vance F/r Next Etf Eaton Vance Stk Next Etf Ebara Corp Ebay Inc 6% Nts Ebix Inc Eca Marcellus Trust I Echelon Corp-new Echelon Finl Hldgs Inc Echo Global Logistics Inc Echo Therapeutics Inc Eclipse Residential Mic Eclipse Resources Corp Ecn Capital 6.25%sr-c Pfd Ecn Capital 6.5% Sr-a Pfd Ecn Capital Corp Eco Oro Minerals Corp Eco(atlantic)oil&gas Ltd Ecobalt Solutions Inc Ecology & Environment Inc Economic Investment Trust Ecopetrol Sa-adr Eco-stim Energy Solns Inc Ecosynthetix Inc Edap Tms Sa Adr Edge Therapeutics Inc Edgewater Exploration Ltd Edgewater Technology Inc Edgewater Wireless Systms Editas Medicine Inc Education Management Corp Educational Dev Corp Egain Corp Egalet Corp Eguana Technologies Inc Ehealth Inc Ehi Car Svcs Ltd Spon Adr Eiger Biopharmaceuticals Eisai Co Ltd Ekso Bionics Hldgs Inc El Paso Engy Cap Tr Pr-i El Pollo Loco Hldgs Inc Elbit Imaging Ltd-new Eldorado Gold Crp Eldorado Resorts Inc Electricite De France Edf Electro Scientific Ind Electro Sensors Electrolux Ab Free B Electromed Inc Electronics For Imaging Electrovaya Inc Electrum Special Acq Corp Element Fleet 5y5.75%i Pf Element Fleet 5y6.4%-e Pf

Symbol

Major Market

EGIF EGRX EPL ECCB ECCY ECCA ECCZ ECC ERL'H EWK EAM ECF.UN EJPRF EW EACQ EML EGDD ELR ER KODK EAST EJTTF EVFTC EVSTC EBCOF EBAYL EBIX ECT ELON EFH ECHO ECTE ERM ECR ECN.C ECN.A ECN EOM EOG ECS EEI EVT EC ESES ECO EDAP EDGE EDW'H EDGW YFI EDIT EDMC EDUC EGAN EGLT EGT EHTH EHIC EIGR ESALF EKSO EP.C LOCO EMITF ELD ERI ECIFF ESIO ELSE ELUXF ELMD EFII EFL ELEC EFN.I EFN.E

US US T US US US US US T T T T US T US US US T T US US US US US US US US US US T US US T US T T T T T T US T US US T US US T US T US US US US US T US US US US US US US US T US US US US US US US T US T T

Loan Value (No Loan Value below $3.00)

25% 25% 25% 25% 0% 25% 0% 25% 0% 25% 25% 25% 25% 25% 0% 25% 0% 25% 25% 50% 25% 25% 25% 25% 25% 0% 25% 25% 25% 25% 50% 25% 25% 50% 50% 50% 50% 25% 25% 0% 25% 25% 50% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 0% 25% 50% 25% 0% 25% 25% 25% 50% 25% 50% 25% 0% 50% 25% 25% 25% 50% 25% 0% 25% 25%

Security Name Element Fleet 5y6.5%-c Pf Element Fleet 5y6.5%-g Pf Element Fleet 5y6.6%-a Pf Element Fleet Mgmt Corp Elements Dogs Of Dow Etf Elements Lk Spectrm L/cap Elements Morningstar Wide Elements Rogers Intl Totl Elements Rogers Metls Tot Eleven Biotherapeutics Ellie Mae Inc Ellington Finl Llc Ellington Resdtl Mtg Reit Ellomay Capital Ltd Ellsworth Growth And Incm Ellsworth Gwth&incm-a Pfd Elmira Svgs Bk Elmira Ny Eltek Ltd-new Ely Gold Royalties Inc Emagin Corp Emblem Corp Embotell Andina Sp/adr-a Embotell Andina Sp/adr-b Embraer Sa Spon Adr Emc Insurance Group Inc Emclaire Financial Corp Emcore Corporation-new Emerald Bay Energy Inc Emerald Expositions Event Emerald Health Therap Inc Emerge Energy Services Lp Emergent Biosolutions Inc Emergent Capital Inc Emerita Resources Corp Emerson Radio Emmis Communicatns-a New Empire Life Ins5.75%-1 Pf Empire Metals Corp Empire Resorts Inc-new Empire State Rlty Op Lp Empire State Rlty Op-250 Empire State Rlty Op-60 Employers Holdings Inc Empresa Distribuidora Adr Empresas Ica Sa Adr Enablence Techs Inc-new Enagas Enanta Pharmaceuticals Encanto Potash Corp Endeavour Mining Corp-new Endeavour Silver Corp Endesa Sa Endo International Plc Endocyte Inc Endologix Inc Endra Life Sciences Inc Endurance Gold Corp Endurance Intl Grp Hldgs Enduro Royalty Trust T/u Enel Enercare Inc Energold Drilling Corp Energous Corp Energulf Resources Inc Energy Focus Inc Energy Fuels Inc-new Energy Income Fund T/u Energy Recovery Inc Energy Transfer Equ Lpu Energy Transfer Ptnr Lpu Energy Xxi Gulf Coast Inc Enerjex Resources Inc-new Enerplus Corp Enerspar Corp Engagement Labs Inc Engility Holdings Inc-new

Symbol

Major Market

EFN.C EFN.G EFN.A EFN DOD EEH WMW RJI RJZ EBIO ELLI EFC EARN ELLO ECF ECF.A ESBK ELTK ELY EMAN EMC AKO'A AKO'B ERJ EMCI EMCF EMKR EBY EEX EMH EMES EBS EMGC EMO MSN EMMS EML.A EP NYNY ESBA FISK OGCP EIG EDN ICAYY ENA ENGGF ENTA EPO EDV EDR ELEZF ENDP ECYT ELGX NDRA EDG EIGI NDRO ESOCF ECI EGD WATT ENG'H EFOI EFR ENI.UN ERII ETE ETP EXXI ENRJ ERF ENER EL EGL

T T T T US US US US US US US US US US US US US US T US T US US US US US US T US T US US US T US US T T US US US US US US US T US US T T T US US US US US T US US US T T US T US T T US US US US US T T T US

Loan Value (No Loan Value below $3.00)

25% 25% 25% 25% 0% 0% 0% 0% 0% 0% 50% 50% 25% 25% 25% 25% 25% 25% 25% 25% 0% 25% 25% 0% 25% 25% 25% 25% 50% 25% 25% 25% 25% 25% 25% 25% 25% 0% 25% 25% 25% 25% 50% 0% 0% 25% 25% 25% 25% 25% 50% 25% 25% 0% 50% 25% 25% 50% 25% 0% 70% 25% 50% 25% 25% 25% 25% 25% 50% 50% 25% 25% 50% 0% 25% 50%

Security Name Englobal Corp Eni S P A Adr Eni Spa Eur 1 Enlink Midstream Llc Enova Intl Inc Enphase Energy Inc Ensco Plc Cl-a Enseco Engy Svcs Corp Enservco Corporation Ensign Energy Svcs Inc Ensync Inc Entegra Financial Corp Entellus Medical Inc Entercom Communications Entergy Arkansas 4.75%pfd Entergy Arkansas 4.875% Entergy Arkansas 4.9% Pfd Entergy Louis 4.875% Mtg Entergy Louis 5.25% Mtg Entergy Louisiana 4.7%pfd Entergy New Orl 5.5% Bnds Entergy New Orl Fst Mtg5% Entergy Texas 5.625% Mtg Enterprise Bancorp Inc Enterprise Financial Svcs Entravision Communication Entrec Corporation Entree Resources Ltd Envestnet Inc Environmental Waste Intl Enviro-serv Inc Envision Healthcare Corp Enviva Partners Lp Enwave Corporation Enzon Pharmaceuticals Inc Ep Energy Corp Cl-a Epirus Biopharmaceuticals Epizyme Inc Epsilon Energy Ltd Eq Inc Eqube Gaming Ltd Equinox Gold Corp Equitable Financial Corp Equitable Group Inc Equitable Grp 6.35% S3 Pf Equitorial Explor Corp Equus Total Return Inc Era Group Inc Erba Diagnostics Inc Erdene Resource Dev Corp Ergoresearch Ltd Erin Energy Corp Ero Copper Corp Eros Intl Plc-new Erytech Pharma Spons Adr Escalade Inc Escalera Res Co Ser-a Pfd Escalera Resources Co Escalon Medical Corp Eshippers Mgmt Ltd-new Eskay Mining Corp Esperion Therapeutics Inc Espey Mfgr & Electronics Espial Group Inc Esprit Holdings Ltd Esquire Finl Hldgs Inc Essa Bancorp Inc Essa Pharma Inc Essendant Inc Essential Engy Svcs Ltd Essilor International Esterline Technologies Cp Estre Ambiental Inc Etablissementen Franz Col Etf Ser Soln Deep Val Etf Etfis Ser Newflt M/s Etf

Symbol

Major Market

ENG E EIPAF ENLC ENVA ENPH ESV ENSRF ENSV ESI ESNC ENFC ENTL ETM EAE EAI EAB ELC ELJ ELU ENO ENJ EZT EBTC EFSC EVC ENT ETG ENV EWS EVSV EVHC EVA ENW ENZN EPE EPRSQ EPZM EPS EQ EQG EQX EQFN EQB EQB.C EXX EQS ERA ERBA ERD ERG ERN ERO EROS ERYP ESCA ESCSQ ESCRQ ESMC EPX'H ESK ESPR ESP ESP ESHDF ESQ ESSA EPI ESND ESN ESLOF ESL ESTR CUYTF DVP NFLT

US US US US US US US US US T US US US US US US US US US US US US US US US US T T US T US US US T US US US US T T T T US T T T US US US T T US T US US US US US US T T US US T US US US T US T US US US US US US

Loan Value (No Loan Value below $3.00)

25% 50% 0% 50% 50% 25% 50% 25% 25% 50% 25% 25% 50% 50% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 50% 50% 25% 0% 50% 25% 25% 50% 50% 25% 0% 50% 0% 25% 25% 25% 0% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 0% 25% 25% 25% 25% 0% 25% 25% 0% 50% 25% 25% 50% 0% 25% 25% 0%

Security Name Etfs Gold Trust Etfs Silver Trust Ethan Allan Interiors Ethos Gold Corp Etracs Alerian Mlp Etn Etracs M/p 2x Lev Dj Etn Etracs Monthly Pay 2x Lev Etracs Mthly Pay 2xlevrgd Etracs Mthy Pay 2xlev Etn Etracs S&p Gsci Crude Oil E-tracs Ubs Bbg Cmci Agri E-tracs Ubs Bbg Cmci Engy E-tracs Ubs Bbg Cmci Etf E-tracs Ubs Bbg Cmci Food E-tracs Ubs Bbg Cmci Gold E-tracs Ubs Bbg Cmci Live E-tracs Ubs Bbg Cmci Silv E-tracs Ubs Bloombrg Etf E-tracs Ubs Long Plat Etf Etrion Corp Etsy Inc Euro Sun Mining Inc Euro Tech Hldgs Co Ltd Eurocontrol Technics Grp Euromax Resources Ltd Euronav Nv Europe Blue-chp Dv&gw T/u European Commercial Reit European Div Growth T/u European Equity Fund W/d European Focused Div T/u Euroseas Ltd Ev Energy Partners Lpu Evans Bancorp Inc Ever-glory Intl Group Evergreen Gaming Corp Evermount Ventures Inc Everspin Technologies Inc Evertec Inc Everton Resources Inc Evertz Technologies Ltd Evine Live Inc Cl-a Evofem Biosciences Inc Evogene Ltd Evoke Pharma Inc Evolus Inc Evolution Petroleum Corp Evolve Auto Innov Idx Etf Evolve Marijuana Etf Evolve Us Bk Enh Etf-unhd Evolve Us Bks Enh Etf-hdg Evolving Systems Inc Evraz Plc Evrim Resources Corp Exact Sciences Corp Exactearth Ltd Exall Energy Corp Exceed Company Ltd Excellon Resources-new Excelsior Mining Corp Exch List Insight Pat Etf Exch Listed Insight Lgbt Exch Trade Innov Next Etf Exch Traded Inno Next Etf Exch Trd Concept Hull Etf Exchange Income Corp Exclamation Invts Corp Exco Resources Inc-new Exco Technologies Ltd Exela Technologies Inc Exelixis Inc Exfo Inc Sv Exo U Inc Exone Co (the) Experian Plc Usd 0.10 Explor Resources Inc-new

Symbol

Major Market

SGOL SIVR ETH ECC AMU DVYL DVHL CEFL SMHD OILX UAG UBN UBM FUD UBG UBC USV UCI PTM ETX ETSY ESM CLWT EUO EOX EURN EBC.UN ERE.UN EDGF.UN EEA EF.UN ESEA EVEP EVBN EVK TNA ETV'H MRAM EVTC EVR ET EVLV EVFM EVGN EVOK EOLS EPM CARS'U SEED CALL'B CALL EVOL EVRZF EVM EXAS XCT EXGYF EDSFF EXN MIN HONR PRID KOIN EKAR HTUS EIF XI XCOOQ XTC XELA EXEL EXF EXO'H XONE EXPGF EXS

US US US T US US US US US US US US US US US US US US US T US T US T T US T T T US T US US US US T T US US T T US US US US US US T T T T US US T US T US US T T US US US US US T T US T US US T T US US T

Loan Value (No Loan Value below $3.00)

50% 50% 50% 25% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 25% 50% 25% 25% 25% 25% 50% 25% 25% 25% 25% 25% 0% 25% 25% 0% 0% 0% 25% 0% 25% 25% 25% 0% 0% 0% 25% 25% 0% 25% 0% 0% 25% 0% 25% 50% 25% 25% 25% 25% 25% 25% 0% 0% 50% 0% 25% 25% 25% 50% 25% 50% 25% 25% 25% 25% 25%

Security Name Express Inc Extendicare Inc Exterran Corp Extraction Oil & Gas Inc Extreme Networks Inc Eyegate Pharmaceuticals Eyenovia Inc Ezcorp Inc Cl-a Nv Fa Invest Grd Bnd Etf Usd Fab Universal Corp Fabrinet Faircourt Gold Income-a Fairfax Africa Hldgs-svs Fairfax India Hldgs Svs Fairmount Santrol Hldgs Falco Resources Ltd Falcon Oil & Gas Ltd Falconstor Software Inc Famous Daves Of America Fancamp Exploration Ltd Fang Holdings Ltd Adr Fanhua Inc Spons Adr Fanuc Ltd Farmers National Banc Crp Faro Technologies Inc Fast Retailing Co Ltd Fat Brands Inc Fate Therapeutics Inc Fauquier Bankshares Inc Fbl Financial Group-a Fc Global Realty Inc Fcb Financial Hldgs Inc-a Federal Agriculture Mtg-c Federal Street Acquis Crp Federated National Hldg Federated Premier Mun Inc Fenix Parts Inc Fennec Pharmaceuticals Ferguson Plc Feronia Inc Ferrari N.v. Ferro Corporation Ferroglobe Plc Ferrovial Sa Ffbw Inc Fi Enhanced Glb Hi Yield Fibre-crown Manufact Fibresources Corporation Fibria Celulose Sa Adr Fibrocell Science Inc-new Fibrogen Inc Fidelity D&d Bancorp Fidelity Intl Val Fac Etf Fidelity Southern Corp Fiduciary/claymore Mlp Op Fidus Investment Corp Fidus Invt Corp 5.875% Nt Fieldex Exploration Inc Fieldpoint Pete Corp Fiera Capital Corp-a Svs Fiesta Restaurant Grp Inc Fifth Street Asset Mgmt-a Filo Mining Corp Financial Engines Inc Financial Institutions In Findev Inc Finish Line Inc Cl-a Finjan Holdings Inc Fintech Acquistion Crp Ii Firan Technology Grp Corp Fireeye Inc Firesteel Res Inc Fireswirl Tech Inc Firm Cap Amer Rlty Ptnrs Firm Capital Mtg Inv Corp Firm Capital Property T/u

Symbol

Major Market

EXPR EXE EXTN XOG EXTR EYEG EYEN EZPW FIG'U FABU FN FGX FAH'U FIH'U FMSA FPC FO FALC DAVE FNC SFUN FANH FANUF FMNB FARO FRCOF FAT FATE FBSS FFG FCRE FCB AGM FSAC FNHC FMN FENX FRX WOSCF FRN RACE FOE GSM FRRVF FFBW FIEG FBR'H FB'H FBR FCSC FGEN FDBC FIVA LION FMO FDUS FDUSL FLX FPPP FSZ FRGI FSAM FIL FNGN FISI FDI FINL FNJN FNTE FTG FEYE FTR FSW FCA'U FC FCD.UN

US T US US US US US US T US US T T T US T T US US T US US US US US US US US US US US US US US US US US T US T US US US US US US T T US US US US US US US US US T US T US US T US US T US US US T US T T T T T

Loan Value (No Loan Value below $3.00)

50% 50% 50% 50% 25% 0% 0% 50% 0% 25% 25% 25% 25% 50% 50% 25% 25% 25% 25% 25% 50% 50% 25% 50% 50% 25% 25% 25% 25% 50% 25% 50% 50% 0% 25% 25% 25% 0% 25% 25% 50% 50% 50% 25% 25% 0% 0% 0% 0% 0% 50% 25% 50% 50% 25% 50% 50% 0% 25% 50% 50% 25% 25% 50% 50% 25% 50% 25% 0% 25% 50% 25% 25% 25% 25% 25%

Security Name First Acceptance Corp First Asset Cdn Cv Bd Etf First Asset Nth Am Cv T/u First Asst Div Cv Deb T/u First Asst Mornstr Us T/u First Ast Cdn Conv Fd T/u First Ast Cdn Div Opp T/u First Bancorp Inc First Bancorp N C First Bancorp P R-new First Bank Of New Jersey First Bauxite Corp First Busey Corp Cl-a New First Business Fncl Svcs First Capital Inc First Cobalt Corp First Commonwlth Finl Cp First Community Bancshare First Community Corp, Sc First Connecticut Bancorp First Financial Bancorp First Financial Northwest First Finl Corp Ind First Global Data Ltd First Guaranty Bancshares First Internet Banc 6% Nt First Intst Bancsys Inc-a First Majestic Silver Crp First Merchants Corp First Midwest Bancorp First Natl Fin Fl/rt-a2pf First Natl Fin2.79%-a1 Pf First Natl Financial Corp First Nbc Bank Holding Co First Nickel Inc First Northwest Bancorp First Of Long Island Corp First Quantum Minerls Ltd First Savings Finl Group First Solar Inc First Source Corp First State Financial Crp First Tr Aberdeen Emrg Fd First Tr Aberdeen Gl Opp First Tr Alt Abs Ret Etf First Tr Dyn Euro Eq Incm First Tr Emeging Mkts Etf First Tr Energy Infrastru First Tr Engy Incm & Gwth First Tr Enhanced Eqty Fd First Tr Hi Incm Lng Shrt First Tr Long/shrt Eq Etf First Tr Managed Futures First Tr New Opp Mlp&engy First Tr Snr F/r Incm Ii First Tr Spec Fin&finl Op First Tr Strat H/i Ii-new First Tr Tactical H/y Etf First Trust Intermed Dur First Trust Mlp & Energy First Trust Mtg Income First United Corp First Us Bancshares Inc Firsthand Tech Value Fd Fisher & Paykel Healthcre Fission 3.0 Corp Fitbit Inc Cl-a Fitch Street Cap Corp-new Five Oaks Investment Corp Five Oaks Invst 8.75%a Pf Five Prime Therapeutics Five Star Senior Living Five9 Inc Flagstar Bancorp Inc-new Flaherty&crm Dyn Pfd&incm Flaherty&crm Pfd Sec Incm

Symbol

Major Market

FAC CXF NCD.UN DCD.UN UCD.UN ADC.UN FADCF FNLC FBNC FBP FRBA FBX BUSE FBIZ FCAP FCC FCF FCBC FCCO FBNK FFBC FFNW THFF FGD FGBI INBKL FIBK FR FRME FMBI FN.B FN.A FN FNBCQ FNKLF FNWB FLIC FM FSFG FSLR SRCE FSTF FEO FAM FAAR FDEU FEM FIF FEN FFA FSD FTLS FMF FPL FCT FGB FHY HYLS FPF FEI FMY FUNC FUSB SVVC FSPKF FUU FIT FSC'H OAKS OAKS.A FPRX FVE FIVN FBC DFP FFC

US T T T T T US US US US US T US US US T US US US US US US US T US US US T US US T T T US US US US T US US US US US US US US US US US US US US US US US US US US US US US US US US US T US T US US US US US US US US

Loan Value (No Loan Value below $3.00)

25% 25% 25% 25% 25% 25% 0% 25% 50% 0% 25% 25% 50% 25% 25% 25% 50% 50% 25% 25% 50% 25% 50% 25% 25% 0% 50% 50% 50% 50% 25% 25% 25% 25% 25% 25% 50% 25% 25% 50% 50% 0% 25% 25% 0% 25% 50% 25% 25% 25% 25% 0% 0% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 50% 0% 25% 25% 25% 25% 50% 50% 25% 25%

Security Name Flaherty&crm Total Rtn Fd Flaherty&crum Pf Incm Opp Flaherty&crum Pfd Incm Fd Flanigans Enterprises Inc Fletcher Building Ltd Flex Pharma Inc Flexible Solutions Intl Flexion Therapeutics Inc Flotek Inds Inc (de) Flsmidth & Co. A/s Fluidigm Corp Flushing Financial Corp Flyht Aerospace Solns Ltd Foamix Pharmaceuticals Lt Focus Graphite Inc Focus Ventures Ltd Focused Cap Ii Corp Folkstone Capital Corp Fomento De Construcciones Fomento Eco Mex Sab S/adr Fonar Corp Foraco International Foran Mining Corp Foresight Autonomous Ads Foresight Energy Prtns Lp Formula Sys 1985 Ltd Adr Forsys Metals Corp Forterra Inc Fortescue Metal Group Ltd Fortress Bio-a 9.375% Pfd Fortress Biotech Inc Fortress Glb Enterprises Fortuna Silver Mines Inc Fortune Minerals Ltd Forum Energy Technos Inc Forum Merger Corp Cl-a Forum Uranium Corp-new Forward Inds Inc Forward Pharma A/s Sp/adr Fossal S.a.a. Adr Fossil Group Inc Foster Lb Co Common Cl-a Foundation Medicine Inc Founders Advantage Cap Fox Factory Holding Corp Fp Newspapers Inc Fpx Nickel Corp Fqf Agfiq Hdg Div Icm Etf Fqf Agfiq Us Mk Netu Size Fqf Agfiq Us Mkt Neut Etf Fqf Agfiq Us Mkt Neut Mom Fqf Agfiq Us Mkt Neut Val Francescas Hldgs Corp Franchise Svcs Of Nrth Am Frank Temp Ftse Brazl Etf Franklin Lib Em Mkts Etf Franklin Universal Tr Sbi Frankly Inc-new Freds Inc Cl-a Freegold Ventures Ltd Freeport-mcmoran Inc Freightcar Amer Inc Frequency Electrs Inc Com Freshii Inc Cl-a Sub Vtg Freshpet Inc Fresnillo Plc Friedman Inds Fronsac Real Est Invt T/u Fronteo Inc Spons Adr Frontera Energy Corp Frontier Commun Corp-new Frontier Rare Earths Ltd Frontline Ltd-new Frp Holdings Inc Fs Bancorp Inc Fs Investment Corp

Symbol

Major Market

FLC PFO PFD BDL FRCEF FLKS FSI FLXN FTK FLIDF FLDM FFIC FLY FOMX FMS FCV FAV'H FKS'H FMOCF FMX FONR FAR FOM FRSX FELP FORTY FSY FRTA FSUMF FBIOP FBIO FGE FVI FT FET FMCI FDC FORD FWP FSSLY FOSL FSTR FMI FCF FOXF FP FPX DIVA SIZ BTAL MOM CHEP FRAN FSN'H FLBR FLEM FT TLK FRED FVL FCX RAIL FEIM FRII FRPT FNLPF FRD GAZ.UN FTEO FEC FTR FREFF FRO FRPH FSBW FSIC

US US US US US US US US US US US US T US T T T T US US US T T US US US T US US US US T T T US US T US US US US US US T US T T US US US US US US T US T US T US T US US US T US US US T US T US US US US US US

Loan Value (No Loan Value below $3.00)

25% 25% 25% 25% 25% 0% 25% 25% 50% 0% 25% 50% 25% 0% 25% 25% 0% 0% 0% 50% 25% 25% 25% 25% 25% 25% 25% 50% 25% 0% 0% 25% 50% 25% 50% 0% 25% 25% 0% 25% 50% 50% 25% 25% 50% 25% 25% 0% 0% 0% 0% 0% 25% 25% 0% 50% 25% 25% 25% 25% 50% 25% 25% 25% 50% 25% 25% 25% 25% 25% 50% 25% 50% 25% 25% 50%

Security Name Fsb Bancorp Inc Ft Alpha Us Cons Etf-hdge Ft Alpha Us Hlth Etf-hdge Ft Alpha Us Indl Etf-hdge Ft Alpha Us Tech Etf-hdge Ft Brazil Alphadex Etf Ft Dorsey Wright People's Ft Ind Inno Tran&proc Etf Ft Shrt Dur Hy(c$-hdg)etf Ft Shrt Dur(c$hdg)etf-adv Ft Snr Fl Rt 2022 Tgt Trm Ftd Companies Inc Fte Networks Inc Fts International Inc Fuel Tech Inc Fuelcell Energy Inc-new Fugro Nv-cva Fuji Electric Hldg Co Ltd Fujifilm Holdings Corp Fujitsu Ltd Ec#6702 Fulgent Genetics Inc Fuling Global Inc Full House Resorts Inc Fuller H.b. Co Function(x) Inc Funko Inc Cl-a Fusion Telecomm Intl Inc Future Fintech Group Inc Futurefuel Corp Fuwei Films Hldgs Co-new G.willi-food Internationl G1 Therapeutics Inc G4s Plc Gabelli Conv&incm Sec Fnd Gabelli Conv&incm-b 6%pfd Gabelli Div&incm Tr Pfd-a Gabelli Div&incm Tr Pfd-d Gabelli Div&incm Tr Pfd-g Gabelli Dvd & Incm Trust Gabelli Equity 5.45%-j Pf Gabelli Equity Tr 5%-h Pf Gabelli Equity Trust Inc Gabelli Equity Tst Pfd-d Gabelli Equity Tst Pfd-g Gabelli Glb S&m/cap-a Pfd Gabelli Glb Sml & M/c Val Gabelli Glb Util&incm Trt Gabelli Glb Utl&incm Tr-a Gabelli Go Anywhere Tr Gabelli Go Anywhere-a Pfd Gabelli Healthcare-a Pfd Gabelli Hlthcr&wellnss Tr Gabelli Hlthcr5.875%-b Pf Gabelli Multi Trst-b 6%pf Gabelli Multi-e 5.125% Pf Gabelli Multimedia Trust Gabelli Util Tst Sr-a Pfd Gabelli Utility Tr-c Pfd Gabelli Utility Trust Gabriel Res Ltd Gafisa S.a. Spons Adr-new Gaia Inc Cl-a Gain Capital Holdings Inc Gainey Capital Corp Gainey Resources Ltd-new Galane Gold Ltd Galantas Gold Corp Galapagos Nv-spon Adr Galectin Therapeutics-new Gallery Resources Ltd Galmed Pharmaceuticals Lt Galway Gold Inc Galway Metals Inc-new Gamco Gl Gold Nat Res5%-b Gamco Glb Gld Nat Res&icm Gamco Nat Res Gld&incm Tr

Symbol

Major Market

FSBC FHC'F FHH'F FHG'F FHQ'F FBZ DWPP LEGR FSD FSD'A FIV FTD FTNW FTSI FTEK FCEL FURGF FELTF FUJIF FJTSF FLGT FORK FLL FUL FNCX FNKO FSNN FTFT FF FFHL WILC GTHX GFSZF GCV GCV.B GDV.A GDV.D GDV.G GDV GAB.J GAB.H GAB GAB.D GAB.G GGZ.A GGZ GLU GLU.A GGO GGO.A GRX.A GRX GRX.B GGT.B GGT.E GGT GUT.A GUT.C GUT GBU GFA GAIA GCAP GNC GRY'H GG GAL GLPG GALT GARQF GLMD GLW GWM GGN.B GGN GNT

