ACCT/ACCF-Customer Account Information-11/09

PERSHING STANDARD FILE LAYOUTSFILE LAYOUT FOR:CUSTOMER ACCOUNT INFORMATIONGENERAL INFORMATIONFile Frequency:Record Size:Form Name:Daily750 charactersACCT (Update File)/ACCF (Refresh File. The refresh file is NOTavailable on a daily basis.)DESCRIPTION:All the records in the Customer Account Information file (ACCT and ACCF) are createdfrom the Name and Address database, which is updated on a nightly basis. ACCF is a full orrefresh file which includes all of your accounts, while ACCT is an update file which onlyshows accounts updated that day. Note: ACCF is only available weekly, monthly, or ondemand; not daily. You can customize the data you receive in this file by selecting any or allof the sections defined below.The Main Account Information (records A to F and W) is the only segment of the file that isalways sent and the minimum that can be transmitted. These records focus primarily oninformation specific to the account, as opposed to specific account holders or participantsassociated with the account. Records A and B include generic brokerage information,instructions, investment objectives, signatory information, USA PATRIOT Act information,and Institutional ALERT Direct information. Records A and B will always be sent for eachaccount.Records C to F contain the various addresses associated with the account and will be sentbased on the number of account addresses. Record W contains additional USA PATRIOTAct information, and account-level telephone numbers.The Account Holder/Participant Information (records G, H, and X), contain address, phone,employment, basic Books and Records and USA PATRIOT Act information. There can beup to 15 groups of records per account. The G, H, and X records will be sent for each accountholder/participant, who is identified by the SEQUENCE NUMBER field in position 42–44,the ACCOUNT HOLDER TYPE field in position 45-47, and the ACCOUNTHOLDER/PARTICIPANT (1) ROLE field in position 48-51.The Custom Data Fields and PONA Supplemental information are found in Records I to J.Record I includes custom fields 1–10. Record J includes custom fields 11–15 which will besent only if there are 11 or more custom fields, or if PONA Supplemental data exists. If thereare PONA Supplemental records, but no custom fields, both Records I and J will be sent(Record I will be empty).The Cash Management Account Information resides in records M to O. If this section isselected, all three records (M, N and O) will be sent if any Cash Management data exists forACCT/ACCFPage 1 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSthe account. Due to an Automated Cash Management (ACAM) system upgrade, startingFebruary 23,2009, these records will no longer be populated on a same-day basis. They willcontinue to be populated, but a day later, similar to other fields fed by our ACAM systemtoday. You can still receive this information on a same-day basis in the new Asset MovementStanding Instructions (AMSI) file.The COD Account Settlement Information is found in record P.The Retirement Account information is contained in Records R to S. Beneficiary Informationis contained in Records T to V. Record R will always be sent for retirement accounts and ifretirement records are requested. Record S will be sent only if the participant has three ormore phone numbers. There can be up to 20 beneficiaries (10 primary and 10 contingent).Records T and U will be repeated per beneficiary. Record U is sent only if there are morethan three phone numbers for the beneficiary and/or there is at least one beneficiary trustee.Record V is present only if a beneficiary is coded as a trustee and there are two or morebeneficiary trustees. A beneficiary can have a maximum of six beneficiary trustees.Note: If data is not available or not applicable, fields will be populated with spaces ( ). All“TRANSACTION TYPE CODE” fields and their variations will be spaces on ACCF.FILE LAYOUT SPECIFICATIONSHEADER RECORDPOSITION PICTURE TYPE DESCRIPTION001-018 X(18) AN Literally “BOF PERSHING ” (beginning ofPershing file)019-036 X(18) AN Literally “CUSTOMER ACCT INFO”037-046 X(10) AN Literally “ DATA OF ”047-056 X(10) AN DATE OF DATA = “MM/DD/CCYY”057-067 X(11) AN Literally “ TO REMOTE ”068-071 X(04) AN REMOTE ID = “XXXX”072-085 X(14) AN Literally “ BEGINS HERE ”086-095 X(10) AN RUN DATE = “MM/DD/CCYY”096-096 X(01) AN Not Used097-104 X(08) AN RUN TIME = “HH:MM:SS”105-118 X(14) AN Not Used119-127 X(09) AN Indicates if the file is REFRESHED/UPDATED/NOTAPPLICABLE – literally “REFRESHED”,“UPDATED ”, or “ ”128-749 X(622) AN Not Used750-750 X(01) AN Literally “A”; indicates the end of the header recordACCT/ACCFPage 2 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSDETAIL RECORD A – MAIN ACCOUNT INFORMATIONPOSITION PICTURE TYPE DESCRIPTION001-002 X(02) AN TRANSACTION CODE = “CI”003-003 X(01) AN RECORD INDICATOR VALUE = “A”004-011 9(08) N RECORD ID SEQUENCE NUMBER; begins with“00000001”012-020 X(09) AN ACCOUNT NUMBER INCLUDING OFFICE(3); BASEACCOUNT(5); CHECK DIGIT (1)021-023 X(03) AN INTRODUCING BROKER DEALER NUMBER024-024 X(01) AN Not Used025-027 X(03) AN INVESTMENT PROFESSIONAL NUMBER028-028 X(01) AN Not Used029-038 X(10) AN ACCOUNT SHORT NAME039-040 X(02) AN Not Used041-041 X(01) AN TRANSACTION TYPE; acceptable values include:“X” or “ ”= Unchanged account“A” = Add new account“C” = Change to existing record042-042 X(01) AN AUTO-TITLED or USER-TITLED ACCOUNT; acceptablevalues