US T T T T US US US T T US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US T US US US T T T T US US US US T T US US US

Loan Value (No Loan Value below $3.00)

25% 0% 0% 0% 0% 0% 0% 0% 0% 0% 25% 25% 25% 50% 25% 25% 0% 25% 25% 25% 25% 0% 0% 50% 25% 25% 25% 0% 50% 0% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 0% 25% 50% 25% 0% 25% 25% 50% 0% 0% 0% 25% 25% 25% 25% 25%

Security Name Gamco Natl Res&incm-a Pfd Gamehost Inc Gamestop Corp Cl-a Gaming Partners Intl Corp Gannett Co Inc Garibaldi Resources Corp Garrison Capital Inc Gas Natural Sdg-e Eur 1 Gasfrac Energy Svcs Inc Gaslog 8.75%-a Cm Red Pfd Gaslog Ltd Gaslog Partners Lp Gaslog Ptns Lp-b Fx-fr Pf Gastar Exploratn Inc-new Gatekeeper Systems Inc Gatx Corp 5.625% Snr Nts Gazit-globe Ltd Gb Minerals Ltd Gcp Applied Technologies Gdi Integrated Facil Svs Gdl Fund Pfd Gdl Fund (the) Gds Holdings Ltd Spon Adr Geberit Ag Gee Group Inc Gemalto Eur 1 Gemini Corporation Gemphire Therapeutics Inc Gen Elec Cap Corp4.7% Pfd Gencor Inds Inc Gendis Inc Genenews Ltd-new Gener8 Maritime Inc General Amer Invs Co Pfd General Amer.investors General Elec Cap4.875% Pf General Fin Crp 8.125% Pf General Finance 9%-c Pfd General Finance Corp General Moly Inc General Steel Hldgs Inc Genesco Inc Genesis Healthcare Inc-a Genesis Land Development Genetic Techs Spn Adr-new Genie Energy Ltd Genie Energy Ltd Pfd Genius Brands Intl Inc Genmark Diagnostics Inc Genocea Biosciences Inc Genomic Health Inc Gensource Potash Corp Gentherm Inc Gentor Resources Inc Genworth Financial Inc-a Genworth Mi Canada Inc Geo Group Inc (reit) Geodrill Limited Geologix Explorations Inc Geomega Resources Inc Georgia Power Co-17a 5%nt Geospace Technologies Crp Gerdau Sa-spon Adr German Amern Bancorp Inc Geron Corp Gerresheimer Ag Unsp Adr Gespeg Copper Res Inc Getinge Ab Shs -bGetty Copper Inc Gevo Inc-new Gfm Resources Ltd Ggl Resources Corp Giga Tronics Inc Gigamedia Ltd-new Gigcapital Inc G-iii Apparel Group Ltd

Symbol

Major Market

GNT.A GH GME GPIC GCI GGI GARS GASNF GSFVF GLOG.A GLOG GLOP GSLPF GST GSI GMTA GZT GBL GCP GDI GDL.B GDL GDS GBERF JOB GTOFF GKX GEMP GEK GENC GDS GEN GNRT GAM.B GAM GEB GFNSL GFNCP GFN GMO GSIH GCO GEN GDC GENE GNE GNE.A GNUS GNMK GNCA GHDX GSP THRM GNT GNW MIC GEO GEO GIX GMA GPJA GEOS GGB GABC GERN GRRMY GCR GNGBF GTC GEVO GFM'H GGL GIGA GIGM GIG GIII

US T US US US T US US US US US US US US T US T T US T US US US US US US T US US US T T US US US US US US US T US US US T US US US US US US US T US T US T US T T T US US US US US US T US T US T T US US US US

Loan Value (No Loan Value below $3.00)

25% 25% 50% 0% 50% 25% 25% 25% 25% 0% 0% 50% 0% 50% 25% 0% 25% 25% 50% 25% 25% 25% 50% 25% 25% 25% 25% 0% 0% 25% 25% 0% 50% 25% 25% 0% 25% 25% 25% 25% 0% 50% 25% 25% 25% 25% 25% 25% 50% 0% 25% 25% 50% 25% 25% 50% 50% 0% 25% 25% 0% 25% 0% 50% 25% 25% 25% 25% 25% 25% 0% 25% 25% 0% 0% 50%

Security Name Gilat Satellite Ntwks Ginsms Inc Givaudan-reg Glacier Media Inc Gladstone Cap Corp 6% Pfd Gladstone Capital Corp Gladstone Investment Corp Gladstone Land Corp Gladstone Land Ser-a Pfd Glatfelter Glaukos Corp Glb X Msci Pakistan Etf Glb X Social Med Indx Etf Glen Burnie Bancorp Glen Eagle Resources Inc Glg Life Tech Corp-new Global Alpha Wrldwd Gw Tu Global Atomic Corp Global Blockchain Techs Global Blood Therapeutics Global Brokerage Inc Cl-a Global Cobalt Corp Global Div Growr Incm T/u Global Eagle Entertainmt Global Healthcare I&g T/u Global Indemnity 7.75% Nt Global Indemnity 7.875% Global Indemnity Ltd Global Med Reit Inc-a Pfd Global Medical Reit Inc Global Partners Lpu Global Real Est Div Grow Global Self Storage Inc Global Ship Lease Inc-a Global Ship Lease-b Pfd Global Telecom & Util T/u Global Water Res Inc Global X China Consmr Etf Global X China Finls Etf Global X Msci Argentina Global X Msci Columb Etf Global X Msci Greece Etf Global X Superdiv Alt Etf Global X Uranium Etf-new Global X Yieldco Indx Etf Globalance Div Growers Eq Globalscape Inc Globalstar Inc Globeimmune Inc Globex Mining Enterpr-new Globus Maritime Ltd-new Glori Energy Inc Glowpoint Inc Glu Mobile Inc Glycomimetics Inc Gmp Cap Inc Gmp Cap Inc 3.611%-b Pfd Gmp Cap Inc Cuml F/r-c Pf Gn Great Nordic Ltd Gnc Holdings Inc Cl-a Gobimin Inc Godaddy Inc Cl-a Goeasy Ltd Gogo Inc Gogold Res Inc Gol Linhas Aer Pf Adr-new Golar Lng Ltd Golar Lng Partners Lpu Gold Fields Ltd-sp Adr Gold Reserve Inc Cl-a Gold Resource Corp Gold Standard Vents Corp Golden Arrow Res Corp-new Golden Band Res Inc Golden Cariboo Res Ltd Golden Entertainment Inc

Symbol

Major Market

GILT GOK GVDBF GVC GLADN GLAD GAIN LAND LANDP GLT GKOS PAK SOCL GLBZ GER GLG GAF.UN GLO BLOC GBT GLBR GCO'H GDG.UN ENT HIG.UN GBLIZ GBLIL GBLI GMRE.A GMRE GLP GRL SELF GSL GSL.B HGI.UN GWR CHIQ CHIX ARGT GXG GREK ALTY URA YLCO GBF GSB GSAT GBIM GMX GLBS GLRI GLOW GLUU GLYC GMP GMP.B GMP.C GGNDF GNC GMN GDDY GSY GOGO GGD GOL GLNG GMLP GFI GRZ GORO GSV GRG GBRIF GCC'H GDEN

US T US T US US US US US US US US US US T T T T T US US T T US T US US US US US US T US US US T T US US US US US US US US T US US US T US US US US US T T T US US T US T US T US US US US T US T T US T US

Loan Value (No Loan Value below $3.00)

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Security Name Golden Goliath Res Ltd Golden Minerals Co Golden Queen Mng Co Ltd Golden Reign Resources Golden Star Res Ltd Golden Tag Res Ltd Golden Valley Mines Ltd Goldfield Corp Goldgroup Mining Inc Goldman Actvbeta E/m Eqty Goldman Sach Mlp Incm Opp Goldman Sach S&p Indx Nt Goldman Sachs Acc H/y Crp Goldman Sachs Bdc Inc Goldman Sachs Hdg Ind Etf Goldman Sachs Mlp Energy Goldmoney Inc Goldquest Mining Corp Goldsource Mines Inc Goldstrike Resources Ltd Goliath Resources Ltd Golub Capital Bdc Inc Good Times Restuarant Goodfellow Inc Goodfood Market Corp Goodman Group-stapled New Goodrich Petroleum Corp Gopro Inc Cl-a Gores Holdings Ii Inc-a Gourmet Ocean Products Government Ptys 5.875%nts Gowest Gold Ltd Gpt Group-stappled Graham Corp Gran Colombia Gold Corp Gran Tierra Energy Inc Gran Tierra Exchangeco Grana Y Montero Saa Adr Granada Gold Mine Inc Grande West Transport Grp Granite Oil Corp Granite Point Mtg Tr Inc Graphite One Res Inc Gray Television Inc Great Ajax 7.25% Cv Sr Nt Great Ajax Corp Great Cdn Gaming Corp Great Elm Cap Corp 6.5%nt Great Elm Cap Crp 6.75%nt Great Elm Cap Grp Inc-new Great Elm Capital Corp Great Lakes Dredge & Dock Great Lakes Graphite Inc Great Panther Silver Ltd Great Quest Fertilizer Lt Great Southern Bancorp Great Western Bancorp Inc Great Western Minerals Gp Green Brick Partners Inc Greenbriar Capital Corp Greencastle Res Ltd Greene County Bancorp Inc Greenfields Petro Corp Greenhill & Co Inc Greenlight Capital Re Ltd Greenshield Explor Ltd Greenville Federal Fncl Grenville Strategic Rylty Gridsum Holding Inc Adr Griffin Industrial Realty Grifols S A Adr-new Grizzly Discoveries Inc Groundstar Res Ltd Group 1 Automotive Inc Groupe Bruxelles Lambert Groupon Inc

Symbol

Major Market

GNG AUMN GQM GRR GSC GOG GZZ GV GGA GEM GMZ GSC GHYB GSBD GVIP GER XAU GQC GXS GSR GOT GBDC GTIM GDL FOOD GMGSF GDP GPRO GSHT GOP GOVNI GWA GPTGF GHM GCM GTE GTX GRAM GGM BUS GXO GPMT GPH GTN AJXA AJX GC GECCL GECCM GEC GECC GLDD GLK GPR GQ GSBC GWB GWMGF GRBK GRB VGN GCBC GNF GHL GLRE GRX'H GVFF GRC GSUM GRIF GRFS GZD GSA GPI GBLBF GRPN

T T T T T T T US T US US US US US US US T T T T T US US T T US US US US T US T US US T T T US T T T US T US US US T US US US US US T T T US US US US T T US T US US T US T US US US T T US US US

Loan Value (No Loan Value below $3.00)

25% 25% 25% 25% 25% 25% 25% 25% 25% 50% 25% 0% 35% 0% 0% 25% 50% 25% 25% 25% 0% 50% 25% 25% 25% 25% 25% 50% 25% 25% 0% 25% 25% 25% 0% 50% 25% 25% 25% 25% 25% 50% 25% 50% 25% 25% 25% 0% 0% 25% 25% 50% 25% 50% 25% 50% 50% 25% 25% 25% 25% 25% 25% 50% 50% 0% 25% 25% 50% 25% 50% 25% 25% 50% 25% 50%

Security Name Grubhub Inc Grupo Aeroport Sur-adr Grupo Aeroportuario Adr Grupo Fin Galicia Adr Grupo Simec Sab De Cv-adr Grupo Supervielle Spn Adr Grupo Televisa Sa De Glb Gs Yuasa Corp Gse Systems Inc Gsi Technology Inc Gstaad Capital Corp-new Gsv Capital Corp Gta Resources And Mining Gtt Communications Inc Gtx Inc-new Gty Technology Hldgs Cl-a Guangshen Railway-spd-adr Guanwei Recycling Corp Guaranty Bancshares Inc Guaranty Fed Bncshs Inc Guardian Cap Group-a Nv Guardian Capital Grp Ltd Guess? Inc Guestlogix Inc Gug Blt 2018 Hy Cp Bd Etf Gug Blt 2019 Hy Cp Bd Etf Guggenheim Bullet2020 Etf Guggenheim China Allcp Et Guggenheim China R/e Etf Guggenheim China S/c Etf Guggenheim Credit Loc Fnd Guggenheim Enhanced Eqty Guggenheim Solar Etf-new Guggenheim Strategic Opp Guggenheim Tax Muni Mgd Gulf & Pacific Equities Gulf Coast Ult Deep Rylty Gulf Island Fabrication Gulf Resources Inc Gulfmark Offshore Inc Gulfport Energy Corp Gunpoint Exploration Ltd Guyana Goldfields Inc Gvic Comm Corp Cl-b Vtg Gvic Comm Corp Cl-c Nvs Gw Pharmaceuticals Adr Gwg Holdings Inc Gyrodyne Llc H & E Equipment Services H Lundbeck A/s Dkk 5 Habersham Banc Co Habit Restaurants Inc-a Halcon Resources Corp-new Hallador Energy Company Hallmark Finl Svcs Halmont Pptys Corp-a Vtg Halozyme Therapeutics Inc Hamilton Bancorp Inc Hamilton Lane Inc Cl-a Hamilton Thorne Ltd Hammerson Plc Ord- 25p Hammond Manu Co Cl A Sv Hammond Power Sol-a Sv Hampton Finl Corp Cl-a Pf Hancock Hldg Co 5.95% Nts Hancock John Inc Secs Tr Hancock John Tax-advantag Hang Lung Properties Ltd Hang Seng Bank Ltd -ordHanmi Financial Corp Hannon Armstrong Sustain Hanwei Energy Svcs Corp Hanwha Q Cells Co Adr-new Happy Creek Minerals Ltd Harborone Bancorp Inc Hardinge Inc

Symbol

Major Market

GRUB ASR OMAB GGAL SIM SUPV TV GYUAF GVP GSIT GTD'H GSVC GTA GTT GTXI GTYH GSH GPRC GNTY GFED GCG'A GCG GES GUESF BSJI BSJJ BSJK YAO TAO HAO GGM GPM TAN GOF GBAB GUF GULTU GIFI GURE GLF GPOR GUN GUY GCT GCT'C GWPH GWGH GYRO HEES HLUKF HABC HABT HK HNRG HALL HMT HALO HBK HLNE HTL HMSNF HMM'A HPS'A HFC.A HBHCL JHS HTD HLPPF HSNGF HAFC HASI HE HQCL HPY HONE HDNG

US US US US US US US US US US T US T US US US US US US US T T US US US US US US US US US US US US US T US US US US US T T T T US US US US US US US US US US T US US US T US T T T US US US US US US US T US T US US

Loan Value (No Loan Value below $3.00)

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Security Name Hargreaves Lansdown Plc Harmony Gold Mining S/adr Harsco Corp Harte Gold Corp Harte-hanks Inc-new Harvard Bioscience Inc Harvest Cap Cred 6.125%nt Harvest Capital Cred Corp Hashchain Technology Inc Haverty Furniture Cos Inc Hawaiian Holdings Inc Hawaiian Telcom Holdco In Hawkins Inc Hawthorn Bancshares Inc Haymaker Acquisition Cl-a Haynes International Hc2 Holdings Inc Hci Group Inc Hdfc Bank Ltd Adr Health Insurance Innov-a Healthcare Spcl Opp-a T/u Heartland Financial Usa Heat Biologics Inc-new Heatherdale Resources Ltd Hebron Technology Co Ltd Hecla Mining Co Heco Cap Tr Iii 6.5%quips Heidelbergcement Ag Helen Of Troy Ltd Helical Corporation Inc Helijet Intl Inc Helio Resource Corp-new Helios&matheson Analytics Helius Medical Techs Cl-a Helix Biopharma Corp Helix Energy Solutions Gp Hellix Ventures Inc Hemisphere Energy Corp Hemispherx Biopharma-new Hempco Food And Fiber Inc Henderson Land Dev Co Ltd Hengan Intl Grp Co Hkd .1 Hennes & Mauritz-b Sek.25 Hennessy Advisors Inc Hennessy Cap Acq Corp Iii Herbalife Ltd Hercules Capital Inc Heritage Cannabis Hldgs Heritage Commerce Corp Heritage Financial Corp Heritage Insurance Hldgs Heron Resources Ltd-new Heron Therapeutics Inc Heroux-devtek Inc Hertz Global Holdings Inc Herzfeld Caribbean Basin Hess Midstream Prtns Lp Hfx Holding Corp Hhgregg Inc Hibbett Sports Inc Hi-crush Partners Lpu High Arctic Engy Svcs High Liner Foods Inc High North Resources Ltd Highbank Resources Ltd Highbury Projects Inc Highland Copper Co Inc Highland Fl/rt Opp Fund Highpower Intl Inc Highway 50 Gold Corp Highway Hldgs Ltd Hill International Inc Hillcrest Petroleum Ltd Hillman Group Cap Tst Pfd Hilltop Holdings Inc Himax Technologies Sp/adr

Symbol

Major Market

HRGLF HMY HSC HRT HHS HBIO HCAPZ HCAP KASH HVT HA HCOM HWKN HWBK HYAC HAYN HCHC HCI HDB HIIQ MDS.UN HTLF HTBX HTR HEBT HL HE.U HLBZF HELE HSIPF HJI HRC HMNY HSM HBP HLX HLLXF HME HEB HEMP HLDVF HEGIF HMRZF HNNA HCAC HLF HTGC CANN HTBK HFWA HRTG HER HRTX HRX HTZ CUBA HESM HXC HGGGQ HIBB HCLP HWO HLF HNTHF HBK HPI HI HFRO HPJ HWY HIHO HIL HRH HLM'PR HTH HIMX

US US US T US US US US T US US US US US US US US US US US T US US T US US US US US US T T US T T US US T US T US US US US US US US T US US US T US T US US US T US US US T T US T T T US US T US US T US US US

Loan Value (No Loan Value below $3.00)

25% 0% 50% 25% 25% 25% 0% 25% 0% 50% 25% 25% 50% 25% 0% 50% 50% 50% 50% 50% 25% 50% 0% 25% 0% 50% 25% 25% 50% 0% 0% 25% 0% 25% 0% 50% 0% 25% 0% 0% 25% 25% 25% 25% 0% 50% 50% 0% 50% 50% 50% 25% 25% 25% 50% 25% 50% 0% 25% 50% 50% 25% 50% 25% 25% 25% 25% 25% 0% 25% 25% 50% 25% 25% 50% 0%

Security Name Hino Motors Ltd, Tokyo Hirose Electric Co Ltd Histogenics Corp Hitachi Construction Mach Hitachi Ltd Ord Hive Blockchain Techs Ltd Hmg Courtland Properties Hmn Financial Inc Hms Holdings Corp Hoku Corporation Holloway Lodging Corp Hollysys Automation Tech Holmen Ab-b-unspon Adr Homburg Invest-a Sv Home Capital Group Inc Home Federal Bancorp Inc Home Loan Finl Corp Homestreet Inc Hometown Bankshares Corp Hometuyrst Bancshares Inc Hong Kong China Gas Hk.25 Hong Kong Exch&cle Hkd1.0 Honyaku Center Inc Hooker Furniture Corp Hooper Holmes Inc Hope Bancorp Inc Hopfed Bancorp Inc Horace Mann Educators Crp Horizn Emer Marijuana Etf Horizon Bancorp (ind) Horizon Global Corp Horizon Pharma Plc Horizon Tech Fin 6.25% Nt Horizon Techno Fin Corp Horizons Abs Ret Gl-e Etf Horizons Act Gl Fix Icm-e Horizons Act H/y Bd-e Etf Horizons Auspice-e Etf Horizons Cdn Doll Cur Etf Horizons Mrngst Hdg-e Etf Horizons S&p 500 Cov Etf Horizons Us Doll Curr Etf Horizonte Minerals Plc Hornbeck Offshore Svcs In Hornby Bay Mnl Explor-new Hortonworks Inc Horzn Marijuana Lfe-a Etf Horzns Glb Curr Opp-e Etf Hostess Brands Inc Cl-a Houghton Mifflin Harcourt Houston American Energy Houston Wire & Cable Co Hovnanian Enterprises - A Howard Bancorp Inc Hoya Corp Htc Purenergy Inc Htg Molecular Diagnostics Huami Corp Ads Huaneng Pwr Intl Inc -adr Huaxing Machy Corp Hubspot Inc Hudbay Minerals Inc Hudson Global Inc Hudson Resources Inc Hudson's Bay Company Hugoton Royalty Trust Sbi Hunter Maritime Acq Crp-a Hunter Oil Corp Huttig Building Products Hv Bancorp Inc Hydralogic Systems Inc Hydrogenics Corp Hydropothecary Corp (the) Hyduke Energy Svcs Inc Iac/interactivecorp I-am Capital Acquisition

Symbol

Major Market

HINOF HRSEF HSGX HTCMF HTHIF HIVE HMG HMNF HMSY HOKUQ HLC HOLI HLMNY HIIAF HCG HFBL HLFN HMST HMTA HTBI HOKCF HKXCF HONYF HOFT HPHW HOPE HFBC HMN HMJR HBNC HZN HZNP HTFA HRZN HARC HAF HYI HMF CAN HHF HSPX DLR HZM HOS HBE HDP HMMJ'U HGC TWNK HMHC HUSA HWCC HOV HBMD HOCPF HTC HTGM HMI HNP HUA'H HUBS HBM HSON HUD HBC HGT HUNT HOC HBP HVBC HYSYF HYG THCX HYD IAC IAM

US US US US US T US US US US T US US US T US US US US US US US US US US US US US T US US US US US T T T T T T US T T US T US T T US US US US US US US T US US US T US T US T T US US T US US US T T T US US

Loan Value (No Loan Value below $3.00)

25% 25% 0% 25% 25% 0% 25% 25% 50% 25% 25% 0% 0% 25% 25% 25% 0% 50% 25% 50% 25% 25% 0% 50% 25% 50% 25% 50% 25% 50% 50% 25% 0% 25% 0% 0% 25% 0% 0% 0% 0% 50% 25% 25% 25% 50% 25% 0% 0% 50% 25% 25% 50% 25% 0% 25% 25% 50% 50% 25% 50% 50% 25% 25% 50% 25% 0% 25% 25% 25% 0% 25% 25% 25% 50% 0%

Security Name Iamgold Corp Ibc Advanced Alloys Corp Iberdrola Sa Eur 0.75 Ibi Group Inc Ibio Inc Icad Inc-new Icc Holdings Inc Icc Labs Inc Ichor Holdings Ltd Ico Therapeutics Inc Iconix Brand Group Inc Id Systems Ideal Power Inc Identiv Inc Idera Pharmaceuticals Idg Holdings Inc Idm Mining Ltd Iec Electronics Iemr Resources Inc If Bancorp Inc Ifabric Corp Ifresh Inc Ikang Healthcare Gp S/adr Ikonics Corp Illumina Inc Ilookabout Corp Iluka Resources Ltd Imaflex Inc Image Sensing Sys Inc Imax Corp Imi Plc 28.57p I-minerals Inc Immersion Corporation Immucell Corp Immune Design Corp Immune Pharmaceutic-new Immunocellular Therap-new Immunogen Inc Immunomedics Inc Immunovaccine Inc Immuron Ltd Sponsored Adr Impac Mtg Hldgs Inc Impact Silver Corp Impax Labs Inc Imperial Equities Inc Imperial Ginseng Prod-new Imperial Metals Corp Imperva Inc Impinj Inc Imprimis Pharma Inc-new Imris Inc Imvescor Restaurant Group Incitec Pivot Ltd Income Financial T/u Income Opp Realty Inv Inc Incyte Corporation Independence Contract Drl Independence Gold Corp Independence Hldg Co Independent Bank Corp-new Independent Bank Group Independent Bnk Corp Mass Indexiq Iq Hdg Event-driv Indexiq Iq Hdg L/s Track India Globaliztn Cap-new Indico Resources Ltd Indigo Books & Music Inc Indra Sistemas Sa Eur 0.2 Industrea Acquisition-a Industria De Diseno Texti Industrial Logistics Ppty Industrial Svcs America Industrial&com Bk China-h Industrias Bachoc Sab Adr Infinera Corp Infinity Pharmaceuticals

Symbol

Major Market

IMG IB IBDSF IBG IBIO ICAD ICCH ICC ICHR ICO ICON IDSY IPWR INVE IDRA IDH'H IDM IEC IRI IROQ IFA IFMK KANG IKNX ILMN ILA ILKAF IFX ISNS IMAX IMIAF IMA IMMR ICCC IMDZ IMNP IMUC IMGN IMMU IMV IMRN IMH IPT IPXL IEI IGP III IMPV PI IMMY IMRSQ IRG ICPVF INC.UN IOR INCY ICD IGO IHC IBCP IBTX INDB QED QLS IGC IDI IDG ISMAF INDU IDEXF ILPT IDSA IDCBF IBA INFN INFI

T T US T US US US T US T US US US US US T T US T US T US US US US T US T US US US T US US US US US US US T US US T US T T T US US US US T US T US US US T US US US US US US US T T US US US US US US US US US

Loan Value (No Loan Value below $3.00)

50% 25% 25% 25% 0% 25% 25% 0% 50% 0% 50% 25% 25% 25% 25% 0% 25% 25% 0% 25% 25% 25% 50% 25% 50% 25% 0% 25% 25% 50% 0% 25% 25% 0% 0% 0% 0% 25% 25% 25% 0% 25% 25% 25% 25% 25% 50% 25% 50% 0% 25% 25% 25% 25% 25% 50% 25% 25% 25% 50% 50% 50% 0% 0% 25% 25% 25% 25% 0% 25% 50% 25% 25% 25% 50% 0%

Security Name Infinity Ppty & Casual Cp Inflarx Nv Information Svcs Corp-a Information Svcs Group Infosonics Corp-new Infusystems Holdings Inc Inn Suites Hospitality Tr Innerworkings Inc Innexus Biotechnology Inc Innodata Inc Innophos Holdings Inc Innospec Inc Innovaro Inc Innovate Biopharmaceutic Innovative Ind Ppty-a Pfd Innovative Indus Ptys Inc Innovative Sol & Supp Innoviva Inc Inomin Mines Inc Inovalis Reit T/u Inovalon Holdings Inc-a Inovio Pharmaceut Inc-new Inpex Corp Inphi Corp Inpixon-new Inplay Oil Corp Input Capital Corp Inscape Corp Cl-b Sv Inseego Corp Insight Select Income Fd Insignia Systems Inc Insmed Inc Inspired Entertainment Inspiremd Inc-new Installed Building Produc Instructure Inc Insurance Australia Group Insys Thera Inc-new Intact Gold Corp-new Intec Pharma Ltd Integer Holdings Corp Integrated Asst Mgmt Corp Integrated Device Tech Integrated Media Tech Ltd Intelgenx Techs Corp Intellia Therapeutics Inc Intellicheck Inc Intelligent Sys Corp Intellipharmaceutics Intl Intelsat S.a Intema Solutions Inc Intercept Energy Svcs-new Intercept Pharmaceuticals Interconnect Ventures Crp Interdigital Inc Interfor Corporation Intergroup Corporation Interlink Electronics Intermap Techs Corp Cl-a Intermolecular Inc Internap Corp-new Internet Gold-golden Line Interpace Diagnostics-new Interphase Corp Inter-rock Minerals Inc Intersect Ent Inc Intersections Inc Interstate P&l 5.1%-d Pfd Intertain Group Ltd-exch Intertape Polymer Grp Inc Intertek Group Plc Intesa Sanpaolo Eur 0.52 Intest Corp Intevac Inc Intigold Mines Ltd Intl Bancshares

Symbol

Major Market

IPCC IFRX ISV III IFON INFU IHT INWK IXSBF INOD IPHS IOSP INNI INNT IIPR.A IIPR ISSC INVA MINE INO.UN INOV INO IPXHF IPHI INPX IPO INP INQ INSG INSI ISIG INSM INSE NSPR IBP INST IAUGF INSY ITG NTEC ITGR IAM IDTI IMTE IGX NTLA IDN INS IPCI I ITM IES ICPT IVC IDCC IFP INTG LINK IMP IMI INAP IGLD IDXG INPHQ IRO XENT INTX IPL.D ITX ITP IKTSF IITSF INTT IVAC IGD'H IBOC