include:“F” = Auto-Titled“S” = User-Titled (opened in PONA or through conversion)043-043 X(01) AN ACCOUNT TYPE CODE; acceptable values include:“C” = DVP/RVP“R” = Retail“T” = Retirement“3” = Third Party as Custodian“4” = 401(k) Self-Directed044-047 X(04) AN REGISTRATION TYPE; for Account Services only; seeAppendix Q, “ACCT Codes and Values”048-048 X(01) AN NUMBERED ACCOUNT INDICATOR; acceptable valuesinclude:“Y” = Numbered Account“N” = Not a Numbered Account049-049 X(01) AN NUMBER OF ACCOUNT TITLE LINES INREGISTRATION LINES (values 1, 2, 3, 4)050-081 X(32) AN ACCOUNT REGISTRATION LINE 1082-113 X(32) AN ACCOUNT REGISTRATION LINE 2114-145 X(32) AN ACCOUNT REGISTRATION LINE 3146-177 X(32) AN ACCOUNT REGISTRATION LINE 4178-209 X(32) AN ACCOUNT REGISTRATION LINE 5210-241 X(32) AN ACCOUNT REGISTRATION LINE 6ACCT/ACCFPage 3 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTIONJNTN, TODJ, CUST AND TRST INFORMATION;If the Registration Type field in Record A, Positions 44-47 is not one of these values, then the fields in Record A,Positions 242-262 will not be populated.JNTN and TODJ ACCOUNTS242-242 X(01) AN US RESIDENT INDICATOR; acceptable values include:“N” = No (not a US Resident)“Y” = Yes (is a US Resident)243-243 X(01) AN MARRIED INDICATOR; acceptable values include:“N” = No (is not married)“Y” = Yes (is married)“ ” = Not applicable244-245 X(02) AN TENANCY STATE; see Appendix Q, “ACCT Codes andValues”246-249 X(04) AN JOINT TENANCY CLAUSE; acceptable values include:“CMPP” = Community Property“CMRS” = Community Property with Right of Survivorship“JTTN” = Joint Tenants with Right of Survivorship“TNCM” = Tenants in Common“TNET” = Tenants by Entirety“USFT” = USUFRUCT“ ” = Not applicable250-257 9(08) N AGREEMENT EXECUTION DATE = “CCYYMMDD”258-259 X(02) AN NUMBER OF TENANTS260-262 X(03) AN Not UsedCUSTODIAN INFORMATION (CUST)242-243 X(02) AN STATE GIFT GIVEN; see Appendix Q, “ACCT Codes andValues”244-251 9(08) N DATE GIFT GIVEN = “CCYYMMDD”252-253 9(02) N AGE TO TERMINATE254-261 9(08) N MINOR’S BIRTHDATE = “CCYYMMDD”262-262 X(01) AN MANNER OF GIFT; acceptable values include:“C” = Created by Gift“E” = Exercise by Appointment“R” = Trust“T” = Transfer by Fiduciary Order“W” = Will“ ” = Not applicableTRUST (TRST)242-242 X(01) AN TYPE OF TRUST; acceptable values include:“F” = Family Trust“I” = Irrevocable“L” = Living(cont.)ACCT/ACCFPage 4 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION“R” = Revokable“T” = Testamentary“ ” = Not applicable243-250 9(08) N DATE TRUST ESTABLISHED = “CCYYMMDD”251-258 9(08) N AMENDED DATE = “CCYYMMDD”259-259 X(01) AN TRUSTEE INDEPENDENT ACTION; values include:“N” = Cannot act independently“Y” = Can act independently260-262 X(03) AN Not UsedACCOUNT OPEN/UPDATE/CLOSE DATES263-270 9(08) N DATE ACCOUNT OPENED = “CCYYMMDD”271-278 9(08) N DATE ACCOUNT INFORMATION UPDATED =“CCYYMMDD”279-279 X(01) AN ACCOUNT STATUS INDICATOR; values include:“O” = Open“P” = Pending Close“C” = Closed280-287 9(08) N PENDING CLOSED DATE = “CCYYMMDD”288-295 9(08) N DATE ACCOUNT CLOSED = “CCYYMMDD”296-303 9(08) N Not Used304-311 9(08) N ACCOUNT RE-ACTIVATED DATE = “CCYYMMDD”312-319 9(08) N DATE ACCOUNT RE-OPENED = “CCYYMMDD”INSTRUCTIONS320-320 X(01) AN PROCEEDS; acceptable values include:“1” = Remit (send)“2” = Hold“3” = COD (hold)321-321 X(01) AN TRANSFER INSTRUCTIONS; acceptable values include:“1” = Register with Issuer“2” = Transfer to client and hold in safekeeping“3” = COD Street Name“4” = Hold in Street Name322-322 X(01) AN INCOME INSTRUCTIONS; acceptable values include:“2” = Pay Monthly (send)“3” = Credit Account (hold)“4” = COD323-324 X(02) AN NUMBER OF CONFIRMS FOR THIS ACCOUNT325-326 X(02) AN NUMBER OF STATEMENTS FOR THIS ACCOUNTINVESTMENT OBJECTIVE DETAILS327-327 X(01) AN INVESTMENT OBJECTIVE TRANSACTION CODE,acceptable values include:“X” or “ ” = Unchanged record (cont.)ACCT/ACCFPage 5 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION“A” = Added record“C” = Changed record328-353 X(26) AN COMMENTS; (free-form text)354-368 X(15) AN EMPLOYER SHORTNAME (previously “EMPLOYER”)369-377 X(09) AN EMPLOYER’S CUSIP®378-386 X(09) AN EMPLOYER’S SYMBOL387-387 X(01) AN MARGIN PRIVILEGES REVOKED; values include:“N” = No“Y” = Yes“ ” = Not applicable388-395 9(08) N STATEMENT REVIEW DATE = “CCYYMMDD”396-396 X(01) AN MARGIN PAPERS ON FILE; acceptable values include:“Y” = Margin Papers on File“N” = No Margin Papers on File397-397 X(01) AN OPTION PAPERS ON FILE; acceptable values include:“Y” = Option Papers on File“N” = No Option Papers on File398-399 X(02) AN Not UsedDISCRETION400-400 X(01) AN INVESTMENT PROFESSIONAL DISCRETIONGRANTED; acceptable values include:“N” = No“Y” = Yes401-401 X(01) AN INVESTMENT ADVISOR DISCRETION GRANTED; valuesinclude:“N” = No“Y” = Yes402-402 X(01) AN THIRD PARTY DISCRETION GRANTED; values include:“N” = No“Y” = Yes403-417 X(15) AN THIRD PARTY NAME (free-form text)418-418 X(01) AN RISK FACTOR CODE; acceptable values include:“L” = Low“M” = Moderate“S” = Speculation“H” = High419-422 X(04) AN INVESTMENT OBJECTIVE CODE; values are eithercustomer- or Pershing-defined; Pershing defined values:“I ” = Income“L ” = Long-Term Growth“S ” = Short-Term Growth“ ” = Not applicableACCT/ACCFPage 6 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTIONOPTION TRADING423-423 X(01) AN OPTION – EQUITIES; acceptable values include:“N” = No“Y” = Yes424-424 X(01) AN OPTION – INDEX; acceptable values include:“N” = No“Y” = Yes425-425 X(01) AN OPTION – DEBT; acceptable values include:“N” = No“Y” = Yes426-426 X(01) AN OPTION – CURRENCY; acceptable values include:“N” = No“Y” = YesOPTION LEVELS: Only the highest level will be populated427-427 X(01) AN OPTION LEVEL 1; acceptable values include:“O” = Covered Only“ ” = Not applicable428-428 X(01) AN OPTION LEVEL 2; acceptable values include:“L” = Covered/Long“ ” = Not applicable429-429 X(01) AN OPTION LEVEL 3; acceptable values include:“S” = Covered/Long/Spreads“ ” = Not applicable430-430 X(01) AN OPTION LEVEL 4; acceptable values include:“A” = All“ ” = Not applicable431-440 9(10) N OPTION – CALL LIMITS441-450 9(10) N OPTION – PUT LIMITS451-460 9(10) N OPTION – TOTAL LIMITS OF PUTS AND CALLSBROKERAGE INFORMATIONThe following field also appears in Record W, position 042, for ease of use461-461 X(01) AN NON-US DOLLAR TRADING; acceptable values include:“Y” = Account approved for trading in non-US Dollars“N” = Not eligible to trade non-US Dollars (default)462-464 X(03) AN Not Used (Reserved for future use)465-465 X(01) AN NON-CUSTOMER INDICATOR; acceptable values include:“ ” = Customer Account“N” = Firm Account“P” = Principal/Office Account“S” = Commission Account466-467 X(02) AN THIRD PARTY FEE INDICATOR; values include: (cont.)ACCT/ACCFPage 7 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION“Y ” = Yes“N ” = No468-475 9(08) N THIRD PARTY FEE APPROVAL DATE = “CCYYMMDD”476-476 X(01) AN Not Used477-478 X(02) AN COMMISSION SCHEDULE; acceptable values include:“ ” = Standard“C ” = Discount479-483 X(05) AN GROUP INDEX484-486 X(03) AN MONEY MANAGER ID; Money Manager code from oldACCOUNT MNEMONIC field487-489 X(03) AN MONEY MANAGER OBJECTIVE ID; Investment Objectivecode from old ACCOUNT MNEMONIC field490-494 X(05) AN DTC ID CONFIRM NUMBER FOR NON-COD ACCOUNT495-503 X(09) AN CAPS MASTER MNEMONIC; legacy field, no longer used.Contains previously populated data for customers who haveused it before. It cannot be updated.504-511 X(08) AN EMPLOYEE ID512-512 X(01) AN PRIME BROKER/FREE FUND INDICATOR; acceptablevalues include:“ ” = Not applicable“B” = Pershing LLC as Prime Broker“C” = Broker/Dealer Credit“F” = Free Fund Letter (COD accounts only)“T” = Broker/Dealer Trust (COD accounts only)“X” = Execution for Prime Broker (COD accounts only)513-513 X(01) AN FEE BASED ACCOUNT INDICATOR; values include:“Y” = Yes; account is Fee Based“N” = No; account is not Fee Based514-516 X(03) AN BILLING TYPE; acceptable values include:“ ” = Standard“FC ” = Fee Based517-524 9(08) N FEE BASED TERMINATION DATE = “CCYYMMDD”525-525 X(01) AN EQUIFAX/CREDIT CHECK INDICATOR; values include:“N” = Credit check not requested“Y” = Credit check requested526-557 X(32) AN SELF-DIRECTED 401(k) PLAN NAME558-589 X(32) AN SELF-DIRECTED 401(k) ACCOUNT TYPE590-591 X(02) AN PLAN TYPE; see Appendix D, “Plan Types”592-601 X(10) AN PLAN NUMBER602-605 X(04) AN EMPLOYEE/EMPLOYEE RELATIVE INDICATOR;acceptable values include:“ ” = Not applicable (cont.)ACCT/ACCFPage 8 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION“E ” = Employee“ER ” = Employee Related606-623 9(09)v9(09) N COMMISSION PERCENT DISCOUNT; actual percentdiscounted624-624 X(01) AN 12b-1 FEE-BLOCKING INDICATOR; acceptable valuesinclude:“D” = Use the Default Set at the Introducing Broker/Dealer(IBD) Level (redefined)“B” = Block 12b-1 Fees when the IBD Level Default is to NotBlock“N” = Do not Block 12b-1 Fees when the IBD Level Default isto Block“C” = Credit 12b-1 Fee to Customer Account“ ” = No Value Entered/Not applicableNEW ACCOUNT FORM SIGNATORY INFORMATION625-639 X(15) AN NAME OF INVESTMENT PROFESSIONAL WHO SIGNEDNEW ACCOUNT FORM640-647 9(08) N DATE INVESTMENT PROFESSIONAL SIGNED NEWACCOUNT FORM = “CCYYMMDD”648-662 X(15) AN NAME OF PRINCIPAL WHO SIGNED NEW ACCOUNTFORM663-670 9(08) N DATE PRINCIPAL SIGNED NEW ACCOUNT FORM =“CCYYMMDD”ACCOUNT LEVEL INFORMATION FOR USA PATRIOT ACTThe following field also appears in Record W, position 062671-671 X(01) AN POLITICALLY EXPOSED PERSON INDICATOR;acceptable values include:“Y” = Politically Exposed Person“N” = Not a Politically Exposed Person“U” = Unknown672-672 X(01) AN PRIVATE BANKING ACCOUNT INDICATOR;acceptable values include:“Y” = Private Banking Account“N” = Not a Private Banking Account“U” = UnknownThe following field also appears in Record W, position 154673-673 X(01) AN FOREIGN BANK ACCOUNT INDICATOR; acceptablevalues include:“Y” = Account is a Foreign Bank“N” = Account is not a Foreign Bank“U” = Unknown674-677 X(04) AN INITIAL SOURCE OF FUNDS; acceptable values include:“EINC” = Income from Earnings“GIFT” = Gift(cont.)ACCT/ACCFPage 9 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION“INPR” = Investment Proceeds“SALE” = Sale of Business“INHT” = Inheritance“LSET” = Legal Settlement“RSAV” = Pension/IRA/Retirement Savings“RLTN” = Spouse/Parent“GAME” = Lottery/Gaming Proceeds“INSR” = Insurance Proceeds“OTHR” = Other“UNKN” = Unknown678-681 X(04) AN USA PATRIOT ACT EXEMPT REASON; valid valuesinclude:“NOEX” = Not Exempt“CONV” = Conversion“ERSA” = ERISA“PEAC” = Pre-existing Account“PTRD” = Publicly Traded Company“RBNK” = Regulated Bank“GVTI” = Government Institution“UNKN” = Unknown“IBEX” = IBD Exempt682-683 X(02) AN COUNTRY OF CITIZENSHIP; see Appendix Q, “ACCTCodes and Values”684-685 X(02) AN COUNTRY OF RESIDENCE; see Appendix Q, “ACCT Codesand Values”686-693 9(08) N BIRTH DATE = “CCYYMMDD”694-703 X(10) AN Not Used704-709 X(06) AN Internal Use (IMS/Prime Broker Code)710-711 X(02) AN Internal Use (Payout