US US T US US US US US US US US US US US US US US US T T US US US US US T T T US US US US US US US US US US T US US T US US T US US US US US T T US T US T US US T US US US US US T US US US T T US US US US T US

Loan Value (No Loan Value below $3.00)

50% 25% 25% 25% 25% 25% 25% 50% 0% 25% 50% 50% 25% 25% 25% 25% 25% 25% 0% 25% 50% 25% 25% 50% 25% 25% 25% 25% 25% 25% 25% 25% 0% 25% 50% 50% 25% 25% 0% 0% 50% 25% 50% 25% 0% 25% 25% 25% 0% 50% 25% 25% 25% 25% 25% 50% 25% 25% 25% 25% 50% 25% 25% 25% 0% 25% 25% 25% 25% 50% 25% 0% 25% 25% 25% 50%

Security Name Intl Cons Airline Group Intl Fcstone Inc Intl Frontier Resources Intl Lithium Corp Intl Millennium Mng Corp Intl Montoro Res Inc-new Intl Petroleum Corp Intl Speedway Cl.a Intl Tower Hill Mines-new Intra-cellular Therapies Intrepid Potash Inc Intrexon Corp Intricon Corp Intrinsyc Technologies Cp Intu Properties Plc Inuvo Inc-new Inv Metals Inc Invacare Corp Inventergy Global Inc Invesco Adv Mun Icm Tr Ii Invesco Bond Fund Invesco Cali Val Mun Incm Invesco Credit Dyn Opp Fd Invesco Hi Incm 2023 Tgt Invesco Hi Incm 2024 Term Invesco High Income Tr Ii Invesco Mortgage Capital Invesco Mun Incm Opp Etf Invesco Municipal Opp Tr Invesco Municipal Trust Invesco Penn Val Mun Incm Invesco Qlty Mun Incm Tr Invesco Senior Income Tr Invesco Tr Inv Grade Muni Invesco Tr Inv Grade Ny Invesco Val Muni Incm Trs Invesque Inc Investar Holding Corp Investment Grd Mngd-t T/u Investment Technology Grp Investor Ab B Sek 6.25 Investor Title Co Invictus Financl Inc Invitae Corp Invivo Therapeutics Hldgs Invt Grade Infra Bond T/u Invuity Inc Inzinc Mining Ltd Ion Geophysical Corp-new Iona Energy Inc Ionis Pharmaceuticals Inc Iou Financial Inc Iovance Biotherapeutics Ipass Inc Ipath Asian Gulf Curr Etn Ipath Barclay Lng Bd Bear Ipath Barclay Lng Bd Bull Ipath Barclay Tsy 2y Bear Ipath Barclay Tsy 2y Bull Ipath Barclay Tsy10y Bear Ipath Barclay Tsy10y Bull Ipath Barclay Us Tsy Flt Ipath Barclay Us Tsy Stp Ipath Bloom Agri Sub Etn Ipath Bloom Alum Sub Etn Ipath Bloom Cocoa Sub Etn Ipath Bloom Coff Sub Etn Ipath Bloom Commodity Etn Ipath Bloom Coppr Sub Etn Ipath Bloom Cott Sub Etn Ipath Bloom Engy Sub Etn Ipath Bloom Grain Sub Etn Ipath Bloom Indus Mtl Etn Ipath Bloom Lead Sub Etn Ipath Bloom Livstk Subidx Ipath Bloom Nickl Sub Etn

Symbol

Major Market

BABWF INTL IFR ILC IMI IMT IPCO ISCA ITH ITCI IPI XON IIN ITC CCRGF INUV INV IVC INVT VKI VBF VCV VTA IHIT IHTA VLT IVR OIA VMO VKQ VPV IQI VVR VGM VTN IIM HLP'U ISTR PFU.UN ITG IVSBF ITIC IVF'H NVTA NVIV IFB.UN IVTY IZN IO IONAF IONS IOU IOVA IPAS PGD DLBS DLBL DTUS DTUL DTYS DTYL FLAT STPP JJA JJU NIB JO DJP JJC BAL JJE JJG JJM LD COW JJN

US US T T T T T US T US US US US T US US T US US US US US US US US US US US US US US US US US US US T US T US US US T US US T US T US US US T US US US US US US US US US US US US US US US US US US US US US US US US

Loan Value (No Loan Value below $3.00)

25% 50% 25% 25% 25% 25% 25% 50% 25% 25% 50% 25% 25% 25% 0% 25% 25% 50% 25% 25% 25% 25% 25% 25% 25% 25% 50% 25% 25% 25% 25% 25% 25% 25% 25% 25% 50% 25% 25% 50% 25% 25% 0% 25% 25% 25% 25% 25% 50% 25% 50% 25% 25% 25% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

Security Name Ipath Bloom Plat Sub Etn Ipath Bloom Prec Mtls Etn Ipath Bloom Softs Sub Etn Ipath Bloom Sugar Sub Etn Ipath Bloom Tin Sub Etn Ipath Cboe S&p 500 Buywrt Ipath Eur/usd Ex/rate Etn Ipath Gbp/usd Ex/rate Etn Ipath Gems Asia 8 Etn Ipath Gems Indx Etn Ipath Global Carbon Etn Ipath Inv S&p500 Xiv Etn Ipath Invers Jan 2012 Etn Ipath Jpy/usd Ex/rate Etn Ipath Long Enh Msci Etn Ipath Lx Russ 1000 Tr Ind Ipath Lx Russ 2000 Tr Ind Ipath Lx S&p 500 Tr Index Ipath Msci India Indx Etn Ipath Optimizer Cur Etn Ipath Pb Agriculture Etn Ipath Pb Aluminum Plc Etn Ipath Pb Bank Plc Etn Ipath Pb Broad Cmod Etn Ipath Pb Cocoa Plc Etn Ipath Pb Coffee Plc Etn Ipath Pb Copper Plc Etn Ipath Pb Crude Oil Etn Ipath Pb Energy Plc Etn Ipath Pb Grains Plc Etn Ipath Pb Industr Mtls Etn Ipath Pb Lead Plc Etn Ipath Pb Livestock Etn Ipath Pb Nickel Plc Etn Ipath Pb Precs Metals Etn Ipath Pb S&p Gsci Wt Etn Ipath Pb Softs Plc Etn Ipath Pb Sugar Plc Etn Ipath S&p Mlp Etn Ipath S&p Vix M/t Fut Etn Ipath S&p500 Dyn Vix Etn Ipath Seas Nat Gas Etn Ipath Sr-b S&p Gsci Crude Ipath Us Treasury 5y Bear Ipath Us Treasury 5y Bull Ipg Photonics Corp Ipic Entertainment Inc-a Iplayco Corporation Ltd Ipsco Tubulars Inc Iq Hdg Mkt Ntrl Trkr Etf Iq Hedge Macro Tracker Iq Hedge Multi-strat Etf Iq Merger Arbitrage Etf Iradimed Corp Iridex Corp Iridium Communicatns Inc Irobot Corp Iron Bridge Resources Inc Ironwood Pharmaceut Cl-a Irsa Inversn Spon Gdr Irsa Propiedades Come Ads Isetan Mitsukoshi Hldgs Ishares 0-5 Year High Yld Ishares Brazil Sml Cp Etf Ishares Cdn Hybrid Cp Etf Ishares China Sml Cap Etf Ishares E/m Hi Yld Bd Etf Ishares Edge H/y Def Etf Ishares Gold Bullion Etf Ishares Iboxx $ Hi Yld Bd Ishares India 50 Etf Ishares Indonesia Etf Ishares Int Rte Hy Bd Etf Ishares Intl H/y Bnd Etf Ishares Morn Mul Asst Etf Ishares Msci Brazil Etf

Symbol

Major Market

PGM JJP JJS SGG JJT BWV ERO GBB AYT JEM GRN XXV IVOP JYN EMLB ROLA RTLA SFLA INP ICI DIRT FOIL CTNN BCM CHOC CAFE CUPM OLEM ONG WEET HEVY LEDD LSTK NINI BLNG SBV GRWN SGAR IMLP VXZ XVZ DCNG OILB DFVS DFVL IPGP IPIC IPC IPSC QMN MCRO QAI MNA IRMD IRIX IRDM IRBT IBR IRWD IRS IRCP IMHDF SHYG EWZS XHB ECNS EMHY HYDB CGL'C HYG INDY EIDO HYGH HYXU IYLD EWZ

US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US T US US US US US US US US US T US US US US US US T US US US T US US US US US US US

Loan Value (No Loan Value below $3.00)

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 50% 25% 25% 50% 0% 0% 0% 0% 25% 25% 50% 50% 25% 25% 0% 0% 25% 25% 0% 25% 50% 25% 35% 50% 25% 50% 50% 25% 25% 0% 0%

Security Name Ishares Msci Bric Idx Etf Ishares Msci China Etf Ishares Msci Emrg Mkt Etf Ishares Msci Eur Finl Etf Ishares Msci Frontier 100 Ishares Msci India Idx Fd Ishares Msci Italy Etf Ishares Msci Mexico Etf Ishares Msci Poland Etf Ishares Msci Russia Etf Ishares Msci Saudi Arabia Ishares Msci Spain Etf Ishares Msci Thailand Etf Ishares Msci Turkey Etf Ishares S&p Latin Amer 40 Ishares Silver Trust Ishares Us Hi Yld Bnd Etf Ishares-msci Sth Afr Etf Ishr Edge Msci Min Vl E/m Ishr Msci All Ctry Asia Ishrs Adv Conv Bd Etf-adv Ishrs Adv Conv Bond Etf Ishrs Core Msci Em Mk Imi Ishrs Gold Bulln-hdg Etf Ishrs Jpm Em Loc Curr Etf Ishrs Shrt Dur Hi Etf-adv Ishrs Shrt Dur Hi Icm Etf Ishrs Us Hy F/i C$hdg Etf Ishrs Us Hy F/i C$hdg-adv Ishrs Us&intl H/y Crp Etf Isign Media Solutions Inc Isoray Inc Isramco Inc Issuer Direct Corp Itafos Itau Unibanco Hldgs S/adr Iteris Inc Itochu Corp Jpy-50 Itt Educational Svcs Inc Itus Corp Itv Plc Ivanhoe Energy Inc-new Ivanhoe Mines Ltd Cl-a Ivrnet Inc Ivy Focused Engy Nextshrs Ivy Focused Gwth Nextshrs Ivy Focused Value Nextshr Ivy High Income Opports Izea Inc J. Front Retailing Co Ltd J.a.g. Mines Ltd J.alexander's Hldgs Inc J.c Penney Company J.jill Inc J.sainsbury Plc 28 4/7p Ja Solar Hldgs Co Adr-new Jacksonville Bancorp Jaguar Health Inc Jaguar Mining Inc-new Jaguar Resources Inc Jakks Pacific Inc Jamba Inc-new Janus Vel Tail Rsk Hdg Lc Japan Smaller Cap Fnd Inc Japan Steel Works Ltd Npv Jason Industries Inc Jayden Resources Inc Jazz Pharmaceuticals Plc Jd.com Inc Spons Adr Jensyn Acquisition Corp Jericho Oil Corp Jetblue Airways Corp Jetpay Corp Jewett-cameron Trading Co Jfe Holdings Inc Jft Strategies Fund-a T/u

Symbol

Major Market

BKF MCHI XEM EUFN FM INDA EWI EWW EPOL ERUS KSA EWP THD TUR ILF SLV XHY EZA EEMV AAXJ CVD'A CVD XEC CGL LEMB CSD'A CSD CHB CHB'A GHYG ISD ISR ISRL ISDR IFOS ITUB ITI ITOCF ESINQ ITUS ITVPF IVANF IVN IVI IVENC IVFGC IVFVC IVH IZEA JFROF JML'H JAX JCP JILL JSNSF JASO JXSB JAGX JAG JRI JAKK JMBA TRSK JOF JPSWF JASN JDN JAZZ JD JSYN JCO JBLU JTPY JCTCF JFEEF JFS.UN

US US T US US US US US US US US US US US US US T US US US T T T T US T T T T US T US US US T US US US US US US US T T US US US US US US T US US US US US US US T T US US US US US US T US US US T US US US US T

Loan Value (No Loan Value below $3.00)

50% 50% 50% 25% 50% 50% 50% 50% 50% 0% 50% 50% 50% 0% 50% 50% 25% 0% 50% 50% 25% 25% 50% 50% 50% 25% 25% 25% 25% 25% 25% 0% 25% 25% 25% 0% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 50% 50% 25% 50% 25% 0% 25% 25% 25% 25% 25% 25% 25% 25% 25% 50% 50% 0% 25% 50% 25% 25% 25% 25%

Security Name Jgc Corp Jianpu Technology Inc Adr Jinkosolar Hldg Co-sp Adr Jm Capital Ii Corp Jmp Group Inc 8% Pfd Jmp Group Llc Jmp Group Llc 7.25% Nts Jmu Ltd Spons Adr John Han Tax-advtg Globl John Hancock Finl Opp Fd John Hancock Hdgd Eq&incm John Hancock Inv Trust John Hancock Pfd Inc Iii John Hancock Pfd Incm Ii John Hancock Pref Incm Fd John Hancock Prem Div Etf John Wood Group Plc Joint Corp (the) Jones Energy Inc Cl-a Jounce Therapeutics Inc Journey Energy Inc Jp Morg Event Driven Etf Jp Morgan Dvsf Ret Em Etf Jpm Chase Cush 30 Mlp Etn Jpm Dvsf Ret Eur Curr Hdg Jpm Dvsf Ret Intl Cur Etf Jpm Usd E/m Sovereign Etf Jpmorg Mgd Fut Strat Etf Jpmorgan Alerian Mlp Indx Jpmorgan Diversfd Alt Etf Jrjr33 Inc Jsr Corp, Tokyo Jtekt Corp Julius Baer Gruppe Chf.02 Jumei Intl Hldg Ltd-a Adr June 2020 Corp Bond-t T/u June 2021 Invst Grd-t T/u Junex Inc Juniper Pharmaceuticals Juno Therapeutics Inc Jupai Holdings Ltd Sp/adr Jura Energy Corp Jx Holdings Inc Jyske Bank A/s K+s Aktiengesellschaft K12 Inc K2m Group Holdings Inc Kadmon Holdings Inc Kaiser Aluminum Corp Kaizen Discovery Inc Kajima Corp Kala Pharmaceuticals Inc Kalvista Pharmaceuticals Kamada Ltd Kandi Technologies Group Kane Biotech Inc Kansai Electrc Pwr Jpy500 Kanzen Capital Corp Kao Corporation - Ord Kapstone Paper&packaging Karmin Exploration Inc Karnalyte Resources Inc Karyopharm Therapeutics Katanga Mining Ltd-new Kayne Anderson 3.5%-f Pfd Kayne Anderson Acq Corp-a Kayne Anderson Energy Dev Kayne Anderson Engy T/ret Kayne Anderson Midstream Kayne Anderson Mlp Invt Kaz Minerals Plc Kazia Therapeutics Lt Adr Kb Home Kbc Groupe Sa Kbl Merger Corp Iv K-bro Linen Inc

Symbol

Major Market

JGCCF JT JKS JCI'H JMPB JMP JMPD JMU HTY BTO HEQ JHI HPS HPF HPI PDT WDGJF JYNT JONE JNCE JOY JPED JPEM PPLN JPEH JPIH JPMB JPMF AMJ JPHF JRJR JSCPF JTEKF JBARF JMEI CBT.UN RBP.UN JNX JNP JUNO JP JEC JXHGF JYSKF KPLUF LRN KTWO KDMN KALU KZD KAJMF KALA KALV KMDA KNDI KNE KAEPF KAN'P KAOCF KS KAR KRN KPTI KAT KYN.F KAAC KED KYE KMF KYN KZMYF KZIA KBH KBCSF KBLM KBL

US US US T US US US US US US US US US US US US US US US US T US US US US US US US US US US US US US US T T T US US US T US US US US US US US T US US US US US T US T US US T T US T US US US US US US US US US US US T

Loan Value (No Loan Value below $3.00)

25% 0% 50% 0% 25% 25% 25% 0% 25% 25% 25% 25% 25% 25% 25% 25% 0% 25% 25% 25% 25% 0% 50% 0% 0% 0% 50% 0% 0% 0% 25% 0% 25% 25% 50% 25% 25% 25% 0% 25% 50% 25% 25% 25% 0% 50% 25% 25% 50% 25% 25% 25% 0% 0% 0% 0% 25% 0% 25% 50% 25% 25% 25% 25% 25% 0% 25% 25% 25% 25% 0% 0% 50% 25% 0% 25%

Security Name Kbs Fashion Group Ltd-new Kcap Financial 6.125% Nt Kcap Financial 7.375% Pfd Kcap Financial Inc Kddi Corp Keane Group Inc Kearny Financial Corp-new Keg Royalties Incm Fd T/u Kelso Technologies Inc Kelt Exploration Ltd Kemet Corp-new Kempharm Inc Kennady Diamonds Inc Kenon Holdings Ltd Kentucky First Fed Bank Kering Eur 4 Kerr Mines Inc-new Keryx Biopharmaceuticals Kew Media Group Inc-b Kewaunee Scientific Corp Key Energy Services Inc Key Tech Inc Key Tronic Corp Keyence Co Jpy 50.00 Keyw Holding Corp(the) Kfg Resources Ltd Kid Brands Inc Kikkoman Corp Kilkenny Cap Corp Cl-a Kilo Goldmines Ltd-new Kimball Electronics Inc Kimbell Royalty Partners Kinder Mor Cda-1 5.25% Pf Kinder Morg Cda S3 5.2%pf Kinder Morgan Cda Rst Vtg Kindred Biosciences Inc Kindred Healthcare Inc Kinetex Resources Corp King George Fncl Corp Kingfisher Plc 15 5/7p Kingold Jewelry Inc Kingsland Energy Corp Kingstone Companies Inc Kingsway Finl Svcs-new Kingtone Wireless Adr-new Kinross Gold Corp Kirklands Inc Kitov Pharma Ltd Spon Adr Kivalliq Energy Corp Kkr Income Opportunities Klondex Mines Ltd Klondike Gold Corp-new Klondike Silver Corp-new Kmg Chemicals Inc Knight Therapeutics Inc Knot Offshore Partners Lp Kohls Corp Komatsu Ltd Komet Resources Inc Kona Grill Inc Konami Corp Konica Minolta Hldgs-y50 Koninklijke Bos West-cva Kootenay Silver Inc Koppers Holdings Inc Kose Corp Kosmos Energy Ltd Koss Corp Kp Tissue Inc Kr Investment Ltd-new Kraken Robotics Inc Kramer Cap Corp Kraneshs Csi Chna Internt Kraneshs Elec Veh&fut Etf Kraton Corporation Krystal Biotech Inc

Symbol

Major Market

KBSF KCAPL KAP KCAP KDDIF FRAC KRNY KEG.UN KLS KEL KEM KMPH KDI KEN KFFB PPRUF KER KERX KEW KEQU KEG KTEC KTCC KYCCF KEYW KFG KIDBQ KIKOF KIK'H KGL KE KRP KML.A KML.C KML KIN KND KTXRF KGF KGFHF KGJI KLE'H KINS KFS KONE K KIRK KTOV KIV KIO KDX KG KS KMG GUD KNOP KSS KMTUF KMT KONA KNAMF KNCAF KKWFF KTN KOP KOSCF KOS KOSS KPT KR'H PNG KRM'H KWEB KARS KRA KRYS

US US US US US US US T T T US US T US US US T US T US US US US US US T US US T T US US T T T US US US T US US T US T US T US US T US T T T US T US US US T US US US US T US US US US T T T T US US US US

Loan Value (No Loan Value below $3.00)

0% 0% 25% 25% 25% 50% 50% 25% 25% 50% 25% 0% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 0% 50% 25% 25% 25% 0% 25% 50% 25% 50% 50% 50% 0% 50% 0% 25% 25% 0% 25% 25% 25% 0% 50% 25% 0% 25% 25% 50% 25% 25% 50% 25% 50% 50% 25% 25% 25% 25% 25% 25% 25% 50% 0% 25% 25% 25% 25% 25% 0% 50% 25% 50% 0%

Security Name Kubota Corp Kura Oncology Inc Kuraray Co Ltd Jpy 50.00 Kvh Industries Kyowa Hakko Kogyo La Jolla Pharma Co La Quinta Holdings Inc Labrador Iron Mns Holding Labrador Iron Ore Ryl Crp Lachlan Star Ltd Ladder Capital Corp Ladenburg Thal 8%-a Pfd Ladenburg Thalmann Fin Ladera Ventures Corp Lake Shore Bancorp Inc Lakeland Bancorp Inc Lakeland Finl Corp Lakeland Inds Inc Lakeview Hotel Invst Corp Land Securities Group Plc Landcadia Holdings Inc-a Landec Corp Landmark Bancorp Inc Landmark Infras Ptnr Lpu Lands' End Inc Lanesborough Real Est T/u Lannett Company Inc Lansdowne Security Inc Lantheus Holdings Inc Lantronix Inc Lanxess Lara Exploration Ltd Laramide Resources Ltd Laredo Petroleum Inc Largo Resources Ltd Lassonde Inds Inc-a Sv Latam Airlines Grp Sp/adr Lattice Biologics Ltd Laureate Education Inc-a Lawson Inc Lawson Products Lazard Glob Tot Rt&inc Fd Lazard World Div&incm Fd La-z-boy Incorporated Lcnb Corp Le Chateau Inc Cl-b Vtg Leadfx Inc Leading Brands Inc Leaf Group Ltd Leap Therapeutics Inc Led Medical Diagnost-new Lee Enterprises Inc Legacy Acquisition Corp-a Legacy Reserves Lpu Legacy Reserves Lpu-a Pfd Legacy Reserves-b 8% Pfd Legacytexas Finl Grp Inc Legal & General 2.5p Legend Power Systems Inc Legg Mason 5.45% Jr Nts Legg Mason Inc 6.375% Nts Legrand Holding Lehman Abs 3.5% S04-6 Leis Industries Ltd Leisure Acquisition Corp Leju Holdings Ltd Adr Lemaitre Vascular Inc Lend Lease Corp Ltd Lending Tree Inc Lendingclub Corp Lentuo Intl Inc Spon Adr Leo Acquisitions Corp-new Leonovus Inc Leons Furniture Limited Leopalace21 Corp Jpy 50 Leucrotta Exploration Inc

Symbol

Major Market

KUBTF KURA KURRF KVHI KYKOF LJPC LQ LBRMF LIF LSLCF LADR LTS.A LTS LV'H LSBK LBAI LKFN LAKE LHR LSGOF LCA LNDC LARK LMRK LE LRT.UN LCI HGII LNTH LTRX LNXSF LRA LAM LPI LGO LAS'A LTM LBL LAUR LWSOF LAWS LGI LOR LZB LCNB CTU LFX LBIX LFGR LPTX LMD LEE LGC LGCY LGCYP LGCYO LTXB LGGNF LPS LMHB LMHA LGRVF JBK LES'H LACQ LEJU LMAT LLESF TREE LC LASLY LEQ'H LTV LNF LEOPF LXE

US US US US US US US US T US US US US T US US US US T US US US US US US T US US US US US T T US T T US T US US US US US US US T T US US US T US US US US US US US T US US US US T US US US US US US US T T T US T

Loan Value (No Loan Value below $3.00)

25% 25% 25% 25% 25% 25% 50% 25% 50% 25% 50% 25% 25% 0% 25% 50% 50% 25% 25% 25% 0% 50% 25% 50% 50% 25% 25% 0% 50% 25% 0% 25% 25% 50% 25% 25% 50% 0% 50% 0% 25% 25% 25% 50% 25% 0% 25% 25% 25% 0% 25% 25% 0% 25% 25% 25% 50% 25% 25% 0% 0% 25% 25% 25% 0% 0% 50% 25% 50% 50% 0% 0% 25% 25% 0% 25%

Security Name Level Brands Inc Levon Resources Ltd Lexicon Pharma Inc-new Lgi Homes Inc Lgl Group Inc (the) Lgx Oil + Gas Inc Li & Fung Ltd Lianluo Smart Ltd Libbey Inc Liberty All Star Eq-fund Liberty All Star Grth Fnd Liberty Bancorp Inc Liberty Expedia Hldgs-a Liberty Gold Corp Liberty Oilfield Svcs-a Liberty Tax Inc Cl-a Liberty Tripadvisor Hld-a Lifetime Brands Inc Lifevantage Corp-new Lifeway Foods Inc Ligand Pharmaceutical Inc Lightbridge Corp-new Lightinthebox Hldg Co Adr Lightpath Tech Inc-a Lightstream Resources Ltd Lignol Energy Corp Lilis Energy Inc Limbach Holdings Inc Limelight Networks Inc Limited Duration Cl-a T/u Limited Duration Cl-u T/u Limoneira Co Lincoln Educational Svcs Lincoln Mining Corp Lindblad Expeditions Hldg Linde Ag Npv - Dm Lingo Media Corp Liniu Technology Grp-new Lion One Metals Ltd Lions Bay Capital Inc Lions Gate Enter Cl-a Vtg Lions Gate Enter-b N/vtg Lipocine Inc Liqtech International Inc Liquid Holdings Group Inc Liquidity Svcs Inc Liquor Stores N.a. Ltd Lite Access Technologies Lithium Americas Corp Lithium Chile Inc Lithium Energy Products Live Oak Bancshares Inc Live Ventures Inc-new Liveperson Inc Lixil Group Corp Lizhan Environmental Crp Lm Funding America Inc Local Corp Logiq Asset Managemnt Inc Logistec Corp Cl-a Mv Logistec Corp Cl-b Sv Logmein Inc Loma Negra Compania S/adr Lombard Medical Inc Lomiko Metals Inc Loncor Resources Inc Lonestar Res Us Inc Cl-a Long Blockchain Corp Longfin Corp Cl-a Loop Industries Inc Loral Space & Commun Inc L'oreal - Pv Eur 0.2 Lorne Park Cap Prtnrs Inc Los Andes Copper Ltd Lotus Pharmaceuticals-new Low Volatility Us Eq T/u

Symbol

Major Market

LEVB LVN LXRX LGIH LGL ROAOF LFUGF LLIT LBY USA ASG LBCP LEXEA LGD LBRT TAX LTRPA LCUT LFVN LWAY LGND LTBR LITB LPTH LSTMF LECFF LLEX LMB LLNW PFD.UN PFD'U LMNR LINC LMG LIND LNAGF LM LINU LIO LBI LGF'A LGF'B LPCN LIQT LIQDQ LQDT LIQ LTE LAC LITH LEP LOB LIVE LPSN JSGCF LZENF LMFA LOCMQ LGQ LGT'A LGT'B LOGM LOMA EVARF LMR LN LONE LBCC LFIN LOOP LORL LRLCF LPC LA LTUS LVU.UN

US T US US US US US US US US US US US T US US US US US US US US US US US US US US US T T US US T US US T US T T US US US US US US T T T T T US US US US US US US T T T US US US T T US US US US US US T T US T

Loan Value (No Loan Value below $3.00)

25% 25% 25% 50% 25% 25% 0% 0% 25% 25% 25% 0% 50% 25% 50% 25% 50% 25% 25% 25% 50% 25% 0% 25% 25% 25% 50% 25% 50% 25% 25% 50% 25% 25% 0% 0% 25% 0% 25% 0% 50% 50% 0% 25% 25% 25% 50% 25% 50% 0% 25% 50% 25% 50% 0% 0% 25% 25% 0% 25% 25% 50% 0% 25% 25% 25% 25% 0% 25% 25% 50% 25% 25% 25% 0% 25%

Security Name Loxo Oncology Inc Lrad Corporation Lsb Industries Lsc Lithium Corp Lsi Industries Inc Luby's Inc Lucara Diamond Corp Lucky Minerals Inc Lumber Liquidators Hldgs Lumentum Holdings Inc Luminex Corp Luminor Medical Techs Inc Luna Innovations Inc Lundin Gold Inc Lundin Petro Ab Sek 0.01 Lupaka Gold Corp Luxfer Holdings Plc Luxottica Group Spa Lvmh Moet Hennessy Louis Lxrandco Inc Cl-b Lydian International Ltd M D C Holdings Inc M I Acquisitions Inc M Iii Acquisition Corp M/i Homes Inc M2 Cobalt Corp Macarthur Minerals Ltd Macatawa Bank Corp Mack Us Hy Bd-e Etf-c$ Hd Mackenzie Glb H/y Fix Etf Mackenzie Master Lpu Mackenzie Unconstr Bd Etf Mackinac Financial Corp Macom Technology Solns Macquarie First Tr Gl Inf Macquarie Global Infra Macro Enterprises Inc Macrogenics Inc Mad Catz Interactive Madalena Energy Inc Madden Steve Ltd Madeira Minerals Ltd Madison Cov Call&eq Strat Madison Pac Ppts -bMadison Pac Pptys Inc-c Madison Strat Sector Prem Madrigal Pharmaceuticals Mag Silver Corp Magal Securities Magellan Aerospace Cp-new Magic Software Enterp-ord Magicjack Vocaltec Ltd Magindustries Corp Magnegas Corp-new Magnolia Colombia Ltd Magor Corporation Magyar Bancorp Inc Maiden Hldgs Ltd 6.625%nt Maiden Hldgs Na 7.75% Pfd Maiden Holdings Ltd Main Street Capital Hldgs Mainfreight Limited Mainsource Financial Grp Mainstay Dfndterm Mun Opp Mainstreet Equity Corp Majesco Majestic Capital Ltd Majestic Gold Corp Major Drilling Grp Intl Makemytrip Limited Malibu Boats Inc Cl-a Mallinckrodt Plc Malvern Bancorp Inc Mam Software Group Managed Durat Inv Grd Mun Mandalay Res Corp

Symbol

Major Market

LOXO LRAD LXU LSC LYTS LUB LUC LJ LL LITE LMNX LMT LUNA LUG LNDNF LPK LXFR LUXGF LVMHF LXR LYD MDC MACQ MIII MHO MC MMS MCBC QHY MHYB MKZ.UN MUB MFNC MTSI MFD MGU MCR MGNX MCZAF MVN SHOO MDE'H MCN MPC MPC'C MSP MDGL MAG MAGS MAL MGIC CALL MAAFF MNGA MCO MCC'H MGYR MHLA MHNC MHLD MAIN MFGHF MSFG MMD MEQ MJCO MAJCQ MJS MDI MMYT MBUU MNK MLVF MAMS MZF MND

US US US T US US T T US US US T US T US T US US US T T US US US US T T US T T T T US US US US T US US T US T US T T US US T US T US US US US T T US US US US US US US US T US US T T US US US US US US T

Loan Value (No Loan Value below $3.00)

25% 25% 50% 0% 25% 25% 50% 25% 50% 50% 50% 0% 25% 25% 0% 25% 25% 0% 25% 25% 25% 50% 0% 0% 50% 0% 25% 50% 35% 0% 25% 35% 25% 50% 25% 25% 0% 25% 25% 25% 50% 0% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 0% 0% 50% 50% 25% 50% 25% 25% 25% 25% 25% 50% 25% 50% 25% 25% 25% 25% 25%

Security Name Manhattan Bridge Cap Inc Manitex Intl Inc Manitok Energy Inc Manitou Gold Inc Mannatech Inc-new Manning & Napier Inc-a Mannkind Corp-new Manulife F/r Sr Loan-a Manulife Mult Cdn S/m Etf Manulife Mult Us Hdg Etf Manulife Mult Us Unhd Etf Manulife Us Reg Bk T/u-a Maple Gold Mines Ltd Maple Leaf Green Wrld Inc Maplewood Intl Reit T/u Marathon Gold Corporation Marathon Patent Group-new Marchex Inc Marchwell Ventures Ltd Marcus Corp Margaret Lake Diamonds Margaux Red Cap Inc Margaux Resources Ltd Marijuana Opport Fund Etf Marin Software Inc-new Marine Pete Units Ben Int Marine Products Corp Marinemax Inc Marinus Pharmaceuticals Maritime Resources Corp Market Vec Db Shrt Eu Etf Market Vect Db Lg Eur Etf Market Vect Renminbi Etf Market Vect Rupee/usd Etf Marks & Spencer Gp Plc25p Marksmen Energy Inc Marlin Business Svcs Inc Marlin Gold Mining Ltd Marret High Yld Srt T/u-a Marret Multi-strat-a T/u Marret Resource Corp Marrone Bio Innovations Martin Midstream Prtn Lpu Martinrea Intl Inc Marubeni Corp Mason Graphite Inc Mason Resources Corp Mastech Digital Inc Masuparia Gold Corp-new Matachewan Cons Mines Matamec Expl Inc Match Group Inc Mateon Therapeutics Inc Materion Corp Matinas Biopharma Hldgs Matirx Svce Inc Matlin & Partners Acq-a Matrrix Energy Tech Inc Mattersight Corp Maudore Minerals Ltd Maverix Metals Inc Mawson Resources Ltd Maxim Power Corp Maxim Resources Inc Maxlinear Inc Maxwell Technologies Inc Maya Gold & Silver Inc Mays J.w. Inc Mazarin Inc Mazda Motor Corp-new Mazor Robotics Ltd-sp/adr Mbia Inc Mbn Corporation Mbt Financial Corp Mcan Mortgage Corp Mcbc Holdings Inc

Symbol

Major Market

LOAN MNTX MEI MTU MTEX MN MNKD MFR.UN MCSM MUSC MUSC'B MBK.UN MGM MGW MWI.UN MOZ MARA MCHX MVE'H MCS DIA MXC'H MRL MJJ MRIN MARPS MPX HZO MRNS MAE DRR URR CNY INR MAKSF MAH MRLN MLN MHY.UN MMF.UN MAR MBII MMLP MRE MARUF LLG MNR MHH MAS MCM'A MAT MTCH MATN MTRN MTNB MTRX MPAC MXX MATR MAOMF MMX MAW MXG MXM'H MXL MXWL MYA MAYS MAZ'H MZDAF MZOR MBI MBN MBTF MKP MCFT

US US T T US US US T T T T T T T T T US US T US T T T T US US US US US T US US US US US T US T T T T US US T US T T US T T T US US US US US US T US US T T T T US US T US T US US US T US T US

Loan Value (No Loan Value below $3.00)

25% 25% 25% 25% 25% 25% 0% 25% 0% 0% 0% 25% 25% 25% 25% 25% 25% 25% 25% 50% 25% 0% 25% 25% 25% 25% 25% 50% 25% 25% 0% 0% 0% 0% 25% 25% 50% 25% 25% 25% 25% 25% 50% 50% 25% 25% 0% 25% 25% 25% 25% 50% 0% 50% 0% 50% 0% 25% 25% 25% 25% 25% 25% 25% 50% 25% 25% 25% 0% 25% 50% 50% 25% 25% 25% 50%

Security Name Mcchip Resources Inc Mcclatchy Company-a New Mccoy Global Inc Mcdermott Intl Inc Mcewen Mining Inc Mcorpcx Inc Mdc Partners Inc Cl-a Sv Meadow Bay Gold Corp Mechel Pao Adr Pfd Mechel Pao Spn/adr-new Medallion Financial Corp Medallion Finl Corp 9% Nt Medallion Res Ltd-new Medgold Resources Corp Mediagrif Interact Tech Mediaset Espana Comm Sa Mediaset Spa Medical Transcr 11%-a Pfd Medical Transcription Bil Medicenna Therapeutics Cp Medicines Company Medicinova Inc Medicure Inc-new Medifast Inc Medifocus Inc Medigus Ltd Spon Adr-new Mediobanca Spa Mediwound Ltd Medley Cap Corp 6.5% Nts Medley Capital Corp Medley Llc 7.25% Nts Medley Management Inc-a Medmira Inc Medovex Corp Medreleaf Corp Medx Health Corp Meet Group Inc (the) Meg Energy Corp Mega Uranium Ltd Meggitt Plc Gbp5 Mei Pharma Inc-new Meiji Holdings Co Ltd Melcor Developments Melcor Reit T/u Melinta Therapeutics Inc Melior Resources Inc Melkior Resources Inc Melrose Bancorp Inc Mena Hydrocarbons Inc Menlo Therapeutics Inc Mer Telemgmt Solns Lt-new Mercadolibre Inc Mercantile Bank Corp Mercator Minerals Ltd Mercer Intl Inc Merchants Bancorp Meridian Bancorp Inc Meridian Bank Meridian Bioscience Inc Meridian Waste Solns Inc Meritage Homes Corp Merril Ly Depositor Pfd Merrill Lyn6.0518%ipt03-1 Merrimack Pharmaceut-new Mersana Therapeutics Inc Merus B.v. Mesa Rty Trust Ubi Mesabi Trust Certificate Mesoblast Ltd Spons Adr Meta Financial Group Inc Metalex Ventures Ltd-new Metalore Resources Ltd Methes Energies Intl Ltd Mexco Energy Corp Mexico Equity&incme Fd Mexico Fund Inc

Symbol

Major Market

MCS MNI MCB MDR MUX MCX MDCA MAY MTL'PR MTL MFIN MFINL MDL MED MDF GETVF MDIEF MTBCP MTBC MDNA MDCO MNOV MPH MED MFS MDGS MDIBF MDWD MCX MCC MDLQ MDLY MIR MDVX LEAF MDX MEET MEG MGA MEGGF MEIP MEJHF MRD MR.UN MLNT MLR MKR MELR SKNAF MNLO MTSL MELI MBWM MLKKF MERC'U MBIN EBSB MRBK VIVO MRDN MTH PYS IPB MACK MRSN MRUS MTR MSB MESO CASH MTX MET MEIL MXC MXE MXF

T US T US T T US T US US US US T T T US US US US T US US T US T US US US US US US US T US T T US T T US US US T T US T T US US US US US US US T US US US US US US US US US US US US US US US T T US US US US

Loan Value (No Loan Value below $3.00)

25% 25% 25% 50% 50% 0% 50% 25% 0% 0% 25% 0% 25% 25% 25% 25% 0% 25% 25% 0% 25% 25% 0% 25% 25% 25% 0% 0% 0% 50% 0% 25% 25% 25% 25% 25% 25% 50% 25% 0% 0% 25% 25% 25% 0% 25% 25% 25% 25% 25% 25% 0% 50% 25% 50% 50% 50% 25% 50% 25% 50% 25% 25% 0% 25% 25% 25% 50% 25% 50% 25% 25% 25% 25% 25% 25%

Security Name Mexivada Mining Corp Mfc Bancorp Ltd Mfs Calif Municipal Fnd Mfs Charter Inc Tr Sbi Mfs Govt Mkts Income Tr Mfs High Income Muni Trst Mfs High Yield Muni Trust Mfs Inter High Income Fd Mfs Interim Income Sh Sbi Mfs Investmt Grade Mun Tr Mfs Multimarket Inc Trust Mfs Municipl Incme Tr Sbi Mfs Spl Value Tr Michael Kors Holdings Ltd Michelin Cl-b Ord Microbix Biosystems Inc Microbot Medical Inc Micron Solutions Inc Micronet Enertec Tech Inc Microplanet Technology Cp Microstrategy Inc-a Microvision Inc-new Mid Penn Bancorp Inc Midas Gold Corp Midatech Pharma Plc Adr Mid-con Energy Prtnrs Lpu Middlefield Banc Corp Middlefield Can Gbl Reit Middlefield Hlth&life T/u Middlefield Hlth&well T/u Midland Exploration Inc Midnight Sun Mining Corp Midpoint Holdings Ltd Midsouth Bancorp Midstates Petroleum Co Milestone Scientific Inc Millennial Esports Corp Millennial Lithium Corp Miller Inds Inc Miller/howard High Icm Eq Mimecast Ltd Mimedx Group Inc Minaean Sp Construction Minaurum Gold Inc Minco Gold Corporation Minco Silver Corp Mincom Capital Inc Mind Cti Ltd Mindbody Inc Cl-a Mindoro Res Ltd Minebea Co Ltd Minera Irl Limited Mineral Technology Minerva Neurosciences Inc Mineworx Technologies Ltd Minnova Corp Minsud Resources Corp Mint Income Fund T/u Miragen Therapeutics Inc Miranda Gold Corp Mirasol Resources Ltd Mirati Therapeutics Inc Mirvac Group-stapled Sec Misonix Inc Mission Ready Svcs Inc Mississippi Pwr 5.25% Pfd Mitcham Inds Inc Mitcham Inds Inc-a 9% Pfd Mitsubishi Chemical Hldgs Mitsubishi Corp Mitsubishi Electric Mitsubishi Estate Co Ltd Mitsubishi Material Mitsubishi Motors-new Mitsui & Co Ltd Mitsui Engineering & Ship

Symbol

Major Market

MXVDF MFCB CCA MCR MGF CXE CMU CIF MIN CXH MMT MFM MFV KORS MGDDF MBX MBOT MICR MICT MCTYF MSTR MVIS MPB MAX MTP MCEP MBCN RCO.UN LS.UN HWF.UN MD MMA MPT MSL MPO MLSS GAME ML MLR HIE MIME MDXG MSP MGG MMM MSV MOI MNDO MB MIO'H MNBEF MIRL MTX NERV MWX MCI MSR MID.UN MGEN MAD MRZ MRTX MRVGF MSON MRS MP.D MIND MINDP MTLHF MSBHF MIELF MITEF MIMTF MMTOF MITSF MIESF

US US US US US US US US US US US US US US US T US US US US US US US T US US US T T T T T T US US US T T US US US US T T T T T US US T US T US US T T T T US T T US US US T US US US US US US US US US US US

Loan Value (No Loan Value below $3.00)

0% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 50% 25% 0% 0% 25% 25% 25% 50% 25% 25% 25% 0% 25% 25% 25% 25% 25% 25% 25% 25% 25% 50% 25% 0% 25% 50% 25% 50% 25% 25% 25% 25% 25% 25% 25% 50% 25% 25% 0% 50% 0% 25% 25% 25% 25% 0% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25%

Security Name Mitsui Fudosan Co Ltd Mix Telematics Ltd-sp/adr Mizhuho Financial Grp Adr Mma Capital Management Mnp Petroleum Corp Mobile Telesys Pjsc Adr Mobileiron Inc Modern Media Acquisition Modine Mfgr Co Modsys Intl Ltd Moduslink Glb Solns-new Moelis & Company Cl-a Mogo Finance Technology Moko Social Media Ltd Adr Molecular Templates Inc Moleculin Biotech Inc Momenta Pharma Inc Momo Inc Spons Adr Monarch Casino & Resort Moneda Latam Corp-a T/u Moneta Porcupine Mns Inc Moneygram Intl Inc-new Mongodb Inc Cl-a Mongolia Growth Group Ltd Monolithic Pwr Sys Inc Monroe Capital Corp Montello Res Ltd Monument Mining Ltd Mooncor Oil & Gas Corp Morg St Inc Secs Morgan Resources Corp Morgan Stanley China Fd-a Morguard N/amer Reit T/u Morguard Rl/est Inv T/u Mosaic Acquisition Corp-a Mosaic Capital Corp Mosys Inc-new Motif Bio Plc Spon/adr Motorcar Parts Of America Motus Gi Holdings Inc Mountain China Resorts Hl Mountain Province Diamond Mountainview Energy Ltd Movado Group Inc Movit Media Corp-new Moxian Inc Ms Cush Mlp Hi Income Etn Ms Strutured-a 7% Saturns Ms&ad Insurance Group Msb Financial Corp-new Msg Networks Inc Mtge Investment Corp Mtr Corp Ltd Mty Food Group Inc Muenchener Rueckver -regMulesoft Inc Cl-a Mullen Group Ltd Mundoro Capital Inc Murata Manufacturing Mustang Bio Inc Mutualfirst Financial Inc Mv Oil Trust Mvb Financial Corp Mvc Capital Inc My Size Inc Myers Industries Inc Mynd Analytics Inc Myokardia Inc Myomo Inc Myos Rens Technology Inc Myovant Sciences Ltd Myr Group Inc Myriad Genetics Inc Nabors Industries Ltd Nabriva Therapeutics Plc Naikun Wind Energy Group

Symbol

Major Market

MTSFF MIXT MFG MMAC MNAP MBT MOBL MMDM MOD MDSYF MLNK MC MOGO MOKOY MTEM MBRX MNTA MOMO MCRI MLD.UN ME MGI MDB YAK MPWR MRCC MLORF MMY MOO ICB JH CAF MRG.UN MRT.UN MOSC M MOSY MTFB MPAA MOTS MCG MPVD MVW'H MOV MV'H MOXC MLPY HJV MSADF MSBF MSGN MTGE MTRJF MTY MURGF MULE MTL MUN MRAAF MBIO MFSF MVO MVBF MVC MYSZ MYE MYND MYOK MYO MYOS MYOV MYRG MYGN NBR NBRV NKW

US US US US US US US US US US US US T US US US US US US T T US US T US US US T T US T US T T US T US US US US T T T US T US US US US US US US US T US US T T US US US US US US US US US US US US US US US US US T

Loan Value (No Loan Value below $3.00)

25% 0% 50% 25% 25% 0% 50% 0% 50% 25% 25% 50% 25% 25% 25% 0% 25% 50% 25% 25% 25% 50% 50% 25% 50% 50% 0% 25% 25% 25% 25% 50% 25% 50% 0% 25% 25% 0% 50% 25% 0% 25% 25% 50% 0% 0% 0% 25% 25% 25% 50% 50% 25% 50% 25% 50% 50% 25% 0% 25% 25% 25% 25% 25% 25% 50% 25% 25% 25% 25% 25% 50% 25% 50% 0% 25%

Security Name Naked Brand Group Inc Nam Tai Property Inc Namibia Rare Earths Inc Nano Dimension Ltd Sp/adr Nanostring Technologies Nanotech Security Corp Nanovibronix Inc Nanoviricides Inc Nanthealth Inc Nantkwest Inc Napco Security Techs Inc Napier Ventures Inc Natcore Technology Inc Natera Inc National Access Cannabis National Amer Univ Hldgs National Bank Hldgs Crp-a National Banshares Inc National Cinemedia Inc National Engy Svcs Reuntd National General Hldgs Cr National Holdings Corp National Security Grp Inc Nationstar Mtg Hldngs Inc Natl Australia Bk Ltd Ord Natl Gen Hldgs 7.625% Pfd Natural Altern Intl Inc Natural Gas Services Grp Natural Grocers By Vitami Natural Health Trends Natural Res Ptnrs Lpu-new Naturally Splendid Entrps Natures Sunshine Prod Natuzzi Spa Adr Nautilus Inc Nautilus Minerals Inc Navidea Biopharmaceutical Navigator Group Navios Mar Hldg S/adr Pfd Navios Mari 8.75%pf-g Adr Navios Maritime Acquis Navios Maritime Hldgs Inc Navios Maritime Midstr Lp Navios Maritime Prtnr Lpu Navistar Intl Corp Nbt Bancorp Inc Ndx Growth & Incm-a T/u Neah Power Systems-new Nebo Capital Corp Neenah Inc Nektar Therapeutics Nelnet Inc Cl-a Nemaska Lithium Inc Nemaura Medical Inc Neo Lithium Corp Neonode Inc Neophotonics Corp Neos Therapeutics Inc Neovasc Inc Neptune Tech & Biores Inc Net 1 Ueps Techs Inc Net Element Inc-new Netlist Inc Netscout Systems Inc Netshoes (cayman) Limited Netsol Tech Inc-new Network Media Group Inc Network-1 Technologies Neuberger Ber H/yld Strat Neuberger Ber Mlp Incm Fd Neuberger Berm Ca Int Mun Neuberger Berm Int Mun Fd Neuberger Berm Ny Int Mun Neuberger Berman Real Est Neulion Inc Neuralstem Inc-new

Symbol

Major Market

NAKD NTP NRE NNDM NSTG NTS NAOV NNVC NH NK NSSC NAP NXT NTRA NAC NAUH NBHC NKSH NCMI NESR NGHC NHLD NSEC NSM NAUBF NGHCZ NAII NGS NGVC NHTC NRP NSP NATR NTZ NLS NUS NAVB NAVG NM.H NM.G NNA NM NAP NMM NAV NBTB NGI.UN NPWZ NBO'H NP NKTR NNI NMX NMRD NLC NEON NPTN NEOS NVCN NEPT UEPS NETE NLST NTCT NETS NTWK NTE NTIP NHS NML NBW NBH NBO NRO NLN CUR

US US T US US T US US US US US T T US T US US US US US US US US US US US US US US US US T US US US T US US US US US US US US US US T US T US US US T US T US US US T T US US US US US US T US US US US US US US T US

Loan Value (No Loan Value below $3.00)

25% 50% 25% 25% 25% 25% 25% 0% 25% 25% 25% 25% 25% 25% 0% 25% 50% 25% 50% 25% 50% 25% 25% 50% 25% 0% 25% 50% 25% 25% 50% 25% 25% 0% 50% 25% 0% 50% 0% 0% 0% 0% 0% 0% 50% 50% 25% 25% 0% 50% 50% 50% 50% 0% 25% 25% 0% 25% 25% 25% 0% 25% 25% 50% 0% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 0%

Security Name Neurocrine Biosciencs Inc Neurometrix Inc-new Neurotrope Inc Nevada Clean Magnesium Nevada Copper Corp Nevada Gold & Casinos Inc Nevada Sunrise Gold-new Nevro Corp Nevsun Resources Ltd New Age Beverages Corp New Amer High Incm Fd-new New Concept Energy Inc New England Rlty-d/r Lpu New Era Minerals Inc New Germany Fund Inc New Gold Inc New Ireland Fund Inc New Look Vision Group New Media Investment Grp New Millennium Iron Corp New Mountain Finance Corp New Oriental Ed&tech Adr New Oroperu Resources Inc New Relic Inc New Source En Lp 11%-a Pf New Source Energy Lpu New World Dev Co Ltd Ord New York & Co Inc New York Comm Cap V 6%pfd New York Mtg Trust-new New Zealand Energy Corp Newalta Corp Newater Technology Inc Newcrest Mining Ltd Npv Newfld Capital Crp-a Sv Newlink Genetics Corp Newmac Resources Inc Newnorth Project Ltd Newpark Resources Inc Newport Exploration Ltd Newrange Gold Corp Newstrike Resources Ltd Newtek Business Svc 7% Nt Newtek Business Svcs Corp Newtek Busn Svcs 7.5% Nts Nexa Resources S.a. Nexgen Energy Ltd Nexgenrx Inc Nexj Systems Inc Cl-a Nexpoint Credit Strat-new Next Generation Mgmt Corp Next Plc Ord 10p Nextdecade Corp Nextera Egy 5.125%-i Pfd Nextera Egy5.25%-k Jr Deb Nextera Engy Cap 5%-j Pfd Nextraction Energy Corp Nextsource Matrls Inc-new Nexus Real Estate Inv T/u Nf Energy Saving Corp Nfld Capital Corp Cl-b Mv Ngex Resources Inc Ngk Insulators Ltd Ngl Energy Partners Lpu Nhc Communications Inc Ni Holdings Inc Niagara Mohawk Pwr3.90%pr Niagara Mokawk Pwr3.60%pr Nic Inc Nicholas Finl Inc Nickel Creek Platinum Crp Nickel North Explor Corp Nidec Corp Pv Jpy 50 Nighthawk Gold Corp Nightstar Therap Plc Adr Niko Resources Ltd-com

Symbol

Major Market

NBIX NURO NTRP NVM NCU UWN NEV NVRO NSU NBEV HYB GBR NEN NEM GF NGD IRL BCI NEWM NML NMFC EDU ORO NEWR NUSPQ NSLPQ NDVLF NWY NYCB.U NYMT NZ NAL NEWA NCMGF NCC'A NLNK NER NNP NR NWX NRG HIP NEWTL NEWT NEWTZ NEXA NXE NXG NXJ NHF NGMC NXGPF NEXT NEE.I NEE.K NEE.J NE'H NEXT NXR.UN NFEC NCC'B NGQ NGKIF NGL NHCMF NODK NMK.C NMK.B EGOV NICK NCP NNX NNDNF NHK NITE NKO

US US US T T US T US T US US US US T US T US T US T US US T US US US US US US US T T US US T US T T US T T T US US US T T T T US US US US US US US T T T US T T US US US US US US US US T T US T US T

Loan Value (No Loan Value below $3.00)

50% 25% 0% 25% 25% 0% 25% 50% 25% 25% 25% 25% 25% 25% 25% 50% 25% 25% 50% 25% 50% 0% 25% 50% 25% 25% 25% 25% 25% 50% 25% 50% 0% 25% 25% 25% 25% 25% 50% 25% 25% 25% 0% 50% 0% 0% 25% 25% 25% 25% 0% 25% 25% 25% 25% 25% 25% 25% 0% 0% 25% 25% 25% 50% 0% 25% 25% 25% 50% 25% 25% 25% 0% 25% 25% 25%

Security Name Nikon Corp Nine Energy Service Inc Nintendo Co Ltd-ord Niocan Inc Niocorp Developments Ltd Nippon Dragon Res Inc Nippon Electric Glass Nippon Sheet Glass Co Ltd Nippon Steel Corp-new Nippon Suisan Kaisha Ltd Nippon Telegraph&telephon Nippon Yusen Kabushiki Nissan Motor Co Ltd Nissin Food Holdings Co Nitto Denko Corp Nmi Holdings Inc Cl-a Noah Holdings Ltd-sp Ads Nobilis Health Corp Noble Corporation Plc Noble Iron Inc Noble Mineral Exploration Nokia Oyj .06 Eur Nomad Foods Ltd Npv Noodles & Company Cl-a Noranda Aluminum Hldg Crp Noranda Income Fd -a T/u Nordea Bank Ab Nordic American Offshore Noront Res Ltd Nortech Systems Inc North Amer Pfd Share T/u North American Engy Prtnr North American Nickel Inc North American Palladium North American Tungstn Cp North Arrow Mnls Inc-new North Atlantic Drilling North Sea Energy Inc Northcliff Resources Ltd Northeast Bancorp Northern Dynasty Mnls Ltd Northern Graphite Corp Northern Oil And Gas Inc Northern Power Systems Northern Shield Res Inc Northern Star Mining Corp Northern Superior Res Inc Northern Tech Intl Corp Northern Uranium Corp Northern Vertex Mng Corp Northfield Bancorp-new Northfield Cap Cp Cla-rv Northisle Copper&gold Inc Northrim Bancorp Inc Northstar Realty Europe Northview Apartment Reit Northwest Bancshares Inc Northwest Biotherapeutics Northwest Pipe Co Norvista Capital Corp Norwood Financial Corp Norzan Enterprises Ltd Nouveau Monde Graphite Nova Lifestyle Inc Novabay Pharmaceutic-new Novagold Res Inc Novan Inc Novavax Inc Novelion Therapeutics Inc Novo Resources Corp Novocure Ltd Novoheart Holdings Inc Novozymes A/s Dkk 2.0-b Novra Technologies Inc Novume Solutions Inc Novus Therapeutics Inc

Symbol

Major Market

NINOF NINE NTDOF NIO NB NIP NPEGF NPSGF NISTF NISUF NPPXF NYUKF NSANF NFPDF NDEKF NMIH NOAH HLTH NE NIR NOB NOKBF NOMD NDLS NORNQ NIF.UN NRDEF NAO NOT NSYS NPF.UN NOA NAN PDL NATUF NAR NADLQ NUK NCF NBN NDM NGC NOG NPS NRN NSMSF SUP NTIC UNO NEE NFBK NFD'A NCX NRIM NRE NVU.UN NWBI NWBO NWPX NVV NWFL NRZ'H NOU NVFY NBY NG NOVN NVAX NVLN NVO NVCR NVH NVZMF NVI NVMM NVUS

US US US T T T US US US US US US US US US US US US US T T US US US US T US US T US T T T T US T US T T US T T US T T US T US T T US T T US US T US US US T US T T US US T US US US T US T US T US US

Loan Value (No Loan Value below $3.00)

25% 50% 0% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 0% 25% 50% 50% 25% 50% 25% 25% 0% 0% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 50% 25% 25% 25% 25% 25% 25% 25% 25% 0% 25% 25% 25% 25% 50% 25% 25% 25% 50% 50% 50% 0% 25% 25% 25% 0% 25% 25% 0% 25% 0% 25% 0% 25% 0% 0% 25% 25% 0% 0%