Code)712-714 X(03) AN Internal Use (Trader Number)715-718 X(04) AN Internal Use (Product Code)719-722 X(04) AN Internal Use (Customer Type)723-726 X(04) AN Internal Use (Account Plan Type)727-730 X(04) AN Internal Use (Promotion Type)731-734 X(04) AN Internal Use (Inv Obj)735-738 X(04) AN Internal Use (Inv Obj)739-742 X(04) AN Internal Use (Inv Obj)743-746 X(04) AN FULFILLMENT METHOD; acceptable values include:“GPDF” = Generate PDF“BPKG” = Branded Package“ESIG” = eSignature (paperless)“ ” = Not applicableACCT/ACCFPage 10 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION747-747 X(01) AN CREDIT INTEREST INDICATOR; valid values include:“Y” = Earns Credit Interest“N” = Does not earn Credit Interest“ ” = Not applicable or available748-748 X(01) AN AMA INDICATOR, valid values include:“1” = AMA Cash Account“2” = AMA Margin Account“3” = Pending AMA“4” = Basic AMA“5” = Pending Basic AMA“7” = Sweep“8” = Banklink“ ” = Not applicable749-749 X(01) AN For Pershing Internal Use Only750-750 X(01) AN Literally “X”; indicates the end of record AACCT/ACCFPage 11 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSDETAIL RECORD B– MAIN ACCOUNT INFORMATIONPOSITION PICTURE TYPE DESCRIPTION001-002 X(02) AN TRANSACTION CODE = “CI”003-003 X(01) AN RECORD INDICATOR VALUE = “B”004-011 9(08) N RECORD ID SEQUENCE NUMBER; begins with“00000001”012-020 X(09) AN ACCOUNT NUMBER INCLUDING OFFICE(3); BASEACCOUNT(5); CHECK DIGIT (1)021-023 X(03) AN INTRODUCING BROKER DEALER NUMBER024-024 X(01) AN Not Used025-027 X(03) AN INVESTMENT PROFESSIONAL NUMBER028-028 X(01) AN Not Used029-038 X(10) AN ACCOUNT SHORT NAME039-040 X(02) AN Not UsedTAX INFORMATION041-041 X(01) AN TAX ID TYPE; acceptable values include:“N” = Not applicable“T” = Taxpayer ID Number“A” = Applied For“S” = Social Security Number042-050 X(09) AN TAX ID NUMBER051-058 9(08) N DATE TAX ID APPLIED FOR = “CCYYMMDD”059-060 X(02) AN W8-W9 NONE INDICATOR; acceptable values include:“ ” = Not applicable“W8”“W9”061-068 9(08) N W8-W9 DATE = “CCYYMMDD”069-076 9(08) N W8-W9 EFFECTIVE DATE = “CCYYMMDD”077-080 X(04) AN W8-W9 DOCUMENT TYPE; acceptable values include:“W8 ” = Foreign Tax Form W8“W8BE” = Foreign Status Beneficial Owner“W8CO” = W8 IBD“W8D” = Original IRS Form W8“W8E ” = Expired Foreign Tax Form“W8EC” = Foreign with effectively connected U.S.Business/Trade“W8EX” = Foreign Status for Government/Organization“W8IM” = Foreign Status for Intermediary“W9 ” = U.S. Tax Form W9“W9DT” = Add W9 Per Tax Reporting“W9WH” = W9 but Subject to Backup WithholdingACCT/ACCFPage 12 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION081-081 X(01) AN TAX STATUS; acceptable values include:“ ” = Non-Exempt“B” = Exempt“A” = Approved Exempt Retail or Exempt COD accounts082-082 X(01) AN B NOTICE REASON CODE; acceptable values include“1” = Missing TIN“2” = Not Currently Issued TIN“3” = Incorrect Name/TIN“5” = TIN/Name without Backup Withholding“6” = TIN/Name with Backup Withholding“ ” = Not applicable083-102 X(20) AN FIRST B NOTICE STATUS; acceptable values include:“ACTIVE”“INACTIVE”“SATISFIED”103-110 9(08) N DATE FIRST B NOTICE STATUS ISSUED/ENFORCED =“CCYYMMDD”111-118 X(08) AN Not Used119-126 9(08) N DATE FIRST B NOTICE STATUS SATISFIED =“CCYYMMDD”127-146 X(20) AN SECOND B NOTICE STATUS; acceptable values include:“ACTIVE”“INACTIVE”“SATISFIED”147-154 9(08) N DATE SECOND B NOTICE STATUS ISSUED/ENFORCED= “CCYYMMDD”155-162 X(08) AN Not Used163-170 9(08) N DATE SECOND B NOTICE STATUS SATISFIED =“CCYYMMDD”171-190 X(20) AN C NOTICE STATUS; acceptable values include:“ACTIVE”“INACTIVE”“SATISFIED”191-198 9(08) N DATE C NOTICE STATUS ISSUED/ENFORCED =“CCYYMMDD”199-206 9(08) N DATE C NOTICE STATUS SATISFIED = “CCYYMMDD”OLD ACCOUNT INFORMATION207-226 X(20) AN OLD ACCOUNT NUMBER227-234 9(08) N ORIGINAL ACCOUNT OPEN DATE = “CCYYMMDD”235-346 X(112) AN Not UsedSPECIAL ACCOUNT-LEVEL ROUTING CODES347-349 X(03) AN ACCOUNT-LEVEL ROUTING CODE; values include“ADV” = Advent(cont.)ACCT/ACCFPage 13 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION“APL” = Security APL“BCS” = Security APL - Individual Strategies“BNY” = BNY Trust - Lockwood“CON” = Concord Equity“DVP” = BNY Trust - APL“FQI” = CUSO/Fundquest for APL“HSA” = Bank Health Savings Account“LKW” = Lockwood business going to Lockwood“MIL” = Millennium Trust Health Savings Accounts“MTV” = Metavante Trust Service“PRM” = WP Stewart“WAD” = World Advisors“ ” = No Value Entered/Not applicable350-352 X(03) AN ACCOUNT-LEVEL ROUTING CODE; (see position 347-349, above, for values)353-355 X(03) AN ACCOUNT-LEVEL ROUTING CODE; (see position 347-349, above, for values)356-358 X(03) AN ACCOUNT-LEVEL ROUTING CODE; (see position 347-349, above, for values)359-370 X(12) AN Not Used371-373 X(03) AN PRIMARY INVESTMENT PROFESSIONAL374-376 X(03) AN SECONDARY INVESTMENT PROFESSIONAL377-400 X(24) AN Not Used401-408 X(08) AN ALERT IM ACRONYM; identifies the buy-side entity, e.g., anInvestment Manager409-424 X(16) AN ALERT IM ACCESS CODE; identifies the specific account atthe Institution425-432 X(08) AN BROKER ACRONYM; identifies the sell-side entity, e.g., theBroker Dealer433-433 X(01) AN CROSS-REFERENCED INDICATOR; indicates if account iscross-referenced with ALERT Direct; values include:“Y” = Account is cross-referenced with ALERT Direct“N” = Account is not cross-referenced with ALERT Direct434-434 X(01) AN BNY TRUST INDICATOR; acceptable values include:“N” = Not a BNY Trust Account“Y” = Valid BNY Trust Account435-436 X(02) AN SOURCE OF ASSETS AT ACCOUNT OPENING; valuesinclude:“E” = Existing Assets“P” = Partially New Assets“N” = New Assets“R” = Default“ ” = No value entered/Not applicableACCT/ACCFPage 14 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION437-437 X(01) AN COMMISSION DISCOUNT CODE; freeform, legacy field438-457 X(20) AN EXTERNAL ACCOUNT NUMBER; freeform text (“ ” is anallowable value)458-458 X(01) AN CONFIRMATION SUPPRESSION INDICATOR; acceptablevalues include:“Y” = Suppress confirmations“N” = Do not suppress confirmations“ ” = Not applicable459-464 9(06) N LAST MONTH BOOKS AND RECORDS/INVESTMENTOBJECTIVE INFORMATION WAS MAILED TOCUSTOMER = CCYYMM465-470 9(06) N LAST MONTH BOOKS AND RECORDS/INVESTMENTOBJECTIVE INFORMATION WAS PROVIDED TOCUSTOMER OUTSIDE THE PERSHING SYSTEM =CCYYMM471-471 X(01) AN Reserved for Future Use472-472 X(01) AN FULLY PAID LENDING AGREEMENT INDICATOR473-480 9(08) N FULLY PAID LENDING AGREEMENT DATE =“CCYYMMDD”481-484 X(04) AN CUSTODIAN ACCOUNT TYPE (for custodian accountsonly); acceptable values include:“UGMA” = Uniform Gifts to Minors Act“UTMA” = Uniform Transfers to Minors Act“ ” = Not applicable485-488 X(04) AN MARKETS IN FINANCIAL INSTRUMENTS DIRECTIVE(MiFID) CLIENT CATEGORIZATION; values include:“RETL” = Retail Client“RETP” = Retail Client opting down from Professional“RETE” = Retail Client opting down from EligibleCounterparty“PROF” = Professional Client“PROR” = Professional Client opting up from Retail Client“PROE” = Professional Client opting down from EligibleCounterparty“ELIG” = Eligible CounterpartyThe following fields have been moved from Record M:489-489 X(01) AN CASH MANAGEMENT TRANSACTION CODE; acceptablevalues include:“X” or “ ” = Unchanged record“A” = Add“C” = Change490-493 X(04) AN SWEEP STATUS INDICATOR; acceptable values include:“A ” = Active Sweep“C ” = Closed Sweep (cont.)ACCT/ACCFPage 15 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION“I ” = Inactive Sweep“N ” = Non-Participant or No Sweep494-501 9(08) N DATE SWEEP ACTIVATED = “CCYYMMDD”502-509 9(08) N DATE SWEEP DETAILS CHANGED = “CCYYMMDD”510-510 X(01) AN COVER MARGIN DEBIT INDICATOR; acceptable valuesinclude:“Y” = Yes; sweep to cover margin debt“N” = No; do not sweep to cover margin debt511-511 X(01) AN Not UsedFIRST FUND SWEEP INFORMATION512-518 X(07) AN FIRST FUND SWEEP ACCOUNT ID519-536 9(09)v9(09) N FIRST FUND SWEEP ACCOUNT PERCENT537-537 X(01) AN FIRST FUND SWEEP ACCOUNT REDEMPTIONPRIORITY; acceptable values include:“ ” = When Sweep Status is blank“1” = Redeem this Fund first“2” = Redeem this Fund secondSECOND FUND SWEEP INFORMATION538-544 X(07) AN SECOND FUND SWEEP ACCOUNT ID545-562 9(09)v9(09) N SECOND FUND SWEEP ACCOUNT PERCENT563-563 X(01) AN SECOND FUND SWEEP ACCOUNT REDEMPTIONPRIORITY; acceptable values include:“ ” = When Sweep Status is blank“1” = Redeem this Fund first“2” = Redeem this Fund secondBANKLINK SWEEP INFORMATION564-564 X(01) AN TYPE OF BANK ACCOUNT; acceptable values include:“C” = Checking“S” = Saving“N” = Not applicable565-573 X(09) AN BANKLINK ABA NUMBER574-590 X(17) AN BANKLINK DDA NUMBER591-593 X(03) AN Not UsedThe following field has been moved from Record O594-594 X(01) AN FUND BANK INDICATOR; acceptable values include:“F” = Fund“B” = Bank595-749 X(155) AN Not Used750-750 X(01) AN Literally “X”; indicates the end of record BACCT/ACCFPage 16 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSDETAIL RECORD C – MAIN ACCOUNT INFORMATION, ADDRESS 1-2POSITION PICTURE TYPE DESCRIPTION001-002 X(02) AN TRANSACTION CODE = “CI”003-003 X(01) AN RECORD INDICATOR VALUE = “C”004-011 9(08) N RECORD ID SEQUENCE NUMBER; begins with“00000001”012-020 X(09) AN ACCOUNT NUMBER INCLUDING OFFICE(3); BASEACCOUNT(5); CHECK DIGIT (1)021-023 X(03) AN INTRODUCING BROKER DEALER NUMBER024-024 X(01) AN Not Used025-027 X(03) AN INVESTMENT PROFESSIONAL NUMBER028-028 X(01) AN Not Used029-038 X(10) AN ACCOUNT SHORT NAME039-040 X(02) AN Not UsedACCOUNT ADDRESS #1041-041 X(01) AN ADDRESS (1) TRANSACTION CODE; values include:“X” or “ ” = Unchanged record“A” = Add new address“C” = Change existing address information042-042 X(01) AN SPECIAL HANDLING INDICATOR (1); values include:“N” = No special handling required for this address“Y” = Special handling required for this address043-043 X(01) AN DELIVERY IDENTIFIER (1) defines the address type thatfollows; acceptable values include:“L” = Mailing“M” = Legal Address“D” = Legal and Mailing Addresses are the same and displayedonce on the file“2” = Legal Address (for COD Accounts only)“O” = Business 1“P” = Business 2“S” = Seasonal 1“T” = Seasonal 2“U” = Seasonal 3044-047 X(04) AN ATTENTION LINE PREFIX (1); acceptable values include:“ATTN” = Attention of“C/O” = Care of“ ” = May be blank in user-titled accounts048-075 X(28) AN ATTENTION LINE DETAIL (1)076-107 X(32) AN ADDRESS (1) LINE 1108-139 X(32) AN ADDRESS (1) LINE 2ACCT/ACCFPage 17 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION140-171 X(32) AN ADDRESS (1) LINE 3; only if ATTENTION LINE is spaces172-203 X(32) AN ADDRESS (1) LINE 4; only if country is not US or Canada204-218 X(15) AN CITY (1); for US/Canada addresses only219-220 X(02) AN STATE (1); for US/Canada addresses only; see Appendix Q,“ACCT Codes and Values”221-235 X(15) AN ZIP (1); for US/Canada addresses only236-237 X(02) AN COUNTRY CODE (1); see Appendix Q, “ACCT Codes andValues”238-238 X(01) AN Not Used239-246 9(08) N FIRST MAIL RETURN DATE (1) = “CCYYMMDD”247-271 X(25) AN FIRST MAIL RETURN REASON (1)272-279 