Security Name Novx21 Inc Nq Mobile Inc Adr Nsk Ltd Ntg Clarity Networks Inc Nth European Oil Rlty Trs Ntn Buzztime Inc-new Nu Skin Enterprises Inc Nucana Plc Adr Nuinsco Resources Ltd Nulegacy Gold Corp Nulife Sciences Inc Nustar Grp Hldgs Llc-lpu Nustar Logistics 7.625%pf Nutanix Inc Cl-a Nutri/system Inc Nutrien Ltd Nuuvera Inc Nuvectra Corp Nuveen Glb Hi Incm Fd Etf Nuverra Environmental Sol Nuvista Energy Ltd Nuvo Pharmaceuticals Inc Nv Bekaert Sa Nxt Energy Solutions Inc Nxt-id Inc-new Nymox Pharmaceutical Corp O2micro Intl Ltd Spon Adr Oak Valley Bancorp Oaktree Spec Lend5.875%nt Oaktree Spec Lend6.125%nt Oaktree Specialty Lending Oaktree Strategic Incm Cp Oasis Petroleum Inc Oasmia Pharmaceutical Adr Obalon Therapeutics Inc Obayashi Corp Obrascon Huarte Lain Sa Obseva Sa Obsidian Energy Ltd Ocean Bio-chem Inc Ocean First Financial Ocean Power Techs Inc Ocean Rig Udw Inc Cl-a Oceanagold Corp Oceaneering Intl Inc Oceanic Iron Ore Corp Oceanus Res Corp Och-ziff Cap Mgt Llc Lpu Oci Partners Lp Oconee Federal Financial Ocp Credit Strategy T/u Ocp Senior Credit Fd T/u Ocular Therapeutix Inc Ocwen Financial Corp Odakyu Electric Railway Odonate Therapeutics Inc Odyssey Marine Explor-new Odyssey Resources Ltd Office Depot Inc Ofg Bancorp Ofg Bancorp 7% Ser-b Pfd Ofg Bancorp 7.125%-a Pfd Ofg Bancorp 7.125%-d Pfd Ofs Capital Corp Oha Investment Corp Ohio Valley Banc Corp Ohr Pharmaceutical-new Oi Sa Spon Adr-new Oil Dri Corp America -aOil Optimization Inc Oil Sands Sector Fd T/u Oil Search Ltd Pk Npv Oji Holdings Corp Oki Electric Industry Okta Inc Cl-a Old Mutual Gbp0.114285714

Symbol

Major Market

NOV'H NQ NPSKF NCI NRT NTN NUS NCNA NWIFF NUG NULF NSH NSS NTNX NTRI NTR NUU NVTR JGH NES NVA NRI BEKSF SFD NXTD NYMX OIIM OVLY OSLE OCSLL OCSL OCSI OAS OASM OBLN OBYCF OBSJF OBSV OBE OBCI OCFC OPTT ORIG OGC OII FEO OCN OZM OCIP OFED OCS.UN OSL.UN OCUL OCN ODERF ODT OMEX ODX'H ODP OFG OFG.B OFG.A OFG.D OFS OHAI OVBC OHRP OIBR'C ODC OOI'H OSF.UN OISHF OJIPF OKIEF OKTA ODMUF

T US US T US US US US US T US US US US US T T US US US T T US T US US US US US US US US US US US US US US T US US US US T US T T US US US T T US US US US US T US US US US US US US US US US US T T US US US US US

Loan Value (No Loan Value below $3.00)

25% 0% 25% 25% 25% 25% 25% 25% 25% 25% 0% 50% 0% 50% 50% 70% 25% 0% 25% 25% 50% 0% 25% 0% 25% 0% 25% 25% 50% 50% 50% 25% 25% 0% 25% 25% 0% 25% 50% 25% 50% 25% 50% 50% 50% 25% 25% 50% 25% 25% 25% 25% 0% 25% 25% 25% 25% 0% 50% 0% 0% 0% 0% 25% 25% 25% 0% 0% 25% 25% 25% 0% 25% 25% 50% 25%

Security Name Old National Bancorp Ind Old Point Financial Corp Old Second Bancorp Inc Old Second Cap Tst 1 Pfd Olivut Resources Ltd Olympia Financial Group Olympic Steel Inc Olympus Corp Jpy50 Om Asset Mgmt 5.125% Nts Omeros Corp Omineca Mining And Metals Ominto Inc Omni Lite Inds Cda Inc Omnova Solutions Inc On Deck Capital Inc On Track Innovations Ltd Oncobiologics Inc Oncocyte Corp Oncolytics Biotech Inc Oncomed Pharmaceuticals Onconova Therapeutics-new Oncosec Medical Inc One Group Hospitality Inc One Horizon Group Inc-new One Liberty Pptys Inc One Stop Systems Inc Onecap Investment Corp Onemain Holdings Inc Oneroof Energy Group Inc Onesoft Solutions Inc Ono Pharmaceuticals #4528 Ooma Inc Opgen Inc-new Ophthotech Corp Opiant Pharmaceuticals Opko Health Inc Oppenheimer Hldg Inc-a Nv Opsens Inc Optibase Ltd Optical Cable Corp Optimumbank Holdings-new Optinose Inc Opus Bank Oracle Energy Corp-new Oragenics Inc-new Oramed Pharmaceuticals Orasure Technologies Inc Orbit Garant Drilling Inc Orca Exploration Group-a Orca Exploration Grp-b Sv Orca Gold Inc Orchid Island Capital Inc Orchids Paper Prods Co Ord Mountain Res Corp Orefinders Resources Inc Orex Minerals Inc Orexigen Therapeutics-new Orezone Gold Corp Organigram Holdings Inc Organovo Holdings Inc Oriana Resources Corp Orica Limited Npv Orient Paper Inc-new Oriental Land Co Ltd Origin Agritech Limited Origin Energy Ltd Origo Acquisition Corp Orion Energy Systems Inc Orion Engineered Carbons Orion Group Holdings Inc Oritani Finl Corp Orix Corporation Orla Mining Ltd Oroco Resource Corp Orocobre Ltd Orosur Mining Inc

Symbol

Major Market

ONB OPOF OSBC OSBCP OLV OLY ZEUS OCPNF OMAA OMER OMM OMNT OML OMN ONDK OTIV ONS OCX ONC OMED ONTX ONCS STKS OHGI OLP OSS OIC OMF ON'H OSS OPHLF OOMA OPGN OPHT OPNT OPK OPY OPS OBAS OCC OPHC OPTN OPB OEC OGEN ORMP OSUR OGD ORC'A ORC'B ORG ORC TIS OMR'H ORX REX OREX ORE OGI ONVO OUP'H OCLDF ONP OLCLF SEED OGFGF OACQ OESX OEC ORN ORIT ORXCF OLA OCO ORL OMI

US US US US T T US US US US T US T US US US US US T US US US US US US US T US T T US US US US US US US T US US US US US T US US US T T T T US US T T T US T T US T US US US US US US US US US US US T T T T

Loan Value (No Loan Value below $3.00)

50% 25% 50% 25% 25% 25% 50% 25% 0% 25% 25% 25% 25% 50% 25% 25% 0% 0% 0% 0% 0% 25% 25% 0% 50% 25% 0% 50% 25% 25% 0% 25% 0% 0% 0% 50% 50% 25% 25% 25% 25% 25% 50% 25% 0% 0% 50% 25% 0% 0% 25% 50% 25% 0% 25% 25% 0% 25% 25% 0% 25% 25% 0% 0% 0% 25% 0% 25% 50% 25% 50% 0% 25% 25% 25% 25%

Security Name Orrstown Fincl Svcs Inc Orsu Metals Corp Orsus Xelent Tech Inc Orthofix Intl Nv Orthopediatrics Corp Orvana Minerals Corp Oryx Petroleum Corp Osisko Gold Royalties Ltd Osisko Metals Inc Osisko Mining Inc Osprey Energy Acq Corp-a Ossen Innovation Co Adr Otelco Inc Cl-a Otis Gold Corp Otonomy Inc Otsuka Holdings Co Ltd Ottawa Bancorp Inc Ovascience Inc Overseas Shiphldg-a New Overstock.com Inc Ovid Therapeutics Inc Owens Realty Mortgage Inc Oxbridge Re Holdings Ltd Oxford Industries Inc Oxford Lane 6.75% S24 Pfd Oxford Lane Cap 7.5% Pfd Oxford Lane Cap Corp Oyster Oil And Gas Ltd P & F Industries Inc Cl-a P A M Transn Svcs Inc P&p Ventures Inc Pac Gas&elec 4.8% 1st Pr Pac.gas & Elec.4.36% Pr. Pac.gas & Elec.4.50% Pf-h Pac.gas & Elec.5%rd.1stpr Pac.gas & Elec5% 1st Pr-a Pac.gas&elec 5.50 1st Pr Pacific Biosciences Of Ca Pacific Booker Minls Inc Pacific Cascade Mnls Inc Pacific Coast Oil Trust Pacific Drilling S.a-new Pacific Ethanol Inc-new Pacific Gas & Elec 5% Pfd Pacific Gas & Elec 6% Pfd Pacific Geoinfo Corp Pacific Imperial Mines Pacific Link Mining Corp Pacific Mercantile Bancrp Pacific Premier Bancorp Pacific State Bancorp Pacific Wildcat Res Corp Pacira Pharmaceuticals In Pain Therapeutics Inc-new Painted Pony Energy Ltd Paladin Energy Ltd Palatin Technologies-new Palladon Ventures Ltd Palliser Oil & Gas Corp Paloma Res Inc Pampa Energia Sa Adr Pan Global Resources Inc Pan Orient Energy Corp Panasonic Corporation Pandora A/s Pandora Media Inc Pangaea Logistics Solns Pangolin Diamonds Corp Panhandle Oil And Gas Inc Panoro Minerals Ltd Papa Murphy's Hldgs Inc Par Technology Corp Paragon Shipping 8.375%pf Parallel Energy Trust T/u Paramount Gold Nevada Crp Paramount Res Ltd Cl-a

Symbol

Major Market

ORRF OSU ORSX OFIX KIDS ORV OXC OR OM OSK OSPR OSN OTEL OOO OTIC OTSKF OTTW OVAS OSG OSTK OVID ORM OXBR OXM OXLCM OXLCO OXLC OY PFIN PTSI PPV'H PCG.G PCG.I PCG.H PCG.D PCG.E PCG.B PACB BKM PCV'H ROYT PACDQ PEIX PCG.C PCG.A PGO'H PPM PKC'H PMBC PPBI PSBC PAW'H PCRX PTIE PONY PALAF PTN PLLVF PSLRF PLO'H PAM PGZ POE PCRFF PNDZF P PANL PAN PHX PML FRSH PAR PRGN4153414 PEYTF PZG POU

US T US US US T T T T T US US US T US US US US US US US US US US US US US T US US T US US US US US US US T T US US US US US T T T US US US T US US T US US US US T US T T US US US US T US T US US US US US T

Loan Value (No Loan Value below $3.00)

25% 25% 0% 0% 25% 25% 25% 50% 25% 25% 0% 0% 25% 25% 0% 25% 25% 0% 25% 50% 0% 25% 25% 50% 25% 25% 25% 25% 25% 25% 0% 25% 25% 25% 25% 25% 25% 50% 0% 25% 25% 25% 25% 25% 25% 0% 0% 0% 25% 50% 0% 25% 25% 0% 50% 25% 0% 25% 25% 0% 0% 25% 25% 25% 25% 50% 25% 25% 50% 25% 25% 25% 0% 25% 25% 50%

Security Name Paratek Pharmaceuticals Pareteum Corp-new Parex Resources Inc Park City Group Inc Park Electrochemical Park Lawn Corp Park National Corp Park Ohio Hldgs Corp Parke Bancorp Inc Parker Drilling Co Parkervision Inc-new Parkit Enterprise Inc Parmalat Spa Eur 1 Parnell Pharma Hldgs Ltd Partner Communication Adr Partner Jet Corp Partnerre Ltd 5.875%-f Pf Partnerre Ltd 5.875%-i Pf Partnerre Ltd 6.5%-g Pfd Partnerre Ltd 7.25-h Pfd Partners Reit T/u Partners Val Invs Lpu Pfd Partners Val Split Aa3 Pf Partners Val Split Aa6 Pf Partners Val Split Aa7 Pf Partners Value Invs Lpu Party City Holdco Inc Passport Potash Inc Pathfinder Bancorp Inc Pathfinder Income Fnd T/u Patient Home Monitoring Patriot National Banc-new Patriot National Inc Patriot Transportatn Hldg Pavmed Inc Paylocity Holding Corp Payment Data Systems Inc Pb Bancorp Inc Pbf Logistics Lp Pcm Inc Pcsb Financial Corp Pc-tel Inc Pdc Energy Inc Pdl Biopharma Inc Pdl Community Bancorp Pd-rx Pharmaceuticals Inc Peak Positioning Tech Inc Peak Resorts Inc Peapack Gladstone Fin Crp Pearl River Holdings Ltd Pebble Creek Mining Ltd Pedevco Corp-new Pediapharm Inc Peeks Social Ltd Pelangio Exploration Inc Pender Growth Fund Inc Pengrowth Energy Corp Penn Natl Gaming Inc Penn Va Corp Pennantpark Floating Rate Pennantpark Investment Cp Pennine Petroleum Corp Penns Woods Bancorp Inc Pennymac Financial Svcs-a Pennymac Mortgage Invs Tr Pensare Acquisition Corp People Corp Peoples Bancorp Inc Peoples Bancorp Of North Peoples Financial Svcs Cp Perceptron Inc Peregrine Diamonds Ltd Performant Financial Corp Perion Network Ltd Perma-fix Environmntl-new Perma-pipe Intl Hldgs Inc

Symbol

Major Market

PRTK TEUM PXT PCYG PKE PLC PRK PKOH PKBK PKD PRKR PKT PLATF PARNF PTNR PJT PRE.F PRE.I PRE.G PRE.H PAR.UN PVF.U PVS.B PVS.D PVS.E PVF.UN PRTY PPRTF PBHC PCD.UN PHM PNBK PNTPQ PATI PAVM PCTY PYDS PBBI PBFX PCMI PCSB PCTI PDCE PDLI PDLB PDRX PKK SKIS PGC PRH PBLEF PED PDP PEEK PX PTF PGF PENN PVAC PFLT PNNT PNN PWOD PFSI PMT WRLS PEO PEBO PEBK PFIS PRCP PGD PFMT PERI PESI PPIH

US US T US US T US US US US US T US US US T US US US US T T T T T T US US US T T US US US US US US US US US US US US US US US T US US T US US T T T T T US US US US T US US US US T US US US US T US US US US

Loan Value (No Loan Value below $3.00)

25% 25% 25% 25% 50% 25% 50% 25% 25% 25% 25% 25% 0% 0% 25% 0% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 50% 25% 25% 25% 25% 25% 25% 25% 25% 50% 25% 25% 25% 25% 25% 25% 50% 25% 0% 0% 25% 25% 50% 25% 0% 25% 25% 25% 25% 25% 50% 25% 50% 50% 50% 25% 25% 50% 50% 0% 25% 50% 25% 25% 25% 25% 25% 25% 25% 25%

Security Name Permian Basin Ryl Tr Unts Pernix Therapeutics-new Pernod-ricard Perry Ellis Intl Inc Perseus Mining Ltd Pershing Gold Corp Persimmon Plc Petmed Express Inc Petrichor Energy Inc Petro Vista Energy Corp Petrobras Argentina Adr Petrocorp Group Inc Petrofac Ltd Petrofrontier Corp Petrolympic Ltd Petromaroc Corp Plc Petroquest Energy Inc-new Petroshale Inc Petro-victory Enrgy Crp-a Petrowest Corp Cl-a Petrox Resources Corp Petrus Resources Ltd Pfb Corp Pfenex Inc Pfsweb Inc-new Phaserx Inc Phh Corp Phi Inc Phi Inc Non-voting Phibro Animal Health Cl-a Phoenix Canada Oil Ltd Phoenix Cos 7.45% Quibs Phoenix New Media Ltd-adr Photon Control Inc Phx Energy Svcs Corp Physicians Realty Trust Pico Holdings Inc Picton Mahoney Tact T/u-a Pier 1 Imports Inc Pieridae Energy Ltd Pieris Pharmaceuticals Pimco 0-5y High Yld Etf Pimco Glb Incm Opp-a T/u Pine Valley Mining Corp Pinebridge Inv Grd Pf T/u Pinetree Capital Ltd Ping An Insurance (group) Pingtan Marine Enterprise Pinnacle Entertainment Pinnacle Renewable Hldgs Pioneer Corporation Pioneer Diversified Hi/in Pioneer Energy Svcs Corp Pioneer Floating Rate Tr Pioneer High Income Trust Pioneer Mun High Incm Adv Pioneer Muni High Incm Tr Pioneer Pwr Sols Inc Pioneering Tech Corp Piper Jaffray Cos Pirelli & C.spa Npv Pitney Bowes Inc 6.7% Pfd Pivot Technology Soln Inc Pixelworks Inc-new Pizza Pizza Royalty Corp Pjt Partners Inc Cl-a Pjx Resources Inc Plains All Amer Ppln Lp Plains Gp Hldgs Lp-a New Plantronics Inc Plata Latina Minerals Crp Platinum Group Metals-new Playags Inc Plaza Retail Reit T/u Plug Power Inc Plumas Bancorp

Symbol

Major Market

PBT PTX PDRDF PERY PRU PGLC PSMMF PETS PTP PTV'H PZE PGPXF POFCF PFC PCQ PMA PQ PSH VRY PWSEF PTC PRQ PFB PFNX PFSW PZRXQ PHH PHII PHIIK PAHC PCO PNX3814338 FENG PHO PHX DOC PICO PMB.UN PIR PEA PIRS HYS PGI.UN PVMCF PRF.UN PNP PIAIF PME PNK PL PNCOF HNW PES PHD PHT MAV MHI PPSI PTE PJC PPAMF PBI.B PTG PXLW PZA PJT PJX PAA PAGP PLT PLA PTM AGS PLZ.UN PLUG PLBC

US US US US T T US US T T US US US T T T US T T US T T T US US US US US US US T US US T T US US T US T US US T US T T US US US T US US US US US US US US T US US US T US T US T US US US T T US T US US

Loan Value (No Loan Value below $3.00)

50% 0% 25% 50% 25% 25% 25% 50% 25% 25% 0% 0% 0% 25% 25% 0% 25% 25% 0% 25% 25% 25% 25% 0% 25% 0% 25% 25% 25% 25% 25% 25% 50% 25% 25% 50% 50% 25% 50% 25% 25% 25% 50% 0% 25% 25% 25% 25% 25% 50% 25% 25% 50% 25% 25% 25% 25% 25% 25% 50% 0% 0% 25% 25% 25% 50% 25% 50% 50% 50% 25% 25% 25% 25% 25% 25%

Security Name Pluristem Therapeutic Inc Plx Pharma Inc Plymouth Indust Reit-a Pf Plymouth Industrial Reit Poage Bankshares Inc Poet Technologies Inc Point.360 Pointer Telocation Ltd Points Intl Ltd Polar Power Inc Polaris Infrastructure Polarityte Inc Pollard Banknote Ltd Polymet Mng Corp Polymetal Intl Plc Poniard Pharm Inc Pool Safe Inc Pope Res Lpu (delaware) Popular Cap Tr Ii 6.125% Popular Cap Tr Inc 6.7%pf Popular Inc-new Porter Bancorp Inc-new Portola Pharmaceuticals Posera Ltd Postmedia Net Cda-nc V/vt Postmedia Ntwk Cda-c Vtg Postrock Energy Corp Potash Ridge Corp Potbelly Corp Pounce Technologies Inc Power Assets Holdings Ltd Power Reit Powershares S&p Downside Powersharse S&p 500 Buywr Powershr Db Base Metals Powershr Db Gold Fund Powershr Db Oil Fund Powershr Db Precious Mtls Powershr Db Silver Fund Powershr Ftse Rafi Emg Mk Powershr India Ptf Powershr Mlt-stra Alt Ptf Powershrs Fndmtl High Etf Powershs Glb S/t High Yld Ppl Cap Funding 5.9%-b Pf Pplus Tr Ser Gsc 2 F/rte Pq Group Holdings Inc Pra Group Inc Prairie Provident Res Inc Prana Biotech Spn Adr-new Prd Energy Inc Precious Metals & Mng T/u Precipio Inc Precipitate Gold Corp Precision Drilling Corp Precision Therapeutics Preferred Bank Preferred Pl Czn-1 8.375% Premier Financial Bancorp Premier Gold Mines Ltd Presbia Plc Prestige Brands Hldgs Inc Pretium Resources Inc Prgx Global Inc Prime City One Cap Corp Primeenergy Corp Primeline Engy Hldgs Inc Primero Mining Corp Prince Resource Corp Princeton National Bancrp Principal Real Est Incm Prism Resources Inc Prism Technologies Group Priszm Income Fund T/u Pro Real Estate Invt Trst Proassurance Corp

Symbol

Major Market

PSTI PLXP PLYM.A PLYM PBSK PTK PTSXQ PNTR PTS POLA PIF COOL PBL POM POYYF PARD POOL POPE BPOPM BPOPN BPOP PBIB PTLA PAY PNC'B PNC'A PSTRQ PRK PBPB POI'H HGKGF PW PHDG PBP DBB DGL DBO DBP DBS PXH PIN LALT PFH'F PGHY PPX PYT PQG PRAA PPR PRAN PREGF MMP.UN PRPO PRG PD AIPT PFBC PIY PFBI PG LENS PBH PVG PRGX PMO'H PNRG PEH P PNR'H PNBC PGZ PRS PRZM PSZMF PRV.UN PRA

US US US US US T US US T US T US T T US US T US US US US US US T T T US T US T US US US US US US US US US US US US T US US US US US T US US T US T T US US US US T US US T US T US T T T US US T US US T US

Loan Value (No Loan Value below $3.00)

0% 0% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 0% 0% 0% 25% 25% 25% 0% 25% 50% 25% 25% 25% 25% 25% 50% 25% 25% 25% 0% 0% 50% 50% 50% 50% 50% 50% 50% 0% 25% 25% 0% 25% 50% 50% 0% 0% 25% 0% 25% 25% 50% 25% 50% 25% 25% 25% 25% 25% 50% 25% 0% 25% 25% 50% 0% 0% 25% 25% 25% 0% 25% 50%

Security Name Pro-dex Inc-new Professional Div Ntwk-new Profire Energy Inc Progenics Pharmaceuticals Prometic Life Sciences Prontoforms Corp Propetro Holding Corp Prophase Labs Inc Prophecy Development Corp Proqr Therapeutics N.v. Prosh Ultrashrt Sc600-new Proshares Cred Su 130/30 Proshares Hedge Rep Etf Proshares Long Online Etf Proshares Rafi L/s Etf Proshares Short Fncls-etf Proshares Short Msci Eafe Proshares Short O&g-etf Proshares Short Qqq-new Proshares Shrt Bas Mt Etf Proshares Shrt Dow 30 Proshares Shrt Midcap 400 Proshares Shrt Rl Est Etf Proshares Ul7-10y Trs Etf Proshares Ult Con Etf-new Proshares Ult Europe Etf Proshares Ult Nsd Bio Etf Proshares Ult Nsd Bio-new Proshares Ult R/e Etf-new Proshares Ult Yen Etf-new Proshares Ult20+y Trs Etf Proshares Ultra Basic Mat Proshares Ultra Cons Good Proshares Ultra Cons Svcs Proshares Ultra Dow 30 Proshares Ultra Euro Proshares Ultra Finls-new Proshares Ultra Fncls-new Proshares Ultra Gold Proshares Ultra H/y Etf Proshares Ultra Hlthcare Proshares Ultra Indust Proshares Ultra Midcp 400 Proshares Ultra Msci Eafe Proshares Ultra Msci Emrg Proshares Ultra Msci Jpn Proshares Ultra Oil & Gas Proshares Ultra Qqq Proshares Ultra R/est-new Proshares Ultra Russ 2000 Proshares Ultra S&p 500 Proshares Ultra Semic-new Proshares Ultra Semiconds Proshares Ultra Silvr-new Proshares Ultra Sm/cap600 Proshares Ultra Techno Proshares Ultra Telecom Proshares Ultra Utilities Proshares Ultrapro Proshares Ultrapro Qqq Proshares Ultrapro S&p500 Proshares Ultras Msci-new Proshares Ultrash O&g-new Proshares Ultrashort Euro Proshares Ultrashrt Aud Proshares Ultrast Yen-new Proshares Ultshr Bb Crude Proshares Ultshr Util-new Proshares Ultshrt Tec-new Proshares Vix Mid-trm-new Proshr Ult Blmbrg Etf-new Proshr Ult Hlthcr Etf-new Proshr Ultra Gld Mine Etf Proshr Ultra M/cap400 Etf Proshr Ultra Nsdq Bio Etf Proshr Ultrapro Dow30 Etf

Symbol

Major Market

PDEX IPDN PFIE PGNX PLI PFM PUMP PRPH PCY PRQR SDD CSM HDG CLIX RALS SEF EFZ DDG PSQ SBM DOG MYY REK UST SCC UPV UBIO BIS SRS YCL UBT UYM UGE UCC DDM ULE SKF UYG UGL UJB RXL UXI MVV EFO EET EZJ DIG QLD URE UWM SSO SSG USD AGQ SAA ROM LTL UPW URTY TQQQ UPRO EEV DUG EUO CROC YCS SCO SDP REW VIXM BOIL RXD GDXS UMDD BIB UDOW

US US US US T T US US T US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US

Loan Value (No Loan Value below $3.00)

25% 25% 25% 25% 25% 25% 50% 0% 25% 0% 35% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 35% 35% 35% 0% 35% 35% 35% 35% 35% 35% 35% 35% 35% 35% 35% 35% 35% 35% 35% 35% 35% 35% 35% 35% 35% 35% 35% 35% 35% 35% 35% 35% 35% 35% 35% 0% 0% 0% 35% 35% 35% 35% 35% 35% 35% 35% 0% 35% 35% 0% 0% 35% 0%

Security Name Proshr Utlr Shrt Russ Etf Proshrs Decline Ret Etf Proshrs Shrt Msci Emg Etg Proshrs Ult 3x Crude Etf Proshrs Ult Bloom Crd Etf Proshrs Ult Finl Sel Etf Proshrs Ult Gld Miner Etf Proshrs Ult Msci Bra Etf Proshrs Ult Short Qqq-new Proshrs Ult Shrt Finl Etf Proshrs Ult Shrt Nsdq Bio Proshrs Ultra 3x Shrt Etf Proshrs Ultrash Leh7-10yr Proshs High Yld Intrs Etf Proshs Mngd Fut Strat Etf Proshs Short S/c600-new Proshs Short Vix S/t Etf Proshs Shrt Ftse China 50 Proshs Ult Basic Mat-new Proshs Ult Cons Goods-new Proshs Ult Msci Brazl-new Proshs Ult Shrt Silvr-new Proshs Ult Shrt/dow30 Etf Proshs Ult Vix St Fut Etf Proshs Ultr 20+y Tres-new Proshs Ultr Ftse China 50 Proshs Ultra Ftse China50 Proshs Ultra S&p500 Etf Proshs Ultrapro Mc400-new Proshs Ultrapro Sp500-new Proshs Ultrashort Qqq-new Proshs Ultrashrt Eur-new Proshs Ultrashrt Gold-new Proshs Ultrashrt Inds-new Proshs Ultrashrt Jpn-new Proshs Ultrashrt Russ-new Proshs Ultrshrt Mc400-new Proshs Ults Msci Eafe-new Proshs Ultsh 20+y Etf-new Proshs Ultshrt Bb Nat Gas Proshs Ultshrt Dow 30-new Proshs Vix S/t Future Etf Prospect Cap Corp 6.25%nt Prospect Capital Corp Prospect Global Resources Prosper Gold Corp Protagonist Therapeutics Protalix Biotherapeutics Proteon Therapeutics Inc Proteostasis Therapeutics Prothena Corp Plc Proto Labs Inc Provectus Biopharmaceutic Provident Bancorp Inc Provident Financial Hldgs Provident Finl Svcs Inc Prudential Bancorp-new Prudential Finl 5.7% Pfd Prudential Finl 5.75% Pfd Prudential Glb Sh Dur H/y Prudential Infl Lkd Retl Prudential Short Dur H/y Prysmian S.p.a. Psav Inc Psivida Corp Psychemedics Corp Pt Telekomunikasi Adr Ptc Therapeutics Inc Publicis Groupe Sa Eur.40 Puda Coal Inc Pulmatrix Inc Pulse Biosciences Inc Pulse Seismic Inc Puma Biotechnology Inc Puma Exploration Inc Pure Cycle Corp