9(08) N SECOND MAIL RETURN DATE (1) = “CCYYMMDD”280-304 X(25) AN SECOND MAIL RETURN REASON (1)305-312 9(08) N THIRD MAIL RETURN DATE (1) = “CCYYMMDD”313-337 X(25) AN THIRD MAIL RETURN REASON (1)ACCOUNT ADDRESS #2338-338 X(01) AN ADDRESS (2) TRANSACTION CODE; values include:“X” or “ ” = Unchanged record“A” = Add new address“C” = Change existing address information339-339 X(01) AN SPECIAL HANDLING INDICATOR (2); values include:“N” = No special handling required for this address“Y” = Special handling required for this address340-340 X(01) AN DELIVERY IDENTIFIER (2) defines the address type thatfollows; see DELIVERY IDENTIFIER (1), position 43, forvalues341-344 X(04) AN ATTENTION LINE PREFIX (2); acceptable values include:“ATTN” = Attention of“C/O ” = Care of“ ” = May be blank in user-titled accounts345-372 X(28) AN ATTENTION LINE DETAIL (2)373-404 X(32) AN ADDRESS (2) LINE 1405-436 X(32) AN ADDRESS (2) LINE 2437-468 X(32) AN ADDRESS (2) LINE 3; only if ATTENTION LINE is spaces469-500 X(32) AN ADDRESS (2) LINE 4; only if country is not US or Canada501-515 X(15) AN CITY (2); for US/Canada addresses only516-517 X(02) AN STATE (2); for US/Canada addresses only; see Appendix Q,“ACCT Codes and Values”518-532 X(15) AN ZIP (2); for US/Canada addresses only533-534 X(02) AN COUNTRY CODE (2); see Appendix Q, “ACCT Codes andValues”535-535 X(01) AN Not UsedACCT/ACCFPage 18 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION536-543 9(08) N FIRST MAIL RETURN DATE (2) = “CCYYMMDD”544-568 X(25) AN FIRST MAIL RETURN REASON (2)569-576 9(08) N SECOND MAIL RETURN DATE (2) = “CCYYMMDD”577-601 X(25) AN SECOND MAIL RETURN REASON (2)602-609 9(08) N THIRD MAIL RETURN DATE (2) = “CCYYMMDD”610-634 X(25) AN THIRD MAIL RETURN REASON (2)SEASONAL ADDRESS DATES635-635 X(01) AN SEASONAL ADDRESS IDENTIFIER; acceptable valuesinclude:“S” = Seasonal 1“T” = Seasonal 2“U” = Seasonal 3636-643 9(08) N FROM DATE = “CCYYMMDD”644-651 9(08) N TO DATE = “CCYYMMDD”652-652 X(01) AN SEASONAL ADDRESS IDENTIFIER; see position 635 forvalues653-660 9(08) N FROM DATE = “CCYYMMDD”661-668 9(08) N TO DATE = “CCYYMMDD”669-669 X(01) AN SEASONAL ADDRESS IDENTIFIER; see position 635 forvalues670-677 9(08) N FROM DATE = “CCYYMMDD”678-685 9(08) N TO DATE = “CCYYMMDD”686-749 X(64) AN Not Used750-750 X(01) AN Literally “X”; indicates the end of record CACCT/ACCFPage 19 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSDETAIL RECORD D – MAIN ACCOUNT INFORMATION, ADDRESS 3-4POSITION PICTURE TYPE DESCRIPTION001-002 X(02) AN TRANSACTION CODE = “CI”003-003 X(01) AN RECORD INDICATOR VALUE = “D”004-011 9(08) N RECORD ID SEQUENCE NUMBER; begins with“00000001”012-020 X(09) AN ACCOUNT NUMBER INCLUDING OFFICE(3); BASEACCOUNT(5); CHECK DIGIT (1)021-023 X(03) AN INTRODUCING BROKER DEALER NUMBER024-024 X(01) AN Not Used025-027 X(03) AN INVESTMENT PROFESSIONAL NUMBER028-028 X(01) AN Not Used029-038 X(10) AN ACCOUNT SHORT NAME039-040 X(02) AN Not UsedACCOUNT ADDRESS #3041-041 X(01) AN ADDRESS (3) TRANSACTION CODE; values include:“X” or “ ” = Unchanged record“A” = Add new address“C” = Change existing address information042-042 X(01) AN SPECIAL HANDLING INDICATOR (3); values include:“N” = No special handling required for this address“Y” = Special handling required for this address043-043 X(01) AN DELIVERY IDENTIFIER (3) defines the address type thatfollows; see DELIVERY IDENTIFIER (1), Record C, position43, for values044-047 X(04) AN ATTENTION LINE PREFIX (3); acceptable values include:“ATTN” = Attention of“C/O ” = Care of“ ” = May be blank in user-titled accounts048-075 X(28) AN ATTENTION LINE DETAIL (3)076-107 X(32) AN ADDRESS (3) LINE 1108-139 X(32) AN ADDRESS (3) LINE 2140-171 X(32) AN ADDRESS (3) LINE 3; only if ATTENTION LINE is spaces172-203 X(32) AN ADDRESS (3) LINE 4; only if country is not US or Canada204-218 X(15) AN CITY (3); for US/Canada addresses only219-220 X(02) AN STATE (3); for US/Canada addresses only; see Appendix Q,“ACCT Codes and Values”221-235 X(15) AN ZIP (3); for US/Canada addresses only236-237 X(02) AN COUNTRY CODE (3); see Appendix Q, “ACCT Codes andValues”238-238 X(01) AN Not Used239-246 9(08) N FIRST MAIL RETURN DATE (3) = “CCYYMMDD”ACCT/ACCFPage 20 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION247-271 X(25) AN FIRST MAIL RETURN REASON (3)272-279 9(08) N SECOND MAIL RETURN DATE (3) = “CCYYMMDD”280-304 X(25) AN SECOND MAIL RETURN REASON (3)305-312 9(08) N THIRD MAIL RETURN DATE (3) = “CCYYMMDD”313-337 X(25) AN THIRD MAIL RETURN REASON (3)ACCOUNT ADDRESS #4338-338 X(01) AN ADDRESS (4) TRANSACTION CODE; values include:“X” or “ ” = Unchanged record“A” = Add new address“C” = Change existing address information339-339 X(01) AN SPECIAL HANDLING INDICATOR (4); values include:“N” = No special handling required for this address“Y” = Special handling required for this address340-340 X(01) AN DELIVERY IDENTIFIER (4) defines the address that follows;type of address; see DELIVERY IDENTIFIER (1), Record C,position 43, for values341-344 X(04) AN ATTENTION LINE PREFIX (4); acceptable values include:“ATTN” = Attention of“C/O” = Care of“ ” = May be blank in user-titled accounts345-372 X(28) AN ATTENTION LINE DETAIL (4)373-404 X(32) AN ADDRESS (4) LINE 1405-436 X(32) AN ADDRESS (4) LINE 2437-468 X(32) AN ADDRESS (4) LINE 3; only if ATTENTION LINE is spaces469-500 X(32) AN ADDRESS (4) LINE 4; only if country is not US or Canada501-515 X(15) AN CITY (4); for US/Canada addresses only516-517 X(02) AN STATE (4); for US/Canada addresses only; see Appendix Q,“ACCT Codes and Values”518-532 X(15) AN ZIP (4); for US/Canada addresses only533-534 X(02) AN COUNTRY CODE (4); see Appendix Q, “ACCT Codes andValues”535-535 X(01) AN Not Used536-543 9(08) N FIRST MAIL RETURN DATE (4) = “CCYYMMDD”544-568 X(25) AN FIRST MAIL RETURN REASON (4)569-576 9(08) N SECOND MAIL RETURN DATE (4) = “CCYYMMDD”577-601 X(25) AN SECOND MAIL RETURN REASON (4)602-609 9(08) N THIRD MAIL RETURN DATE (4) = “CCYYMMDD”610-634 X(25) AN THIRD MAIL RETURN REASON (4)635-749 X(115) AN Not Used750-750 X(01) AN Literally “X”; indicates the end of record DACCT/ACCFPage 21 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSDETAIL RECORD E – MAIN ACCOUNT INFORMATION, ADDRESS 5-6POSITION PICTURE TYPE DESCRIPTION001-002 X(02) AN TRANSACTION CODE = “CI”003-003 X(01) AN RECORD INDICATOR VALUE = “E”004-011 9(08) N RECORD ID SEQUENCE NUMBER; begins with“00000001”012-020 X(09) AN ACCOUNT NUMBER INCLUDING OFFICE(3); BASEACCOUNT(5); CHECK DIGIT (1)021-023 X(03) AN INTRODUCING BROKER DEALER NUMBER024-024 X(01) AN Not Used025-027 X(03) AN INVESTMENT PROFESSIONAL NUMBER028-028 X(01) AN Not Used029-038 X(10) AN ACCOUNT SHORT NAME039-040 X(02) AN Not UsedACCOUNT ADDRESS #5041-041 X(01) AN ADDRESS (5) TRANSACTION CODE; values include:“X” or “ ” = Unchanged record“A” = Add new address“C” = Change existing address information042-042 X(01) AN SPECIAL HANDLING INDICATOR (5); values include:“N” = No special handling required for this address“Y” = Special handling required for this address043-043 X(01) AN DELIVERY IDENTIFIER (5) defines the address type thatfollows; see DELIVERY IDENTIFIER (1), Record C, position43, for values044-047 X(04) AN ATTENTION LINE PREFIX (5); acceptable values include:“ATTN” = Attention of“C/O ” = Care of“ ” = May be blank in user-titled accounts048-075 X(28) AN ATTENTION LINE DETAIL (5)076-107 X(32) AN ADDRESS (5) LINE 1108-139 X(32) AN ADDRESS (5) LINE 2140-171 X(32) AN ADDRESS (5) LINE 3; only if ATTENTION LINE is spaces172-203 X(32) AN ADDRESS (5) LINE 4; only if country is not US or Canada204-218 X(15) AN CITY (5); for US/Canada addresses only219-220 X(02) AN STATE (5); for US/Canada addresses only; see Appendix Q,“ACCT Codes and Values”221-235 X(15) AN ZIP (5); for US/Canada addresses only236-237 X(02) AN COUNTRY CODE (5); see Appendix Q, “ACCT Codes andValues”238-238 X(01) AN Not Used239-246 9(08) N FIRST MAIL RETURN DATE (5) = “CCYYMMDD”ACCT/ACCFPage 22 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION247-271 X(25) AN FIRST MAIL RETURN REASON (5)272-279 9(08) N SECOND MAIL RETURN DATE (5) = “CCYYMMDD”280-304 X(25) AN SECOND MAIL RETURN REASON (5)305-312 9(08) N THIRD MAIL RETURN DATE (5) = “CCYYMMDD”313-337 X(25) AN THIRD MAIL RETURN REASON (5)ACCOUNT ADDRESS #6338-338 X(01) AN ADDRESS (6) TRANSACTION CODE; values include:“X” or “ ” = Unchanged record“A” = Add new address“C” = Change existing address information339-339 X(01) AN SPECIAL HANDLING INDICATOR (6); values include:“N” = No special handling required for this address“Y” = Special handling required for this address340-340 X(01) AN DELIVERY IDENTIFIER (6) defines the type of address thatfollows; see DELIVERY IDENTIFIER (1), Record C, position43, for values341-344 X(04) AN ATTENTION LINE PREFIX (6); acceptable values include:“ATTN” = Attention of“C/O ” = Care of“ ” = May be blank in user-titled accounts345-372 X(28) AN ATTENTION LINE DETAIL (6)373-404 X(32) AN ADDRESS (6) LINE 1405-436 X(32) AN ADDRESS (6) LINE 2437-468 X(32) AN ADDRESS (6) LINE 3; only if ATTENTION LINE is spaces469-500 X(32) AN ADDRESS (6) LINE 4; only if country is not US or Canada501-515 X(15) AN CITY (6); for US/Canada addresses only516-517 X(02) AN STATE (6); for US/Canada addresses only; see Appendix Q,“ACCT Codes and Values”518-532 X(15) AN ZIP (6); for US/Canada addresses only533-534 X(02) AN COUNTRY CODE (6); see Appendix Q, “ACCT Codes andValues”535-535 X(01) AN Not Used536-543 9(08) N FIRST MAIL RETURN DATE (6) = “CCYYMMDD”544-568 X(25) AN FIRST MAIL RETURN REASON (6)569-576 9(08) N SECOND MAIL RETURN DATE (6) = “CCYYMMDD”577-601 X(25) AN SECOND MAIL RETURN REASON (6)602-609 9(08) N THIRD MAIL RETURN DATE (6) = “CCYYMMDD”610-634 X(25) AN THIRD MAIL RETURN REASON (6)635-749 X(115) AN Not Used750-750 X(01) AN Literally “X”; indicates the end of record EACCT/ACCFPage 23 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSDETAIL RECORD F – MAIN ACCOUNT INFORMATION, ADDRESS 7POSITION PICTURE TYPE DESCRIPTION001-002 X(02) AN TRANSACTION CODE = “CI”003-003 X(01) AN RECORD INDICATOR VALUE = “F”004-011 9(08) N RECORD ID SEQUENCE NUMBER; begins with“00000001”012-020 X(09) AN ACCOUNT NUMBER INCLUDING OFFICE(3); BASEACCOUNT(5); CHECK DIGIT (1)021-023 X(03) AN INTRODUCING BROKER DEALER NUMBER024-024 X(01) AN Not Used025-027 X(03) AN INVESTMENT PROFESSIONAL NUMBER028-028 X(01) AN Not Used029-038 X(10) AN ACCOUNT SHORT NAME039-040 X(02) AN Not UsedACCOUNT ADDRESS #7041-041 X(01) AN ADDRESS (7) TRANSACTION CODE; values include:“X” or “ ” = Unchanged record“A” = Add new address“C” = Change existing address information042-042 X(01) AN SPECIAL HANDLING INDICATOR (7); values include:“N” = No special handling required for this address“Y” = Special handling required for this address043-043 X(01) AN DELIVERY IDENTIFIER (7) defines the address type thatfollows; see DELIVERY IDENTIFIER (1), Record C, position43, for values044-047 X(04) AN ATTENTION LINE PREFIX (7); acceptable values