Symbol

Major Market

SRTY EMTY EUM OILU UCO FINU GDXX UBR SQQQ FINZ ZBIO OILD PST HYHG FUT SBB SVXY YXI SMN SZK BZQ ZSL SDOW UVXY TBT XPP FXP SDS SMDD SPXU QID EPV GLL SIJ EWV TWM MZZ EFU TTT KOLD DXD VIXY PBB PSEC PGRX PGX PTGX PLX PRTO PTI PRTA PRLB PVCT PVBC PROV PFS PBIP PRH PJH GHY PFK ISD PRYMF PSAV PSDV PMD TLK PTCT PGPEF PUDA PULM PLSE PSD PBYI PUMA PCYO

US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US T US US US US US US US US US US US US US US US US US US US US US US US US US US T US T US

Loan Value (No Loan Value below $3.00)

0% 0% 0% 0% 35% 0% 25% 0% 0% 0% 0% 0% 35% 25% 0% 0% 0% 0% 35% 35% 0% 35% 0% 0% 35% 35% 35% 35% 0% 0% 35% 35% 35% 35% 35% 35% 35% 35% 0% 35% 35% 0% 0% 50% 25% 25% 25% 0% 0% 0% 25% 50% 0% 25% 25% 50% 25% 0% 0% 25% 0% 25% 0% 50% 25% 25% 50% 25% 25% 0% 0% 25% 25% 25% 25% 25%

Security Name Pure Gold Mining Inc Pure Industrial Ret T/u Pure Multi-fam Reit Lpu-a Purepoint Uranium Group Purple Innovation Inc Purpose Dvsfd Rl Asst Etf Purpose Enh Us Eq N/c Hdg Purpose Enhanced Us Eqty Purpose Intl Tact Hdg Etf Purpose Multi-str Mkt Etf Purpose Premium Yield Etf Purpose Tact Hdg Eqty Etf Purpose Tact Hdg Eqty Etf Purpose Tot Ret Bond Etf Putnam High Incm Sec Fund Putnam Mastr Interm Incme Putnam Mgd Mun Inc Tr Putnam Mun Trust Sh Ben Putnam Premier Income Tr Pwrshr Fund Hy Crp Bd Etf Pyramid Petroleum Inc Pyrogenesis Canada Inc Pyxis Tankers Inc Pzena Investmnt Mgt Inc-a Q2 Holdings Inc Qc Hldgs Inc Qcr Holdings Inc Qep Resources Inc Qiagen N.v.-new Qiwi Plc Spon/adr Qkl Stores Inc Quad/graphics Inc Cl-a Quaker Chemical Corp Quality Sys Inc Qualstar Corp-new Qualys Inc Quantenna Communications Quantum Corporation-new Quarterhill Inc Quest Res Hldg Corp-new Questfire Energy Corp-a Quicklogic Corp Quinstreet Inc Quintana Energy Svcs Inc Qumu Corp Quorum Health Corp Quotient Ltd Quotient Technology Inc Qwest Corp 6.125% Pfd Qwest Corp 6.5% Nts Qwest Corp 6.625% Nts Qwest Corp 6.75% Nts Qwest Corp 6.875% Nts Qwest Corp 7% Pfd Qwest Corp 7% Notes Qwest Corp 7% Notes Pfd Qwest Corp-a 7.5% Pfd R1 Rcm Inc Ra Pharmaceuticals Inc Rada Electronics Inds-new Radcom Ltd Radiant Logistics Inc Radiant Logstc 9.75%-a Pf Radient Technologies Inc Radisson Mining Res-a Radisys Corp Radius Gold Inc Radius Health Inc Rainier Pacific Finl Grp Raise Production Inc Rait Financial Trust-new Rait Fincl Trust Pf Ser-a Rait Finl Tr 8.875%-c Pfd Rait Finl Tr-b 8.375% Pfd Ralph Lauren Corp Rambler Mtls&mng Gbp 0.01

Symbol

Major Market

PGM AAR.UN RUF.UN PTU PRPL PRA PEU'B PEU PHW PMM PYF PHE'B PHE PBD PCF PIM PMM PMO PPT PHB PYDPF PYR PXS PZN QTWO QCCO QCRH QEP QGEN QIWI QKLS QUAD KWR QSII QBAK QLYS QTNA QTM QTRH QRHC Q'H QUIK QNST QES QUMU QHC QTNT QUOT CTY CTBB CTZ CTDD CTV CTX CTAA CTU CTW RCM RARX RADA RDCM RLGT RLGT.A RTI RDS RSYS RDU RDUS RPFG RPC RAS RAS.A RAS.C RAS.B RL RAB

T T T T US T T T T T T T T T US US US US US US US T US US US US US US US US US US US US US US US US T US T US US US US US US US US US US US US US US US US US US US US US US T T US T US US T US US US US US T

Loan Value (No Loan Value below $3.00)

25% 50% 25% 25% 0% 0% 0% 0% 0% 0% 0% 0% 0% 25% 25% 25% 25% 25% 25% 25% 0% 25% 0% 25% 50% 25% 50% 50% 25% 0% 0% 50% 50% 50% 25% 50% 50% 25% 25% 25% 0% 25% 50% 25% 25% 25% 0% 50% 0% 0% 0% 0% 0% 0% 0% 0% 0% 25% 0% 25% 25% 25% 25% 25% 25% 25% 25% 25% 0% 25% 25% 25% 25% 25% 50% 25%

Security Name Rambus Inc Rand Capital Corp Rand Logistics Inc Randgold Resources Lt Adr Randgold Resources Ltd Randolph Bancorp Inc Randstad Holdings Range Res Corp Ranger Energy Svcs Inc-a Ranger Equity Bear Etf Rare Element Resource Ltd Rathdowney Resources Ltd Rave Restaurant Group Inc Ravensource Fund T/u Rayonier Adv Materials Razor Energy Corp Rb Energy Inc Rbc Strat Glb Div Ldr Etf Rbc Strat Glb Eq Ldrs Etf Rci Hospitality Hldgs Inc Rcm Techologies Inc Reading Intl - A Real Asset Incm&grow-a Tu Real Goods Solar Cl-a New Real Industry Inc Real Matters Inc Real Time Measurements Reality Sh Divcon Div Etf Reality Shares Divs Etf Reality Shr Nsdq Next Etf Realnetworks Inc Reata Pharmaceuticals-a Reaves Util Incm Tr Fd Recon Technology Ltd Recro Pharma Inc Red Eagle Exploration Ltd Red Eagle Mining Corp Red Electrica Corp Sa Red Lion Hotels Corp Red Robin Gourmet Burgers Red Tiger Mining Inc Redhawk Resources Inc Redhill Biopharma Ltd Adr Rediff.com India Ltd-adr Redishred Capital Corp Redknee Solutions Inc Svs Redline Comm Grp Inc Redstar Gold Corp Redwood Adv Mthy Incm T/u Redwood Core Incm Eq Etf Redwood Energy Income T/u Redwood Flt Rate Bd-a T/u Redwood Fltg Rt Icm-a T/u Redwood Fltg Rt Icm-u T/u Redwood Glb Fin Icm-a T/u Redwood Glb Infra Icm T/u Redwood Lw Vol Hi Icm T/u Redwood Mthly Incm Fd T/u Redwood Tact Ast Allo Etf Redwood Trust Inc Reed's Inc Reg Technologies Inc Regalwood Glb Engy Ltd-a Regeneron Pharm Inc Regent Pacific Properties Regenxbio Inc Regional Health Pptys Inc Regional Hlth-a 10.875%pf Regional Management Corp Regis Corp Regulus Therapeutics Inc Reis Inc Reit Indexplus Incm T/u Reitmans (cda) Ltd Reitmans (cda)ltd-a Nv Reko Intl Group Inc

Symbol

Major Market

RMBS RAND RLOGQ GOLD RGORF RNDB RANJF RRC RNGR HDGE REEMF RTH RAVE RAV.UN RYAM RZE RBEIF RLD RLE RICK RCMT RDI RAI.UN RGSE RELYQ REAL RTY'H DFND DIVY BLCN RNWK RETA UTG RCON REPH XR R RDEIF RLH RRGB RMN'H RDK RDHL REDFY KUT RKN RDL RGC AV.UN RDE AOG.UN IFL.UN ISL.UN ISL'U NAF.UN MQI.UN LOW.UN VIP.UN RTA RWT REED REGRF RWGE REGN RPP RGNX RHE RHE.A RM RGS RGLS REIS IDR.UN RET RET'A REKO

US US US US US US US US US US US T US T US T US T T US US US T US US T T US US US US US US US US T T US US US T T US US T T T T T T T T T T T T T T T US US US US US T US US US US US US US T T T T

Loan Value (No Loan Value below $3.00)

25% 25% 25% 0% 0% 25% 25% 50% 25% 0% 25% 25% 25% 25% 50% 0% 25% 0% 0% 50% 25% 50% 25% 25% 25% 50% 0% 0% 0% 0% 25% 25% 25% 0% 0% 25% 25% 25% 25% 50% 25% 25% 0% 0% 25% 25% 25% 25% 25% 0% 25% 25% 25% 25% 25% 25% 25% 25% 0% 50% 25% 25% 0% 50% 25% 25% 25% 25% 50% 50% 0% 25% 25% 25% 25% 25%

Security Name Relentless Resources Ltd Reliant Bancorp Inc Reliv Intl Inc-new Relm Wireless Corp Remark Holdings Inc Renaissance Gold Inc Renasant Corp Renault Sa Pv Eur 3.81 Renesola Ltd Spon Adr-new Renmin Tianli Group Inc Renn Fund Inc Rennova Health Inc Renoworks Software Inc Renren Inc-a Spon Adr-new Rent-a-center Inc Rentech Inc-new Repligen Corp Repsol Sa Republic Bancorp Ky Cl A Republic First Bancorp Research Frontiers Inc Reservoir Cap Corp Reshape Lifesciences Inc Resolute Energy Corp-new Resolute Forest Prod Inc Resona Holdings Inc,osaka Resonant Inc Resource Capital Corp-new Response Genetics Inc Restaurant Brands Lpu Exc Restoration Robotics Inc Restorbio Inc Resverlogix Corp Reto Eco-solutions Inc Retractable Technologies Retrophin Inc Return Energy Inc Reunion Gold Corp Revance Therapeutics Inc Reven Housing Reit-new Revive Therapeutics Ltd Revlon Inc Cl-a Revolution Light Tech-new Rewalk Robotics Ltd Rex Energy Corp-new Rex Volmaxx Invrs Vix Etf Rex Volmaxx Long Vix Etf Rexahn Pharmaceutic-new Rf Industries Ltd Rgc Resource Inc Rh Rhyolite Resources Ltd Rhythm Pharmaceuticals Rice Midstream Prtns Lpu Ricebran Technologies Richards Packg Incm Fd Tu Richardson Electrs Ltd Richmond Road Capital Crp Ricoh Co Ltd Ridgewood Cdn I/gr Bd T/u Rifco Inc Rigel Pharmaceuticals Rignet Inc Rimini Street Inc Ring Energy Inc Ringcentral Inc Cl-a Rino Intl Corp Rio Novo Gold Inc Rio Tinto Ltd Riot Blockchain Inc Ripper Oil And Gas-new Rit Techs Ltd Rite Aid Corp Ritter Pharmaceuticals Rivernorth Mkt-a 5.875%pf Rivernorth Oppty Fund Inc

Symbol

Major Market

RRL RBNC RELV RWC MARK REN RNST RNSDF SOL ABAC RCG RNVA RW RENN RCII RTKHQ RGEN REPYF RBCAA FRBK REFR REO RSLS REN RFP RSNHF RESN RSO RGDXQ QSP.UN HAIR TORC RVX RETO RVP RTRX RTN RGD RVNC RVEN RVV REV RVLT RWLK REXX VMIN VMAX RNN RFIL RGCO RH RYE RYTM RMP RIBT RPI.UN RELL RRD'H RICOF RIB.UN RFC RIGL RNET RMNI REI RNG RINO RN RTNTF RIOT RYP'H RITT RAD RTTR RMPL'PR RIV

T US US US US T US US US US US US T US US US US US US US US T US US T US US US US T US US T US US US T T US US T US US US US US US US US US US T US US US T US T US T T US US US US US US T US US T US US US US US

Loan Value (No Loan Value below $3.00)

25% 25% 25% 25% 50% 25% 50% 25% 0% 0% 25% 25% 25% 50% 50% 25% 25% 25% 50% 50% 25% 25% 0% 50% 50% 25% 25% 50% 25% 25% 25% 25% 25% 0% 25% 25% 25% 25% 25% 25% 25% 50% 25% 25% 25% 0% 0% 0% 25% 25% 50% 25% 25% 25% 25% 25% 25% 0% 25% 25% 25% 25% 25% 25% 50% 50% 0% 25% 25% 0% 0% 25% 50% 0% 25% 25%

Security Name Rivernorth/doubleline Str Riverside Resources Inc Riverview Bancorp Inc Rlj Entertainment Inc-new Rmg Networks Hldg Crp-new Rmr Real Estate Incm Fund Roadrunner Transport Sys Robex Resources Inc Roca Mines Inc Rock Creek Pharmaceut-new Rocket Pharmaceuticals Rockhaven Resources Ltd Rockwell Diamonds Inc Rockwell Medical Inc Rocky Brands Inc Rocky Mountain Dealership Rocky Mountain Liquor Inc Rocky Mtn Choc Factry-new Rohm Co Rokmaster Resources Corp Rolls-royce Hldgs Plc 20p Rome Res Ltd Romios Gold Resources Inc Romulus Res Ltd Rooster Energy Ltd Root9b Holdings Inc Roscan Minerals Corp Rosehill Resources Inc-a Rosetta Genomics Ltd-new Rotation Minerals Ltd Roughrider Exploration Lt Route1 Inc Rowan Companies Ltd-a Royal Lifescience Crp-new Royal Nickel Corp Royale Energy Inc Royce Global Value Tr Inc Royce Micro-cap Tr Inc Royce Value Trust Inc Rtg Mining Inc-new Rts-andina Acq Ii Tba Rts-atlantic Acquis Tba Rts-bison Cap Acq Tba Rts-black Ridge Acq Tba Rts-celgene Corp Tba Rts-cm Seven Star Tba Rts-constellation Alp Tba Rts-crescita Therap 9mr18 Rts-draper Oakwood Tba Rts-forum Merger Crp Tba Rts-gigcapital Inc Tba Rts-i-am Cap Acq Co Tba Rts-jensyn Acq Corp Tba Rts-kbl Merger Iv Tba Rts-modern Media Acq Tba Rts-origo Acq Corp12mar18 Rts-pensare Acq Crp Tba Rubicon Minerals Corp Rubicon Technology-new Rugby Mining Ltd Rumbleon Inc Cl-b Rupert Res Ltd Rusoro Mining Ltd Russell Breweries Inc Ruths Hospitality Grp Inc Rwe Ag Npv A Rxi Pharmaceuticals-new Ryanair Hldgs Plc Adr-new Ryerson Holding Corp Ryman Healthcare Ltd Npv S & T Bancorp Inc S&w Seed Co Saban Capital Acq Corp-a Sabina Gold & Silver Corp Sachem Capital Corp Sacyr Vallehermoso Sa

Symbol

Major Market

OPP RRI RVSB RLJE RMGN RIF RRTS RBX ROCAF RCPIQ RCKT RK RDI'H RMTI RCKY RME RUM RMCF ROHCF RKR RYCEF RMR'H RG ROM'H COQ RTNB ROS ROSE ROSG ROT REL ROI RDC RLS'H RNX ROYL RGT RMT RVT RTG ANDAR ATACR BCACR BRACR CELGZ CMSSR CNACR CTX'R DOTAR FMCIR GIG'R IAMXR JSYNR KBLMR MMDMR OACQR WRLSR RMX RBCN RUG RMBL RUP RML RB'H RUTH RWNFF RXII RYAAY RYI RHCGF STBA SANW SCAC SBB SACH SYRVF

US T US US US US US T US US US T T US US T T US US T US T T T T US T US US T T T US T T US US US US T US US US US US US US T US US US US US US US US US T US T US T T T US US US US US US US US US T US US

Loan Value (No Loan Value below $3.00)

25% 25% 25% 25% 25% 25% 50% 25% 0% 0% 25% 25% 25% 25% 25% 25% 25% 25% 0% 25% 25% 25% 25% 25% 25% 0% 0% 25% 0% 25% 25% 25% 50% 0% 25% 25% 25% 25% 25% 25% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 25% 25% 25% 25% 25% 25% 25% 50% 25% 0% 50% 50% 25% 50% 25% 0% 25% 25% 25%

Security Name Saexploration Hldgs-new Safe Bulkers 8% Ser-c Pfd Safe Bulkers Inc Safe Bulkers Ser-d 8% Pfd Safeguard Scientific-new Safran Sa Saga Communications-a New Sage Group Plc 1p Sage Therapeutics Inc Sagittarius Capital Corp Sahara Energy Ltd Sailfish Royalty Corp Saint Gobain Cie De Saizen Reit T/u-new Salazar Resources Ltd Salem Media Group Inc-a Salient Midstream&mlp Fnd Salisbury Bancorp Inc Sally Beauty Hldgs Salvatore Ferragamo S.p.a Sama Res Inc/res Sama Inc Samco Gold Limited Samoth Oilfield Inc San Gold Corp San Juan Basin Ryl Tr Unt Sanatana Resources Inc Sanchez Energy Corp Sanchez Midstream Ptnr Lp Sandridge Energy Inc Sandridge Mississip Tr Ii Sandridge Mississipp Tr I Sandridge Permian Trust Sands China Ltd Usd.01 Sandstorm Gold Ltd-new Sandvik Ab Sandy Spring Bancorp Inc Sangamo Therapeutics Inc Sangoma Technologies Corp Santa Fe Metals Corp Santa Rosa Res Corp-new Santacruz Silver Mng Ltd Santander Hldgs Usa Pfd Santos Ltd Shs Sapiens Intl Corp Nv Sarama Resources Ltd Saratoga Invest Corp-new Saratoga Invt Crp 6.75%nt Saratoga Resources Inc Tx Sarepta Thereapeutics Inc Sasol Ltd Adr Savara Inc Savary Gold Corp Sb Financial Group Inc Sb Finl Grp Inc 6.5%-a Pf Sbm Offshore Nv Eur 0.25 Sce Trust Vi 5% Pfd Sceptre Ventures Inc Schmitt Inds Inc Schneider Elect Se-eur 8 Schnitzer Stl Inds - A Scholastic Corp Schroders Plc Schulman A Inc Schwab Emrg Mkt Eqt Etf Schwab Fndml E/m Lrg Co Schwabo Capital Corp Schweitzer-mauduit Intl Scio Diamond Tech Corp Sciti Trust T/u Scorpio Bulkers 7.5% Nts Scorpio Bulkers Inc-new Scorpio Gold Corp Scorpio Tankers 6.75% Nts Scorpio Tankers 8.25% Nts Scorpio Tankers Inc Scpharmaceuticals Inc

Symbol

Major Market

SAEX SB.C SB SB.D SFE SAFRF SGA SGGEF SAGE SCX'H SAH FISH CODGF SZRRF SRL SALM SMM SAL SBH SFRGF SME SGA SCD SGRCF SJT STA SN SNMP SD SDR SDT PER SCHYF SSL SDVKF SASR SGMO STC SFM'H STR'H SCZ SOV.C STOSF SPNS SWA SAR SAB SARA SRPT SSL SVRA SCA SBFG SBFGP SBFFF SCE.L SVP'H SMIT SBGSF SCHN SCHL SHNWF SHLM SCHE FNDE SBO'H SWM SCIO SIN.UN SLTB SALT SGN SBNA SBBC STNG SCPH

US US US US US US US US US T T T US US T US US US US US T T T US US T US US US US US US US T US US US T T T T US US US T US US US US US US T US US US US T US US US US US US US US T US US T US US T US US US US

Loan Value (No Loan Value below $3.00)

0% 0% 0% 0% 25% 25% 25% 25% 50% 0% 25% 0% 25% 0% 25% 25% 25% 25% 50% 0% 25% 25% 25% 25% 50% 25% 50% 25% 0% 25% 25% 25% 25% 50% 25% 50% 25% 25% 25% 0% 25% 25% 25% 25% 25% 25% 0% 25% 50% 0% 25% 25% 25% 25% 25% 25% 0% 25% 25% 50% 50% 25% 50% 50% 50% 0% 50% 0% 25% 0% 0% 25% 0% 0% 0% 0%

Security Name Scr Trust V Fix-fl/rt Pfd Scripps E W Company Cl A Scynexis Inc Scythian Biosciences Corp Seabridge Gold Inc Seachange Intl Inc Seacoast Banking Corp-new Seacor Marine Hldgs Inc Seadrill Limited Seadrill Partners Llc Seair Inc Seanergy Maritime Hld-new Search Minerals Inc Sears Canada Inc Sears Holdings Corp Sears Hometown And Outlet Seaspan Corp Seaspan Corp 6.375% Pfd Seaspan Corp 7.125% Nts Seaspine Holdings Corp Seattle Genetics Inc Seaworld Entertainment Secom Co Jpy 50.0 Second Cup Ltd Second Sight Medical Prod Secure Energy Svcs Inc Secureworks Corp Cl-a Securitas Ab -b- Sek 1 Security Devices Intl Security Natl Finl Cp - A Sed Intl Hldgs Inc Sega Sammy Holdings Inc, Sego Resources Inc Sekisui House Ltd Select Asset 7% Jc Penny Select Bancorp Inc Select Energy Svcs Inc Selecta Biosciences Inc Sellas Life Sciences Grp Semafo Inc Semgroup Corp Cl-a Semiconductor Mfg Int Adr Semileds Corp-new Sendgrid Inc Seneca Foods Corp - A Seneca Foods Corp - B Senestech Inc Senior Housing 5.625% Nt Senior Housing 6.25% Nts Senior Secured Ft Rt-a Sennen Potash Corp Senomyx Inc Senseonics Holdings Inc Sensio Technologies Inc Sensus Healthcare Inc Sentinel Energy Svc Inc-a Sentry Sel Primary Mtls-a Senvest Cap Inc Sequans Commun Sa Spn/adr Sequential Brands Grp Inc Serabi Gold Plc Serco Group Plc 2p Serengeti Resources Inc Seres Therapeutics Inc Serinus Energy Inc Seritage Growth Ppty Cl-a Sernova Corp Servicenow Inc Servicesource Intl Inc Servisfirst Bancshares Servotronics Inc Seven & I Holdings Co Ltd Seven Stars Cloud Group Severn Bancorp Inc Severn Trent 97 17/19 P Sg Blocks Inc

Symbol

Major Market

SCE.K SSP SCYX SCYB SEA SEAC SBCF SMHI SDRL SDLP SARCF SHIP SMY SRSCQ SHLD SHOS SSW SSWN SSWA SPNE SGEN SEAS SOMLF SCU EYES SES SCWX SCTBF SDZ SNFCA SEDN SGAMF SGZ SKHSF JBR SLCT WTTR SELB SLS SMF SEMG SMI LEDS SEND SENEA SENEB SNES SNHNI SNHNL FRL.UN SN SNMX SENS SNIOF SRTS STNL SPMLF SEC SQNS SQBG SBI SECCF SIR MCRB SEN SRG SVA NOW SREV SFBS SVT SVNDF SSC SVBI SVTRF SGBX

US US US T T US US US US US US US T US US US US US US US US US US T US T US US T US US US T US US US US US US T US US US US US US US US US T T US US US US US US T US US T US T US T US T US US US US US US US US US

Loan Value (No Loan Value below $3.00)

25% 50% 0% 25% 25% 25% 50% 25% 25% 50% 25% 0% 25% 25% 25% 25% 50% 0% 0% 25% 50% 50% 25% 25% 25% 50% 50% 25% 25% 25% 25% 0% 25% 25% 25% 25% 50% 0% 0% 25% 50% 0% 25% 50% 25% 25% 0% 0% 0% 25% 25% 25% 50% 25% 25% 0% 0% 25% 25% 25% 25% 0% 25% 25% 25% 50% 0% 50% 25% 50% 25% 25% 0% 25% 25% 25%

Security Name Sgoco Group Ltd-new Sgx Resources Inc Shake Shack Inc Cl-a Shamaran Petroleum Corp Sharing Economy Intl Inc Sharp Corp Sharps Compliance Corp Sharpspring Inc Shaw Communications Inc A Shear Diamonds Ltd Shelby Ventures Inc-new Shiftpixy Inc Shiloh Ind Inc Shimizu Corp Shineco Inc Shin-etsu Chemical Co Ltd Shionogi & Co Ltd Shire Plc Adr Shiseido Co Ltd Shizouka Bank Shoe Carnival Inc Shopify Inc Cl-a Svs Shore Bancshares Inc Shotspotter Inc Showa Denko Kk Jpy50 Showa Shell Sekiyu Kk Shutterfly Inc Shutterstock Inc Si Financial Group Inc Sibanye-stillwater Sp/adr Siemens Ag Npv Reg Shrs Sienna Biopharmaceuticals Sientra Inc Sierra Bancorp Sierra Metals Inc Sierra Oncology Inc Sierra Wireless Inc Sifco Industries Sify Technologies Ltd-adr Sigma Designs Inc Sigma Labs Inc-new Sigmatron Intl Inc Siliconware Prec Ind Adr Silk Road Energy Inc Silver Bear Resources Plc Silver Bull Resources Inc Silver Predator Corp Silver Range Res Ltd Silver Recycling Co (the) Silvercorp Metals Inc Silvercrest Ast Mgmt Gp-a Silvercrest Metals Inc Silversun Technologies Simmons 1st Natl Cp - A Sina Corp Sino Land Co Ltd Sino-global Shipping Amer Sinovac Biotech Ltd Sir Royalty Incm Fnd T/u Sirios Resources Inc-new Sirona Biochem Corp Sito Mobile Ltd Skandinavia Ensk Bk Ord-a Skanska Ab Sr-b Swkrio Fr Skechers Usa Inc Skeena Resources Ltd Skf Ab Ser-bSky Network Television Sky Perfect Jsat Corp Sky Solar Hldgs Ltd Adr Skycity Entertainment Grp Skyline Corp Skylon Gwth & Incm T/u Skystar Bio-pharma Co Skywest Inc Slate Retail Reit Cl-u Tu

Symbol

Major Market

SGOC SXR SHAK SNM SEII SHCAF SMED SHSP SJR'A SRMUF SLY'H PIXY SHLO SHMUF TYHT SHECF SGIOF SHPG SSDOF SZKBF SCVL SHOP SHBI SSTI SHWDF SWSKF SFLY SSTK SIFI SBGL SMAWF SNNA SIEN BSRR SMT SRRA SW SIF SIFY SIGM SGLB SGMA SPIL SLK SBR SVB SPD SNG TSRCF SVM SAMG SIL SSNT SFNC SINA SNLAF SINO SVA SRV.UN SOI SBM SITO SVKEF SKSBF SKX SKE SKUFF SYKWF SKPJF SKYS SKYZF SKY SKG.UN SKBI SKYW SRT'U

US T US T US US US US T US T US US US US US US US US US US T US US US US US US US US US US US US T US T US US US US US US T T T T T US T US T US US US US US US T T T US US US US T US US US US US US T US US T

Loan Value (No Loan Value below $3.00)

0% 25% 50% 25% 0% 0% 25% 25% 25% 0% 0% 25% 25% 25% 0% 25% 25% 50% 25% 25% 50% 50% 25% 25% 25% 25% 50% 50% 25% 0% 25% 25% 25% 50% 25% 0% 50% 25% 25% 50% 25% 25% 50% 25% 0% 25% 25% 25% 0% 25% 25% 25% 25% 50% 50% 25% 25% 25% 25% 25% 0% 25% 25% 25% 50% 0% 25% 0% 25% 25% 25% 25% 25% 0% 25% 50%

Security Name Sleep Country Cda Hld Inc Sleep Number Corp Sm Energy Co Smart Employee Benefits Smart Sand Inc Smartcool Systems Inc Smartfinancial Inc Smartheat Inc Smc Corp-y50 Smith Micro Software-new Smiths Group Plc 37.5p Smtc Corporation Snap Inc Cl-a Sniper Resources Ltd Snipp Interactive Inc Snow Eagle Res Ltd Social Cap Hedosophia-a Social Reality Inc-a Societe General Eur 1.25 Socket Mobile Inc Sodastream Intl Ltd Softrock Minerals Ltd Sogou Inc Adr Sohu.com Inc Sojitz Corp Tokyo Ord Sojourn Explorations Inc Solar Capital Ltd Solar Senior Capital Ltd Solaredge Technologies Solaris Oilfield Infras-a Solarvest Bioenergy Inc Soleno Therapeutics-new Sol-gel Technologies Ltd Solgold Plc Solid Biosciences Inc Soligenix Inc Solitario Zinc Corp Solium Capital Inc Solvay Sa, Bruxelles Sonde Resources Corp Sonic Automotive Inc Sonic Corp Sonic Foundry Inc Sonic Healthcare Limited Sonoma Pharmaceuticals Sonor Inv.ltd 9% 1st Pr Sony Financial Holdings Sophiris Bio Inc-new Sorl Auto Parts Inc Sorrento Therapeutics Inc Sotheby's Del Sotherly Hotels Inc Sotherly Hotels-b 8% Pfd Sotherly Htls-c 7.875% Pf Sound Financial Bancorp Source Capital Inc Source Energy Svcs Ltd South State Corporation South32 Ltd Southcross Energy Lpu Southern Co 2015a 6.25%nt Southern Co S16a 5.25% Nt Southern Co S17b 5.25% Nt Southern First Bancshares Southern Mo Bancorp Inc Southern Pacific Res Corp Southgobi Resources Ltd Southside Bancshares Inc Southwest Ga Finl Corp Southwestern Energy Spackman Equities Grp Inc Spanish Broadcastg Sys-a Spanish Mountain Gold Ltd Spar Group Inc Spark Networks Se Adr Spark Therapeutics Inc

Symbol

Major Market

ZZZ SNBR SM SEB SND SSC SMBK HEAT SMECF SMSI SMGKF SMTX SNAP SIP'H SPN SEG'H IPOA SRAX SCGLF SCKT SODA SFT SOGO SOHU SZHFF SOJ SLRC SUNS SEDG SOI SVS SLNO SLGL SOLG SLDB SNGX SLR SUM SVYSF SOQDQ SAH SONC SOFO SKHCF SNOA SNI.A SYFHF SPHS SORL SRNE BID SOHO SOHOB SOHOO SFBC SOR SHLE SSB SHTLF SXE SOJA SOJB SOJC SFST SMBC STPJF SGQ SBSI SGB SWN SQG SBSAA SPA SGRP LOV ONCE

T US US T US T US US US US US US US T T T US US US US US T US US US T US US US US T US US T US US T T US US US US US US US T US US US US US US US US US US T US US US US US US US US US T US US US T US T US US US

Loan Value (No Loan Value below $3.00)

50% 50% 50% 25% 50% 25% 25% 0% 0% 25% 25% 25% 50% 25% 25% 0% 0% 25% 25% 25% 50% 0% 50% 50% 25% 0% 50% 25% 50% 50% 25% 0% 0% 25% 25% 0% 25% 50% 25% 25% 50% 50% 25% 25% 0% 25% 25% 0% 0% 25% 50% 25% 25% 25% 25% 25% 50% 50% 25% 25% 0% 0% 0% 25% 25% 25% 25% 50% 25% 50% 25% 25% 25% 25% 25% 25%

Security Name Spartan Energy Corp Sparton Corp Spdr Blm Barc E/m Loc Bnd Spdr Blm Barc H/y Bnd Etf Spdr Blm Barc S/t H/y Bnd Spdr Emrg Mkts Div Etf Spdr Indx S&p China Etf Spdr Nuveen Hy Muni Etf Spdr S&p Asia Pac Emr Etf Spdr S&p Emerg S/cap Etf Special Opp Fd 3.5% Pfd Special Opportunities Fnd Spectra7 Microsystems Inc Spectrum Pharmaceuticals Speedus Corp Speedway Motor Sports Spero Therapeutics Inc Sphere 3d Corp-new Sphere Resources Inc Spherix Inc-new Spi Energy Co Ltd-new Spie Sa Spin Master Corp Sub Vtg Spirit Airlines Inc Spirit Bear Capital Corp Spirit Realty Capital-new Splunk Inc Sportscene Group Inc-a Mv Sportsman's Warehouse Hld Spot Coffee (canada) Ltd Sprague Resources Lpu Spring Bank Pharmaceuticl Sprott Focus Trust Inc Sprott Inc Sprott Phys Gold&sivl T/u Sprott Phys Plat&pall T/u Spruce Ridge Res Ltd Sps Commerce Inc Spyglass Resources Corp Sqi Diagnostics Inc Square Inc Cl-a Src Energy Inc Sse Plc Sslj.com Ltd Cl-a Ssr Mining Inc St Augustine Gold&copper St Elias Mines Ltd Staffing 360 Sols Inc-new Stage Stores Inc Stamps.com Inc Standard Chart Plc Us$.50 Standard Exploration Ltd Standard Lithium Ltd Standard Motor Prods Inc Stanley Furniture Inc Stans Energy Corp Star Bulk Carriers 8.3%nt Star Bulk Carriers Cp-new Star Diamond Corp Star Group Lp Star Navigation Sys Group Starcore Intl Mines-new Starlight Us Mult-1 Val-a Starlight Us Mult-1 Val-u Starlight Us Mult-5 Cre-a Starlight Us Mult-5 Cre-u Starrett L.s. Co Cl-a Startek Inc State Auto Finl Corp State Bank Financial Corp Steadymed Ltd Stealthgas Inc Steel Partners Hldgs Lpu Steel Prtns Hldgs-a 6% Pf Stein Mart Stellar Acquisition Iii

Symbol

Major Market

SPE SPA EBND JNK SJNK EDIV GXC HYMB GMF EWX SPE.B SPE SEV SPPI SPDE TRK SPRO ANY SPHUF SPEX SPI SPIWF TOY SAVE SBG'H SRC SPLK SPS'A SPWH SPP SRLP SBPH FUND SII CEF SPPP SHL SPSC SGLRF SQD SQ SRCI SSEZF SSLJ SSRM SAU SELSF STAF SSI STMP SCBFF SDE SLL SMP STLY HRE SBLKZ SBLK DIAM SGU SNA SAM SUVA'A SUVA'U STUS'A STUS'U SCX SRT STFC STBZ STDY GASS SPLP SPLP.A SMRT STLR

T US US US US US US US US US US US T US US US US US US US US US T US T US US T US T US US US T T T T US US T US US US US T T US US US US US T T US US T US US T US T T T T T T US US US US US US US US US US

Loan Value (No Loan Value below $3.00)

50% 25% 50% 25% 25% 50% 50% 50% 50% 50% 25% 25% 25% 25% 25% 50% 0% 25% 0% 25% 0% 25% 50% 50% 0% 50% 50% 25% 25% 25% 25% 0% 25% 25% 70% 50% 25% 50% 25% 25% 50% 50% 25% 25% 50% 25% 25% 25% 25% 50% 25% 25% 25% 50% 25% 25% 50% 0% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 50% 50% 0% 0% 25% 25% 25% 0%

Security Name Stellar Biotechnologies Stellus Cap Inv 5.75% Nt Stellus Capital Investmnt Stemline Therapeutics Inc Step Energy Services Ltd Stepan Co Stereotaxis Inc Stericycle Inc Stewardship Financial Cp Stewart Information Svcs Sthn Cal Ed 4.24$ Cm Pfd Sthn Cal Edison4.78% Pr-e Sthn Calif Edison4.08% Pr Stina Resources Ltd Stingray Digital Group Sv Stingray Digital-var Sv Stitch Fix Inc Cl-a Stock Yards Bancorp Inc Stockland Stockport Exploration Inc Stone Energy Corp-new Stone Harb E/m Total Incm Stone Harbor Emerg Mkts Stonecastle Financial Crp Stonemor Partners L P Stoneridge Inc Storagevault Canada Inc Storm Resources Ltd Stornoway Diamond Crp-new Strad Energy Svcs Ltd-a Straight Path Comm Cl-b Strata Skin Sciences-new Stratasys Ltd Strateco Resources Inc Strategem Cap Corp Cl-a Strategic Oil & Gas Ltd Strategy Sh Actv Alts Etf Strattec Security Corp Stratus Properties Inc Strayer Education Inc Streamline Health Solns Street Capital Group Inc Stria Lithium Inc Strongbridge Biopharma Strongco Corp Stuart Olson Inc Sturm Ruger & Co Inc Subaye Inc Sumco Corp, Tokyo Sumitomo Chemical Co Ltd Sumitomo Corp Sumitomo Electric Industr Sumitomo Mitsui Tr Hldgs Sumitomo Osaka Cement Co Sumitomo Realty & Develop Summer Infant Inc Summit Indus Icm Reit-new Summit Midstream Part Lpu Summit State Bank Summit Therapeutics Adr Sumtra Diversified Inc Sun Hung Kai Properties Suncoke Energy Inc Suncoke Energy Prtnrs Lpu Suncorp Group Ltd Sundance Energy Aust Adr Sunesis Pharmaceut-new Sunlink Health Systems In Sunora Foods Inc Sunpower Corp-new Sunrun Inc Sunset Pacific Petroleum Sunshine Agri-tech Inc Sunwah International Ltd Sunworks Inc Super Micro Computer Inc

Symbol

Major Market

SBOT SCA SCM STML STEP SCL STXS SRCL SSFN STC SCE.C SCE.E SCE.B SQA RAY'A RAY'B SFIX SYBT STKAF SPT SGY EDI EDF BANX STON SRI SVI SRX SWY SDY STRP SSKN SSYS SRSIF SGE SOG SQZZ STRT STRS STRA STRM SCB SRA SBBP SQP SOX RGR SBAY SUMCF SOMMF SSUMF SMTOF CMTDF SUCEF SURDF SUMR SMU.UN SMLP SSBI SMMT SDV'H SUHJF SXC SXCP SNMYF SNDE SNSS SSY SNF SPWR RUN SPK SAI SWH SUNW SMCI

US US US US T US US US US US US US US T T T US US US T US US US US US US T T T T US US US US T T US US US US US T T US T T US US US US US US US US US US T US US US T US US US US US US US T US US T T T US US

Loan Value (No Loan Value below $3.00)

0% 0% 25% 25% 50% 50% 0% 50% 25% 50% 25% 25% 25% 25% 50% 50% 50% 50% 25% 25% 50% 25% 25% 25% 25% 50% 25% 25% 25% 25% 25% 0% 50% 25% 25% 25% 0% 25% 25% 50% 25% 25% 25% 25% 0% 50% 50% 0% 25% 25% 25% 25% 25% 25% 25% 25% 50% 50% 25% 0% 0% 25% 50% 50% 25% 25% 0% 25% 25% 50% 50% 25% 0% 25% 25% 50%

Security Name Supercom Ltd-new Superconductor Techs-new Superior Drilling Product Superior Energy Svcs Superior Ind Intl Inc Superior Uniform Group Supernus Pharmaceut Inc Support.com Inc-new Supreme Cannabis Co Inc Supremex Inc Surge Energy Inc Surgery Partners Inc Sussex Bancorp Sutherland Ast Mgt 7% Nts Sutor Technology Grp Ltd Sutter Gold Mining Inc Suzuki Motor Ltd Svenska Cellulosa-b Sek10 Svenskt Stal Ab-a Swatch Group Ord Chf 2.25 Swed Exp Elem Rogers Intl Swedbank Ab-a Swedish Exp Cred-rogers Swedish Match Ab Sek1.20 Swire Pac Cl-aSwiss Helvetia Fund Inc Swiss Re Ltd Chf 0.1 Swisscom Ag - Reg Sydney Airport Npv Sylogist Ltd Symbility Solutions Inc Symphony Fltg Rt Sr-a T/u Synacor Inc Synalloy Corp Synaptics Inc Synchronoss Technologies Syndax Pharmaceuticals Syneos Health Inc Cl-a Synergy Pharma Inc Synex International Inc Syngenta Ag Chf-2.3-regd Synlogic Inc Synodon Inc Cl-a Syntel Inc Synthesis Energy Syst-new Synthetic Biologics Inc Synthetic Fix-incm S06-1 Synthetic Fix-incm S06-3 Synthetic Fix-incm S06-4 Synthetic Fix-incm Strat Synthetic Fix-incm Strats Synthetic Fxd-incm Strats Synthetic Fx-icm 06-2 Pfd Sypris Solutions Inc Syros Pharmaceuticals Inc Systemax Inc T2 Biosystems Inc Tableau Software Inc Cl-a Tag Oil Ltd Tahoe Res Inc Taiga Building Products Tailored Brands Inc Taitron Components Cl-a Taiwan Fund Inc Takeda Pharmaceutical Co Takung Art Co Ltd Talon Metals Corp Tamarack Valley Engy Ltd Tanager Energy Inc Tandem Diabetes Care-new Tandy Brands Accessories Tandy Leather Factory Inc Tantech Holdings Ltd Tanzanian Royalty Explor Tapimmune Inc Targa Res Ptns-a Perp Pfd

Symbol

Major Market

SPCB SCON SDPI SPN SUP SGC SUPN SPRT FIRE SXP SGY SGRY SBBX SLDA TORZ SGM SZKMF SVCBF SSAAF SWGAF RJA SWDBF RJN SWMAF SWRAF SWZ SSREF SWZCF SYDDF SYZ SY SSF.UN SYNC SYNL SYNA SNCR SNDX SYNH SGYP SXI SYENF SYBX SYD SYNT SES SYN GJR GJT GJV GJP GJO GJH GJS SYPR SYRS SYX TTOO DATA TAO THO TBL TLRD TAIT TWN TKPHF TKAT TLO TVE TAN TNDM TBACQ TLF TANH TNX TPIV NGLS.A

US US US US US US US US T T T US US US US T US US US US US US US US US US US US US T T T US US US US US US US T US US T US US US US US US US US US US US US US US US T T T US US US US US T T T US US US US T US US

Loan Value (No Loan Value below $3.00)

25% 25% 25% 50% 50% 25% 25% 25% 25% 25% 50% 50% 25% 50% 0% 25% 25% 25% 25% 25% 0% 25% 0% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 25% 50% 50% 0% 25% 25% 25% 0% 0% 25% 50% 25% 0% 25% 25% 25% 25% 25% 25% 25% 25% 25% 50% 0% 25% 25% 25% 25% 50% 25% 25% 25% 25% 0% 50% 25% 25% 25% 25% 0% 25% 0% 25%

Security Name Target Capital Inc Taro Pharmaceutical Inds Taseko Mines Ltd Tat Technologies Ltd Tata Motors Ltd-spn Adr Tate & Lyle Plc Ord 25p Taylor Devices Inc Taylor N/amer Eqy Opp T/u Tbg Diagnostics Ltd Tcg Bdc Inc Tcp Capital Corp Tcp Intl Hldgs Ltd Tcw Strategic Incm Fd Inc Tdc A/s Dkk 1.0 Tdh Holdings Inc Tdk Corp Team Inc Tearlab Corp-new Tech Leaders Incm Fnd T/u Technical Comm Corp Technip Techtarget Inc Tecnicas Reunidas Sa Tecnoglass Inc Tecogen Inc Tecsys Inc Teekay Corporation Teekay Lng Partners Lpu Teekay Offshore Prtnr Lpu Teekay Offshore Ptn Lp Pf Teekay Tankers Ltd Tekla Healthcare Investor Tekla Healthcare Opps Fnd Tekla Life Sci Investors Tekla World Healthcare Fd Tekmodo Industries Inc Tel Instrumnt Elec Cp Teladoc Inc Telaria Inc Telecom Argentina Adr Sa Telecom It Spa Adr Telecom Italia Spa Telefonica Brasilsa Adr Telenav Inc Telenet Group Holding Nv Telia Co Ab Teligent Inc Tellurian Inc Tellza Inc Telstra Corp Tembo Gold Corp Temecula Valley Bancorp Temple Hotels Inc Templeton China World Fd Tempur Sealy Intl Inc Ten Peaks Coffee Co Inc Tenaris Sa Tenax Therapeutics Inc Tenet Healthcare Corp-new Tengasco Inc-new Tenn Vly Auth A Pfd Tennessee Vl Auth-parrs-d Terago Inc Teranga Gold Corp Teras Res Inc Terex Corp Terna Spa Terra Energy Corp Terra Firma Capital Corp Terrace Energy Corp Terraco Gold Corp Terravest Capital Inc Terrax Minerals Inc Territorial Bancorp Inc Terumo Corp Tesaro Inc

Symbol

Major Market

TCI TARO TKO TATT TTM TATYF TAYD TOF.UN TDLAF CGBD TCPC TCPIF TSI TDCAF PETZ TTDKF TISI TLB TLF.UN TCCO TNHPF TTGT TNISF TGLS TGEN TCS TK TGP TOO TOO.E TNK HQH THQ HQL THW TEK TIK TDOC TLRA TEO TI TIAOF VIV TNAV TLGHF TLSNF TLGT TELL TEL TTRAF TEM TMCV TPH TACWX TPX TPK TNRSF TENX THC TGC TVE TVC TGO TGZ TRA TEX TERRF TTRHF TII TZR TEN TVK TXR TBNK TRUMF TSRO

T US T US US US US T US US US US US US US US US T T US US US US US US T US US US US US US US US US T US US US US US US US US US US US US T US T US T US US T US US US US US US T T T US US US T T T T T US US US

Loan Value (No Loan Value below $3.00)

25% 50% 50% 25% 50% 0% 25% 25% 0% 50% 50% 25% 25% 25% 0% 25% 50% 25% 25% 25% 25% 25% 25% 25% 25% 25% 50% 50% 50% 50% 50% 25% 25% 25% 25% 25% 25% 50% 25% 0% 50% 0% 0% 25% 25% 25% 0% 25% 25% 25% 25% 0% 25% 0% 50% 25% 0% 0% 50% 25% 25% 25% 25% 25% 25% 50% 0% 25% 25% 25% 25% 25% 25% 25% 25% 50%

Security Name Tesco Plc - Ord Gbp.05 Tesla Exploration Ltd Tesla Inc Tesoro Minerals Corp Tessco Techs Inc Tethys Petroleum Ltd Tetra Technologie Inc-del Tetralogic Pharmaceutical Tetraphase Pharmaceuticls Teucrium Comm Soybean Etp Teucrium Commod Wheat Etp Teucrium Corn Fund Teva Pharmaceutical Adr Textainer Group Hldgs Ltd Tg Therapeutics Inc The Container Store Group The Rubicon Project Inc The Trade Desk Inc Cl-a The Wharf (holdings) Ltd The9 Ltd Adr Theia Resources Ltd Themac Resources Grp Ltd Theralase Tech Inc Therapeuticsmd Inc Therapix Bioscience S/adr Theratechnologies Inc Theravance Biopharma Inc Therma Bright Inc Thermal Energy Intl Inc Thescore Inc-a Sv Thestreet.com Inc Third Point Reinsurance Thl Credit Inc Thl Credit Inc 6.75% Nts Thl Credit Inc 6.75% Nts Thl Credit Senior Loan Fd Thor Explorations Ltd Tht Heat Transfer Techno Thunder Mountain Gold Inc Thunderstruck Res Ltd Thyssen Krupp Ag Tianyin Pharmaceuticals Tibet Pharmaceuticals Inc Ticc Capital Corp Ticc Capital Corp 6.5% Nt Tidewater Inc Tigenix N.v. Spons Ads Tiger Intl Res Inc Tile Shop Holdings Inc Till Capital Ltd Tiller Resources Ltd-new Tilly's Inc Cl-a Tilting Capital Corp Tim Participacoes S A-new Timbercreek Financial Crp Timberland Bancorp Inc Timkensteel Corp Tingyi (cayman Isl)hldgs Tinka Resources Ltd Tinkerine Studios Ltd Tintri Inc Tiptree Inc Cl-a Titan Intl Inc (del) Titan Logix Corp Titan Medical Inc Titan Mining Corporation Titan Pharmaceuticals Inc Titanium Corporation Inc Titanium Transportation Titanstar Properties Inc Tivity Health Inc Tivo Corp Tld3 Entertainment Group Tmac Resources Inc Tmsr Holding Company Ltd Tnr Gold Corp-new

Symbol

Major Market

TSCDF TXLZF TSLA TES TESS TPL TTI TLOG TTPH SOYB WEAT CORN TEVA TGH TGTX TCS RUBI TTD WARFF NCTY THH MAC TLT TXMD TRPX TH TBPH THRM TMG SCR TST TPRE TCRD TCRX TCRZ TSLF THX THTI THM AWE TYEKF TPIY TBET TICC TICCL TDW TIG TGR TTS TIL TIR'H TLYS TLL'H TSU TF TSBK TMST TCYMF TK TTD TNTR TIPT TWI TLA TMD TI TTNP TIC TTR TSP TVTY TIVO TLDE TMR TMSR TNR

US US US T US T US US US US US US US US US US US US US US T T T US US T US T T T US US US US US US T US T T US US US US US US US T US T T US T US T US US US T T US US US T T T US T T T US US US T US T

Loan Value (No Loan Value below $3.00)

25% 25% 50% 25% 25% 0% 50% 0% 25% 50% 50% 50% 50% 50% 25% 25% 25% 50% 25% 0% 25% 25% 25% 25% 0% 25% 25% 0% 25% 25% 25% 50% 50% 0% 0% 25% 25% 0% 25% 0% 25% 0% 0% 50% 0% 50% 25% 25% 50% 25% 0% 50% 25% 0% 25% 25% 50% 0% 25% 25% 25% 25% 50% 25% 25% 25% 0% 25% 25% 25% 50% 50% 0% 25% 0% 25%

Security Name Toa Corp Tocagen Inc Tokio Marine Holdings Inc Tokyo Electric Power Co Tokyo Electron Ltd Tolima Gold Inc Tomagold Corp Tompkins Financial Corp Tonengeneral Sekiyu K.k. Tonix Pharma Hldg Crp-new Top 10 Canadian Finl T/u Top 20 Us Dividend-a T/u Top Image Systems Ltd-ord Top Ships Inc-new Topbuild Corp Tor Minerals Intl Inc Toray Industries Inc Torc Oil & Gas Ltd-new Torchlight Energy Res Inc Torex Gold Resources Inc Torrent Capital Ltd Torstar Corp Cl-b Nv Tortoise Energy Indep Fd Tortoise Energy Infrastru Tortoise Mlp Fund Inc Tortoise Pipeline&egy Fnd Tortoise Pwr&en Infra Etf Toscana Energy Income Crp Toshiba Corp Pv Y50 Total Energy Services Inc Toto - Jpn Touchstone Exploration Tower International Inc Tower Resources Ltd Town Sports Intl Hldgs Townebank (va) Townsquare Media Inc Cl-a Toyota Industries Corp Toyota Tsusho Corp Tpg Pace Energy Hldgs-a Tpg Pace Holdings Corp-a Tpg Re Finance Trust Inc Tpg Specialty Lending Inc Tracon Pharmaceuticals Trade Me Group Ltd Trans Gas Del Sur Adr-b Trans World Entmnt Corp Transact Technologies Inc Transamerica Flex Incm-i Transat A.t. Vtg&var Vtg Transatlantic Pete-new Transcat Inc Transcontl Rlty Invstors Transenterix Inc Transglobe Energy Corp Transition Metals Crp-new Transmontaigne Prtner Lpu Transocean Ltd Transurban Group Transwitch Corp-new Travelcenters Am 8.25% Pf Travelcenters Amer 8% Nts Travelcenters Amer 8% Pfd Travelcenters Amer Llc Travelzoo Traverse Energy Ltd Treasury Metals Inc Trecora Resources Tredegar Corporation Tree Island Steel Ltd Treehouse Foods Inc Tremont Mortgage Trust Trend Micro Inc Trevena Inc Trez Capital Mic Cl-a Trez Capital Sr Mic Cl-a

Symbol

Major Market

TOAFF TOCA TKOMF TKECF TOELF TOM LOT TMP TGRLF TNXP TCT.UN TUT.UN TISA TOPS BLD TORM TRYIF TOG TRCH TXG TORR TS'B NDP TYG NTG TTP TPZ TEI TOSBF TOT TOTDF TXP TOWR TWR CLUB TOWN TSQ TYIDF TYHOF TPGE TPGH TRTX TSLX TCON TRMEF TGS TWMC TACT TFXIX TRZ TNP TRNS TCI TRXC TGA XTM TLP RIG TRAUF TXCCQ TANNI TANNZ TANNL TA TZOO TVL TML TREC TG TWIRF THS TRMT TMICF TRVN TZZ TZS

US US US US US T T US US US T T US US US US US T US T T T US US US US US T US T US T US T US US US US US US US US US US US US US US US T T US US US US T US US US US US US US US US T T US US US US US US US T T

Loan Value (No Loan Value below $3.00)

0% 0% 25% 25% 25% 25% 25% 50% 0% 0% 25% 25% 25% 0% 50% 25% 25% 50% 25% 50% 0% 25% 25% 25% 25% 25% 25% 25% 0% 50% 25% 25% 50% 25% 25% 50% 25% 0% 25% 25% 0% 50% 50% 0% 25% 0% 25% 25% 25% 50% 25% 25% 25% 25% 25% 25% 50% 50% 25% 25% 0% 0% 0% 25% 25% 25% 25% 50% 50% 0% 50% 25% 25% 0% 25% 25%

Security Name Tri Continental Corp Tri Pointe Group Inc Triangle Cap Crp 6.375%nt Triangle Capital Corp Triangle Inds Ltd Triangle Petroleum Corp Tribute Res Inc Trican Well Service Ltd Trico Bancshares Tri-continental$2.50 Pfd Trigen Resources Inc Trillium Therapeutics-new Trilogy Intl Partners Inc Trilogy Metals Inc Trimas Corp Trimetals Mining Cl-b N/v Trimetals Mining Inc Trinet Group Inc Trinity Biotech S/adr Trinity Place Holdings Trio Tech Intl Inc Triplepoint Vent 5.75% Nt Triplepoint Vent Grow Bdc Triple-s Management Crp-b Tri-river Ventures Inc Tristar Gold Inc Trisura Group Ltd Triumph Group Inc Trius Investments Inc Trivago Nv Adr Tronc Inc Tronox Ltd-a Trovagene Inc-new Troy Energy Corp Troy Resources Ltd True Grit Res Ltd-new True North Comm Reit-new True North Gems Inc Truecar Inc Truett-hurst Inc Cl-a Trupanion Inc Trust Ct 01-31 Toys 7.75% Trustco Bank Corp Trustmark Corp Tsakos Energy 8% Ser-b Pf Tsakos Energy 8.75% Pfd Tsakos Energy 8.875%-c Pf Tsakos Energy Navigation Tsakos Energy-e Fx-flt Pf Tso3 Inc Tsodilo Resources Ltd Tsr Inc Ttm Technologies Tucows Inc-new Tuesday Morning Corp Tullow Oil Plc Ord 10p Tuniu Corp Spons Adr Turkcell Ilet Hiz Adr Turquoise Hill Res Ltd Turtle Beach Corporation Tuscany Energy Ltd Tva Group Inc Cl-b Nv Tvi Pacific Inc Twc Enterprises Ltd Twilio Inc Cl-a Twin Butte Energy Twin Disc Inc Twitter Inc Two River Bancorp Twyford Ventures Inc Tyhee Gold Corp Tyme Technologies Inc Typhoon Expl Inc Cl-a U S Antimony Corp U S Global Investors-cl A U.s. Fincls Incm Fd T/u-a

Symbol

Major Market

TY TPH TCCB TCAP TIA'H TPLM TRB TCW TCBK TY'PR TRG'H TRIL TRL TMQ TRS TMI'B TMI TNET TRIB TPHS TRT TPVY TPVG GTS TVR'H TSG TSU TGI TRU TRVG TRNC TROX TROV TEG'H TRYRF TGI'H TNT.UN TGX TRUE THST TRUP XKE TRST TRMK TNP.B TNP.D TNP.C TNP TNP.E TOS TSD TSRI TTMI TC TUES TUWLF TOUR TKC TRQ HEAR TSCAF TVA'B TVI TWC TWLO TBTEF TWIN TWTR TRCB TWY TDC'H TYME TYP UAMY GROW USF.UN

US US US US T US T T US US T T T T US T T US US US US US US US T T T US T US US US US T US T T T US US US US US US US US US US US T T US US T US US US US T US US T T T US US US US US T T US T US US T

Loan Value (No Loan Value below $3.00)

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Security Name U.s. Geothermal Inc-new U308 Corp Ubiquiti Networks Inc Ubs 2x Lev Long Etracs-b Ubs Ag Etracs 2x Hi Div Ubs Ag Etracs 2x Mthy Etn Ubs Ag Etracs 2xm Alerian Ubs Ag Etracs Alerian S-b Ubs Ag E-tracs Bb Commod Ubs Ag Etracs M/p 2x Etf Ubs Ag Etracs Mthly Pay Ubs Ag Etracs Mthy Pay 2x Ubs Ag Etracs Mthy Reset Ubs Ag E-tracs Wells Bdc Ubs Ag Fi Enh Euro 50 Etn Ubs Ag Fi Enh Glb H/y Etn Ubs Ag Fi Enh L/c Gwt Etn Ubs Ag Jersey Brh E-tracs Ubs Etracs 2x Bdc Etn Ubs Etracs Alerian Mlp-b Ubs Etracs Mthy Pay 2xlev Ubs Etracs Mthy Pay2x S-b Ubs Etracs Mthy Reset Etn Ubs Etracs Ubs Bloombrg-b Ubs Etracs Wells Far Sr-b Ubs Mlp Short Exchg Etn Ubs Natural Gas Mlp Etn Ubs Proshs Dly3x Inv Crd Ubs Proshs Dly3x Long Crd Ucb Ord Bef Ucore Rare Metals Inc Uex Corporation Ufp Technologies Inc Uge International Ltd Ultra Petroleum Corp-new Ultragenyx Pharmaceutical Ultralife Corp Ultrapar Particpac-sp Adr Ultrapetrol Bahamas Ltd Unibail-rodamco Se Uni-charm Corp Unico American Corp. Unifi Inc-new Union Bankshares Corp Union Bankshares Inc/vt Union Gas 5.5% Pr-a Union Gas Ltd 6%pfd Ser-b Uni-pixel Inc Unique Fabricating Inc Uniqure N.v. Unirex Corporation Uni-select Inc Unisync Corp Cl-b Unisys Corp-new Unit Corporation United Bancorp Inc Ohio United Bancshares Inc, Oh United Community Banc-new United Community Banks United Community Fincl United Corporations Ltd United Corps 1st Pr $1.50 United Finl Bancorp-new United Fire Group Inc United Guardian Inc United Insurance Hlds Crp United Rentals Inc United Security Banchares United Silver Corp United States 12m Oil Fd United States Gas Lp Etf United States Oil Fund Lp United States Stl Crp United Sts 12mnth Nat Gas United Sts Short Oil Etf United Therapeutics Corp

Symbol

Major Market

HTM UWE UBNT LBDC HDLV MLPZ MLPQ AMUB DJCI SDYL MORL LRET HOML BDCS FIEE FIHD FBGX MLPI BDCL MLPB LMLP MRRL SPLX UCIB BDCZ MLPS MLPG WTID WTIU UCBJF UCU UEX UFPT UGE UPL RARE ULBI UGP ULTRF UNBLF UNCHF UNAM UFI UBSH UNB UNG.C UNG.D UNXLQ UFAB QURE URTX UNS UNI UIS UNT UBCP UBOH UCBA UCBI UCFC UNC UNC.A UBNK UFCS UG UIHC URI UBFO USCZF USL UGA USO X UNL DNO UTHR

US T US US US US US US US US US US US US US US US US US US US US US US US US US US US US T T US T US US US US US US US US US US US T T US US US US T T US US US US US US US T T US US US US US US US US US US US US US US

Loan Value (No Loan Value below $3.00)

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Security Name United Utilities Grp 5p Unit-nebula Acquisition Units-andina Acq Corp Ii Units-atlantic Acq Corp Units-avista Healthcare Units-barington/hilco Acq Units-big Rock Prtns Acq Units-bison Cap Acq Corp Units-black Ridge Acq Crp Units-canaccord Gen-a R/v Units-cannabis Strt-a R/v Units-capitol Invt Crp Iv Units-cm Seven Star Acq Units-constellation Alpha Units-draper Oakwood Tech Units-easterly Acquis Crp Units-electrum Spl Acq Cp Units-federal Street Acq Units-fintech Acq Crp Ii Units-forum Merger Corp Units-gigcapital Inc Units-gordon Pointe Acqsn Units-gores Hldgs Ii Inc Units-gty Tech Hldgs Inc Units-haymaker Acquis Crp Units-hennessy Cap Ac Iii Units-hunter Maritime Acq Units-industrea Acq Corp Units-jensyn Acq Corp Units-kayne Anderson Acq Units-kbl Merger Corp Units-landcadia Hldgs Inc Units-legacy Acq Corp Units-leisure Acq Corp Units-leo Holdings Corp Units-m I Acquisitions Units-m Iii Acquisition Units-matlin & Prtns Acq Units-modern Media Acq Cp Units-mosaic Acquis Corp Units-mtech Acquisition Units-mudrick Capital Acq Units-one Madison Corp Units-origo Acq Corp Units-osprey Energy Acq Units-pensare Acq Corp Units-platinum Eagle Acq Units-regalwood Glb Engy Units-rosehill Res Inc Units-saban Capital Acq Units-sentinel Energy Svc Units-silver Run Acq Ii Units-social Cap Hedosoph Units-stellar Acq Iii Inc Units-tpg Pace Engy Hldgs Units-tpg Pace Hldgs Corp Units-vantage Energy Acq Unity Bancorp Inc Unity Energy Corp Universal Display Universal Electrs Inc Universal Insurance Hldgs Universal Sec Instruments Universal Stainless&alloy Universal Technical Inst Univest Corp Of Pa Untd Corps 1.50 2nd Pr-59 Untd Corps 1.50 2nd Pr-63 Upper Canyon Mnls Crp-new Uqm Technologies Inc Uracan Resources Ltd-new Uranium Energy Corp Uranium Participation Crp Uravan Minerals Inc Urban One Inc Cl-a Urban One Inc Cl-d

Symbol

Major Market

UUGWF NEBUU ANDAU ATACU AHPAU BHACU BRPAU BCACU BRACU CGAC.UN CSAUF CIC'U CMSSU CNACU DOTAU EACQU ELECU FSACU FNTEU FMCIU GIG'U GPAQU GSHTU GTYHU HYACU HCAC'U HUNTU INDUU JSYNU KAACU KBLMU LCAHU LGC'U LACQU LHC'U MACQU MIIIU MPACU MMDMU MOSC'U MTECU MUDSU OMAD'U OACQU OSPRU WRLSU EAGLU RWGE'U ROSEU SCACU STNLU SRUNU IPOA'U STLRU TPGE'U TPGH'U VEACU UNTY UTY OLED UEIC UVE UUU USAP UTI UVSP UNC.B UNC.C UCM'H UQM URC UEC U UVN UONE UONEK

US US US US US US US US US T US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US T US US US US US US US T T T US T US T T US US

Loan Value (No Loan Value below $3.00)

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Security Name Urban Select Captal Corp Urbana Corp Urbana Corp-a Nv Urbanfund Corp Ur-energy Inc Urogen Pharma Ltd Urthecast Corp Us Auto Parts Networks Us Banks Income&grw-t T/u Us Brent Oil Fund Etf Us Concrete Inc Us Energy Corp-new Us Global Go G&p Mtl Etf Us Gold Corp Us Natural Gas Fd Lpu-new Us Oil Sands Inc Us Silica Holdings Inc Usa Compression Ptnrs Lpu Usa Technologies Inc Usa Truck Inc Uscf United States 3x Oil Uscf United States 3x Oil Usd Partners Lp Utstarcom Hldgs Corp-new Vaalco Energy Inc Valdor Technology Intl Vale S.a. Adr Valeant Pharma Intl-new Valeritas Hldgs Inc Valeura Energy Inc Vallourec Eur 2 Value Line Inc Van Eck Merk Gold Shares Vanadium One Energy Corp Vanadiumcorp Resource Inc Vanc Pharmaceuticals Inc Vanda Pharmaceuticals Inc Vaneck Vec Africa Idx Etf Vaneck Vec Brazil S/c Etf Vaneck Vec E/m H/y Bd Etf Vaneck Vec Egypt Idx Etf Vaneck Vec Fall Hy Bd Etf Vaneck Vec India S/c Etf Vaneck Vec Intl Hy Bd Etf Vaneck Vec Jpm Em Loc Etf Vaneck Vec Russia Sml Etf Vaneck Vec Spin-off Etf Vaneck Vec Vietnam Etf Vaneck Vectors Russia Etf Vanguard Ftse E/m All Cap Vanoil Energy Ltd Vanstar Mng Res Inc Vantage Energy Acq Corp-a Vantex Resources Ltd-new Vasco Data Sec Intl Inc Vascular Biogenics Ltd Vaxart Inc Vbi Vaccines Inc-new Vecima Networks Inc Vector Ltd Vedanta Ltd Spon Adr Vedanta Resources Plc Veeco Instrs Inc Del Velan Inc Sv Velocity 3x Inv Nat Gas Velocity 3x Long Crd Etn Velocitysh 1x L/vstox Etn Velocitysh 3x Inv Crd Etn Velocitysh 3x Inv Crd Etn Velocityshr Vix Short Etn Velocityshr Vix Tail Etn Velocityshr Vix Var Etn Velocityshs 1x Daily Etn Velocityshs 3x Long Crude Velocityshs 3x Long Silvr Velocityshs Dly 2x Vix Mt

Symbol

Major Market

CH URB URB'A UFC URE URGN UR PRTS PUB.UN BNO USCR USEG GOGO USAU UNG UERLF SLCA USAC USAT USAK USOD USOU USDP UTSI EGY VTI VALE VRX VLRX VLE VLOUF VALU OUNZ VONE VRB VANC VNDA AFK BRF HYEM EGPT ANGL SCIF IHY EMLC RSXJ SPUN VNM RSX VEE VEL'H VSR VEAC VAX VDSI VBLT VXRT VBV VCM VETTF VEDL VDNRF VECO VLN DGAZ UWT EVIX DWT DWTIF XIVH BSWN LSVX EXIV UWTIF USLV TVIZ

T T T T T US T US T US US US T US US US US US US US US US US US US T US T US T US US US T T T US US US US US US US US US US US US US T T T US T US US US T T US US US US T US US US US US US US US US US US US

Loan Value (No Loan Value below $3.00)

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Security Name Velocityshs Dly2x Vix S/t Velocityshs Vix S/t Etn Venator Materials Plc Vendetta Mining Corp Ventas Realty Lpu 5.45%pf Veolia Environment Vera Bradley Inc Veracyte Inc Verastem Inc Verde Agritech Plc Vericel Corp Verifone Systems Inc Verisante Technology Inc Veritiv Corp Verizon Comm Inc 5.9% Pfd Vermillion Inc Verona Pharma Plc Spn/adr Versabank N/cm 5yr S1 Pfd Versabank N/cm Nvcc S3 Pf Versabank-new Versapay Corporation Versartis Inc Versatile Systems Inc Verso Corp Vertex Energy Inc Vertex Pharmaceutical Inc Veru Inc Viavi Solutions Inc Vical Inc-new Vici Properties Inc Vicon Inds Inc Vicor Corp Victoria Gold Corp Victory Cap Hldgs Inc-a Victory Capital Corp Video Display Corp Videocon D2h Ltd Adr Viemed Healthcare Inc Viewtran Group Inc Vigil Health Sols Inc-new Viking Therapeutics Inc Village Bank And Trst-new Village Farms Intl Inc Village Super Mkt Inc-aVina Concha Y Toro Sp/adr Vince Holding Corp-new Vinci S.a. Eur 10 Viper Energy Partners Lp Vipshop Holdings Ltd Adr Viq Solutions Inc Virco Mfg Virginia Energy Res Inc Viridis Energy Inc-new Virnetx Holding Corp Virtus Enh Short U.s. Etf Virtus Glb Div & Incm Fnd Virtus Glbl Multi-sector Virtus Newfleet Dyn Etf Virtus Total Return Fund Viscofan Sa Viscount Mining Corp Vista Gold Corp-reorg Shr Vista Outdoor Inc Vistagen Therapeutics Inc Vital Therapies Inc Vitality Products Inc Vitamin Shoppe Inc Vitreous Glass Inc Vivendi Sa Eur 5.5 Viveve Medical Inc Vivint Solar Inc Vivione Biosciences Inc Vivopower Intl Plc Vivus Inc Voc Energy Trust Lpu Vocera Communications Inc

Symbol

Major Market

TVIX VIIX VNTR VTT VTRB VEOEF VRA VCYT VSTM NPK VCEL PAY VRS VRTV VZA VRML VRNA VB.A VB.B VB VPY VSAR VV'H VRS VTNR VRTX VERU VIAV VICL VICI VII VICR VIT VCTR VIC'P VIDE VDTH VMD VIEWF VGL VKTX VBFC VFF VLGEA VCO VNCE VCISF VNOM VIPS VQS VIRC VUI VRD'H VHC VESH ZTR VGI BLHY ZF VSCFF VML VGZ VSTO VTGN VTL VPI VSI VCI VIVEF VIVE VSLR VBI'H VVPR VVUS VOC VCRA

US US US T US US US US US T US US T US US US US T T T T US T US US US US US US US US US T US T US US T US T US US T US US US US US US T US T T US US US US US US US T T US US US T US T US US US T US US US US

Loan Value (No Loan Value below $3.00)

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Security Name Vogogo Inc Volcanic Gold Mines Inc Volitionrx Ltd Volkswagen Ag -pfdVolt Information Sciences Volvo Ab Fria Sh-b Voxeljet Ag Adr Voxx Intl Corp-a Voya Asia Pac Hi Div Eq Voya E/m Hi Incm Div Eq Voya Glb Adv & Prem Oppty Voya Glb Eq Div&prem Opp Voya Infra,indus & Mat Fd Voya Intl Hi Div Eq Incm Voya Natural Res Eq Incm Voya Prime Rate Trust Voyager Therapeutics Inc Vtv Therapeutics Inc Cl-a Vuzix Corp Vvc Exploration Corp W & T Offshore Inc Waddell & Reed Finl-a Wajax Corp Waldron Energy Corp Walker & Dunlop Inc Wall Financial Corp Wallbridge Mining Co Walter Energy Inc Want Want China Hldgs Ltd Warrior Met Coal Inc Washington Tr Bancorp Inc Waterstone Financial Inc Watusi Capital Corp Wave Life Sciences Ltd Wavefront Technology Sols Waverley Pharma Inc Wayfair Inc Cl-a Wayside Technology Group Wcf Bancorp Inc Weatherford Intl Plc-new Web.com Group Inc Weedmd Inc Weibo Corp Sponsored Adr Weight Watchers Intl Inc Weir Group Ltd-ord 12.5p Wellesley Bancorp Inc Wells Fargo Glb Div Opp Wells Fargo Incm Opp Fund Wells Fargo Multi-sec Icm Wells Fargo Real Est-a Pf Wells Fargo Util&high Icm Wesbanco Inc Wesdome Gold Mines Wesfarmers Ltd West African Res Ltd West Bancorporation Inc West High Yield (why) Res West Japan Railway Co West Kirkland Mining Inc Westaim Corp (the) Westbond Enterprises Corp Westell Techs Inc-a New Western All Banc 6.25%deb Western Asset Glb High Fd Western Asset H/y Def Opp Western Asset Hi Inc Oppt Western Asset Income Fd Western Asset Mtg Cap Crp Western Asset Premier Bnd Western Asst Hi Inc Ii Fd Western Asst/cla Infl Sec Western Asst/clay Infl Op Western Copper&gold Corp Western Energy Svcs Western Forest Products Western Gas Equity Lpu

Symbol

Major Market

VGO VG VNRX VLKPF VISI VOLVF VJET VOXX IAE IHD IGA IGD IDE IID IRR PPR VYGR VTVT VUZI VVC WTI WDR WJX TTYGF WD WFC WM WLTGQ WWNTF HCC WASH WSBF WAS'H WVE WEE WAVE W WSTG WCFB WFT WEB WMD WB WTW WEIGF WEBK EOD EAD ERC WFE.A ERH WSBC WDO WFAFF WAF WTBA WHY WJRYF WKM WED WBE WSTL WALA EHI HYI HIO PAI WMC WEA HIX WIA WIW WRN WRG WEF WGP

T T US US US US US US US US US US US US US US US US US T US US T US US T T US US US US US T US T T US US US US US T US US US US US US US US US US T US T US T US T T T US US US US US US US US US US US T T T US

Loan Value (No Loan Value below $3.00)

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Security Name Western New England Banc Western Pacific Res Corp Western Pacific Tr Co Western Resources Corp Western Union Company Westernone Inc Westhaven Ventures Inc Westlake Chemical Prt Lpu Westmoreland Coal Co Westmoreland Res Ptnr Lpu Westport Fuel Systems Inc Westshore Terminals Invst Westwater Resources Inc Westwood Holdings Group Wheeler Real Est Invt-new Wheeler Reit 8.75%-d Pfd Wheeler Reit Inc-b 9% Pfd Whistler Gold Expl Inc Whitbread Plc Gbp 0.76797 Whitehorse Fin 6.5% Pfd Whitehorse Finance Inc Whitemud Resources Inc Whiting Petroleum Crp-new Whiting Usa Trust Ii T/u Wi2wi Corporation Wideopenwest Inc Widepoint Corp Wildhorse Res Dev Corp Wilhelmina Intl Inc-new Willamette Valley Sr-a Pf Willamette Valley Vineyrd Willbros Group Inc Del Willdan Group Inc William Lyon Homes Cl-a Williams Companies Inc Williams Partners Lpu Willis Lease Finance Corp Willscot Corporation Wilmington Cap Mgmt Cl B Wilmington Cap Mgt-a Nv Wilton Resources Inc Windstream Hldgs Inc-new Wingstop Inc Winnebago Industries Inc Wins Finance Hldgs Inc Wipro Ltd Adr Wireless Telecom Group Wisdom Int Rte Hdg H/y Bd Wisdom Neg Dur H/y Bd Fnd Wisdomtree Bloomberg U$ Wisdomtree Cboe S&p 500 Wisdomtree Emerg Curr Stg Wisdomtree Investments Wisdomtree Mgd Fut Strat Wisdomtree Tr India Earn Wix.com Ltd Wm. Morrison Sprmkt-gbp.1 Wmih Corp Wns Hldgs Ltd Sp/adr Woden Venture Cap Corp Wolfden Resources Corp Wolters Kluwer Nv Woodside Petroleum Ord Woolworths Group Ltd Npv Woolworths Hldgs Ltd-gdr Workday Inc Cl-a Workhorse Group Inc World Accept Corp World Fuel Services Inc World Organics Inc World Wrestling Entertnmt Worley Parsons Ltd Wow Unlimited Media Vtg Wpx Energy Inc Wright Medical Group Nv Wsfs Financial Corp

Symbol

Major Market

WNEB WRP WP WRX WU WEQ WHN WLKP WLB WMLP WPRT WTE WWR WHG WHLR WHLRD WHLRP WGX'H WTBCF WHFBL WHF WMK'H WLL WHZT YTY WOW WYY WRD WHLM WVVIP WVVI WG WLDN WLH WMB WPZ WLFC WSC WCM'B WCM'A WIL WIN WING WGO WINS WIT WTT HYZD HYND USDU PUTW CEW WETF WTMF EPI WIX MRWSF WMIH WNS WOD'H WLF WOLTF WOPEF WOLWF WLWHY WDAY WKHS WRLD INT WOI'H WWE WYGPF WOW'A WPX WMGI WSFS

US T T T US T T US US US T T US US US US US T US US US T US US T US US US US US US US US US US US US US T T T US US US US US US US US US US US US US US US US US US T T US US US US US US US US T US US T US US US

Loan Value (No Loan Value below $3.00)

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Security Name Wsi Inds Inc Wt Emrg Mkt Locl Debt Etf Wts-abeona Therapt 24dc19 Wts-ability Inc 19dec18 Wts-acer Therapeut 13ap18 Wts-agrofresh Soln 31mr19 Wts-alignvest Acq 25may25 Wts-alio Gold Inc 30may18 Wts-alta Mesa Res 27apr22 Wts-american Intl 19jan21 Wts-andina Acq Cp Ii4dc20 Wts-ascendant Res 7mar22 Wts-aurora Cannabis 2nv20 Wts-avino Silv&gld 28nv19 Wts-avista Hlthcr 2dec21 Wts-benitec Biophar14ag20 Wts-biondvax Pharma 1my19 Wts-bison Cap Acq 18jul22 Wts-black Ridge Acq25oc22 Wts-blink Charging 8feb23 Wts-borqs Techs Inc27oc20 Wts-capitol Invt Iv 1ja25 Wts-cellect Biotec 29jl21 Wts-cellectar Bio-a 8ap21 Wts-cellectar Biosci6fb19 Wts-cerecor Inc-a 31oct18 Wts-china Lending 6jul21 Wts-citius Pharma 2aug22 Wts-constellation 9aug22 Wts-cytori Therap 15dec18 Wts-dariohealth Crp 8mr21 Wts-draper Oakwood 30sp24 Wts-easterly Acquis 4ag20 Wts-eastside Dist 21jul22 Wts-electrum Spl Ac11jn21 Wts-estre Ambiental25sp20 Wts-exela Techs Inc 1ja23 Wts-eyegate Pharma 31jl20 Wts-federal Street 24jl22 Wts-fgl Holdings Tba Wts-fintech Acq Ii 3mar22 Wts-gigcapital Inc 6mar25 Wts-gty Tech Hldgs 14nv21 Wts-gulfmark Offsh 14nv24 Wts-haymaker Acq Cp16nv22 Wts-hunter Mar Acq 11oc21 Wts-i-am Cap Acq Co 9oc22 Wts-inspiremd Inc-b14mr22 Wts-jensyn Acq Crp 26ap21 Wts-kayne Anderson 30jn22 Wts-kbl Merger Cp Iv1jl23 Wts-kitov Pharma 20nov20 Wts-national Hldgs 18ja22 Wts-sensus Health 25jul19 Wts-soligenix Inc 14nov21 Wvs Finl Corp Xai Octagon F/r & Alt Icm Xbiotech Inc Xcel Brands Inc Xcite Energy Ltd Xebec Adsorption Inc Xencor Inc Xenetic Biosciences Inc Xenon Pharmaceuticals Inc Xerium Techs Inc-new Xg Technology Inc-new Xinyuan Real Est Co S/adr Xmet Inc Xo Group Inc Xoma Corporation-new Xpel Technologies Corp Xperi Corp Xplore Technologies Corp Xpresspa Group Inc Xtant Medical Hldgs-new Xtera Communications Inc

Symbol

Major Market

WSCI ELD ABEOW ABIWF ACERW AGFSW AQY' ALO' AMRWW AIG' ANDAW ASND' ACB' ASM' AHPAW BNTCW BVXVW BCACW BRACW BLNKW BRQSW CIC' APOPW CLRBZ CLRBW CERCW CLDCF CTXRW CNACW CYTXW DRIOW DOTAW EACQW EASTW ELECW ESTRW XELAW EYEGW FSACW FG' FNTEW GIG' GTYHW GLF' HYACW HUNTW IAMXW NSPR''B JSYNW KAACW KBLMW KTOVW NHLDW SRTSW SNGXW WVFC XFLT XBIT XELB XCTGF XBC XNCR XBIO XENE XRM XGTI XIN XME'H XOXO XOMA DAP'U XPER XPLR XSPA XTNT XCOMQ

US US US US US US T T US US US T T T US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US US T US US US US US US T US US T US US US US US

Loan Value (No Loan Value below $3.00)

25% 50% 0% 25% 0% 0% 0% 0% 50% 0% 0% 25% 0% 25% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 25% 0% 0% 0% 0% 0% 0% 0% 25% 50% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 25% 0% 25% 25% 0% 25% 0% 25% 25% 0% 0% 25% 25% 0% 25% 50% 25% 25% 25% 25% 25% 25% 25%

Security Name Xtierra Inc Xtl Biopharma Spn Adr-new Xtra-gold Res Corp-new Xtreme Drilling Corp Xunlei Ltd Cl-a Spon Adr Yahoo Japan Corp Yamada Denki Co (jpy) Yamaha Corp #7951 Yamana Gold Inc Yamato Holdings Co Ltd Yandex Nv Cl-a Yangaroo Inc Yangarra Res Ltd-new Yaskawa Electric Corp Yatra Online Inc Yellow Pages Ltd Yelp Inc Yext Inc Yield10 Bioscience-new Yingli Green En Hldg Adr Yintech Invt Hldgs Sp Adr Yirendai Ltd Spons Adr Yogaworks Inc Yokogawa Electric Corp Yongsheng Capital Inc Yorbeau Res Inc Cl-a York Water Co Yorkton Ventures Inc Youngevity Intl Inc Ypf Soc Anonima Sp/adr-d Yrc Worldwide Inc Yuhe Intl Inc Yulong Eco-materials-new Yum China Hldgs Inc Yuma Energy Inc-new Yuntone Capital Corp-new Yy Inc Adr Zafgen Inc Zagg Inc Zai Lab Limited Adr Zais Group Hldgs Inc Cl-a Zargon Oil & Gas Ltd Zaza Energy Corp-new Zcl Composites Inc Zealand Pharma A/s Sp/adr Zecotek Photonics Inc Zedge Inc Cl-b Zena Mining Corp Zendesk Inc Zenyatta Ventures Ltd Zeox Corporation Zephyr Minerals Ltd Zidane Cap Corp Zillow Group Inc Cl-a Zillow Group Inc Cl-c Zimtu Capital Corp Zinco Mining Corp Zion Oil & Gas Inc Zions Bancorp 6.95% Pfd Ziopharm Oncology Inc Zix Corp Zk Intl Group Co Ltd Zoe's Kitchen Inc Zoetis Inc-a Zogenix Inc-new Zomedica Pharmaceuticals Zoom Technologies Inc Zoomermedia Limited Zoommed Inc Zosano Pharma Corp-new Zumiez Inc Zurich Insurance Group Ag Zymeworks Inc Zynerba Pharmaceuticals Zynga Inc Cl-a

Symbol

Major Market

XAG XTLB XTG XDC XNET YAHOF YMDAF YAMCF YRI YATRF YNDX YOO YGR YASKF YTRA Y YELP YEXT YTEN YGE YIN YRD YOGA YOKEF YSC'H YRB YORW YVI YGYI YPF YRCW YUII YECO YUMC YUMA YTC'H YY ZFGN ZAGG ZLAB ZAIS ZAR ZAZA ZCL ZEAL ZMS ZDGE ZCC'H ZEN ZEN ZOXCF ZFR ZZE'H ZG Z ZC ZIM'H ZN ZBK ZIOP ZIXI ZKIN ZOES ZTS ZGNX ZOM ZOOM ZUM ZMD ZSAN ZUMZ ZFSVF ZYME ZYNE ZNGA

T US T T US US US US T US US T T US US T US US US US US US US US T T US T US US US US US US US T US US US US US T US T US T US T US T US T T US US T T US US US US US US US US US US T T US US US T US US

Loan Value (No Loan Value below $3.00)

25% 0% 25% 25% 25% 25% 0% 25% 50% 25% 25% 25% 50% 25% 25% 25% 50% 50% 25% 0% 25% 50% 25% 25% 0% 25% 50% 0% 25% 0% 50% 0% 0% 70% 25% 0% 50% 0% 50% 25% 25% 25% 25% 50% 25% 25% 25% 25% 50% 25% 0% 25% 0% 50% 50% 25% 25% 25% 0% 25% 50% 0% 50% 50% 25% 0% 0% 25% 25% 0% 50% 25% 25% 0% 25%

Security Name

Symbol

Major Market

Loan Value (No Loan Value below $3.00)

The information contained herein is current as of March 2, 2018 Using borrowed money to finance the purchase of securities involves greater risk than a purchase using cash resources only. If you borrow money to purchase securities, your responsibility to repay the loan and pay interest as required by its terms remains the same even if the value of the securities purchased declines. TD Waterhouse Canada Inc. is a subsidiary of The Toronto-Dominion Bank. TD Waterhouse Canada Inc. – Member of the Canadian Investor Protection Fund. ® The TD logo and other trade-marks are the property of The Toronto-Dominion Bank.

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