include:“ATTN” = Attention of“C/O ” = Care of“ ” = May be blank in user-titled accounts048-075 X(28) AN ATTENTION LINE DETAIL (7)076-107 X(32) AN ADDRESS (7) LINE 1108-139 X(32) AN ADDRESS (7) LINE 2140-171 X(32) AN ADDRESS (7) LINE 3; only if ATTENTION LINE containsspaces172-203 X(32) AN ADDRESS (7) LINE 4; only if the country is not the US orCanada204-218 X(15) AN CITY (7); for US/Canada addresses only219-220 X(02) AN STATE (7); for US/Canada addresses only; see Appendix Q,“ACCT Codes and Values”221-235 X(15) AN ZIP (7); for US/Canada addresses only236-237 X(02) AN COUNTRY CODE (7); see Appendix Q, “ACCT Codes andValues”ACCT/ACCFPage 24 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION238-238 X(01) AN Not Used239-246 9(08) N FIRST MAIL RETURN DATE (7) = “CCYYMMDD”247-271 X(25) AN FIRST MAIL RETURN REASON (7)272-279 9(08) N SECOND MAIL RETURN DATE (7) = “CCYYMMDD”280-304 X(25) AN SECOND MAIL RETURN REASON (7)305-312 9(08) N THIRD MAIL RETURN DATE (7) = “CCYYMMDD”313-337 X(25) AN THIRD MAIL RETURN REASON (7)338-749 X(412) AN Not Used750-750 X(01) AN Literally “X”; indicates the end of record FACCT/ACCFPage 25 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSDETAIL RECORD W – ADDITIONAL ACCOUNT-LEVEL INFORMATIONPOSITION PICTURE TYPE DESCRIPTION001-002 X(02) AN TRANSACTION CODE = “CI”003-003 X(01) AN RECORD INDICATOR VALUE = “W”004-011 9(08) N RECORD ID SEQUENCE NUMBER; begins with“00000001”012-020 X(09) AN ACCOUNT NUMBER INCLUDING OFFICE(3); BASEACCOUNT(5); CHECK DIGIT (1)021-023 X(03) AN INTRODUCING BROKER DEALER NUMBER024-024 X(01) AN Not Used025-027 X(03) AN INVESTMENT PROFESSIONAL NUMBER028-028 X(01) AN Not Used029-038 X(10) AN ACCOUNT SHORT NAME039-040 X(02) AN Not UsedNEW ACCOUNT-LEVEL INFORMATION041-041 X(01) AN RECORD TRANSACTION CODE; acceptable values include:“X” or “ ”= Unchanged record“A” = Added account“C” = Change to existing recordCURRENCY / LANGUAGE INFORMATIONBELOW FIELD COPIED FROM RECORD A, position 461042-042 X(01) AN NON-US DOLLAR TRADING; acceptable values include:“Y” = Account approved for trading in non-US Dollars“N” = Not eligible to trade non-US Dollars (default)043-045 X(03) AN BASE CURRENCY; see Appendix N, “Currency Codes”046-048 X(03) AN INCOME CURRENCY; see Appendix N, “Currency Codes,”for values, as well as additional acceptable values:“ISS” = Issue Currency; the currency in which Pershingreceives payment“POS” = Position Currency; the currency in which thecustomer is holding the underlying position“ ” = Not applicable049-051 X(03) AN STATEMENT LANGUAGE; effective 03/2010; valuesinclude:“ENG” = English“SPA” = Spanish“N/A” = Not available052-054 X(03) AN Not Used055-055 X(01) AN MSRB Statement Indicator; effective 03/2010; values include:“Y” = Send Statements“N” = Do not send Statements“ ” = Not applicableACCT/ACCFPage 26 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION056-061 X(06) AN Not UsedNEW ACCOUNT-LEVEL INFORMATION BELOW FIELD COPIED FROM RECORD A, position 671-671062-062 X(01) AN POLITICALLY EXPOSED PERSON INDICATOR;acceptable values include:“Y” = Politically Exposed Person“N” = Not a Politically Exposed Person“U” = Unknown063-087 X(25) AN FIRST NAME OF POLITICALLY EXPOSED PERSON088-112 X(25) AN LAST NAME OF POLITICALLY EXPOSED PERSON113-116 X(04) AN SUFFIX OF POLITICALLY EXPOSED PERSON117-151 X(35) AN POLITICAL OFFICE HELD152-153 X(02) AN COUNTRY OF OFFICE; see Appendix Q, “ACCT Codes andValues”COPIED FROM RECORD A, position 673-673154-154 X(01) AN FOREIGN BANK ACCOUNT INDICATOR; acceptablevalues include:“Y” = Account is a foreign bank“N” = Account is not a foreign bank“U” = Unknown155-162 9(08) N FOREIGN BANK CERTIFICATION DATE =“CCYYMMDD”163-170 9(08) N FOREIGN BANK CERTIFICATION EXPIRATION DATE =“CCYYMMDD”171-171 X(01) AN CENTRAL BANK INDICATOR; acceptable values include:“Y” = Account is a foreign central bank“N” = Account is not a foreign central bank“U” = UnknownThe following field applies to Foreign Financial Institutions172-172 X(01) AN ACCOUNT FOR FOREIGN FINANCIAL INSTITUTION(non US Bank, non-US branch of US bank, broker dealer,futures merchant, commodities introducing broker, mutualfund, money transmitter or currency exchanger); valid valuesinclude:“Y” = Yes“N” = No“ ” = Not applicableThe following four fields apply to Foreign Banking173-173 X(01) AN FOREIGN BANK ACCOUNT OPERATING UNDEROFFSHORE BANKING LICENSE; acceptable values include:“Y” = Yes“N” = No“ ” = Not applicable174-174 X(01) AN FOREIGN BANK ACCOUNT OPERATING UNDER ABANKING LICENSE ISSUED BY A(cont.)ACCT/ACCFPage 27 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTIONNON-COOPERATIVE COUNTRY OR TERRITORY;values include:“Y” = Yes“N” = No“ ” = Not applicable175-175 X(01) AN FOREIGN BANK ACCOUNT OPERATING UNDER ABANKING LICENSE ISSUED BY A JURISDICTIONSUBJECT TO SECTION 311 MEASURES; values include:“Y” = Yes“N” = No“ ” = Not applicable176-177 9(02) N NUMBER OF PEOPLE OR ENTITIES THAT OWN 10% ORMORE OF THE BANK (IF THE BANK IS NOT PUBLICLYTRADED); acceptable values are 00 - 15178-181 X(04) AN Not UsedACCOUNT-LEVEL TELEPHONE NUMBERNote: Telephone numbers will appear in alphabetical order based on TELEPHONE TYPE ID.TELEPHONE NUMBER 1182-182 X(01) AN TELEPHONE 1 TRANSACTION CODE; values include:“X” or “ ” = Unchanged record“A” = Add telephone number“C” = Change existing telephone number183-183 X(01) AN US/INTERNATIONAL INDICATOR (1); (N/A for userdefinedaccounts); acceptable values include:“U” = US/Canada“F” = International184-184 X(01) AN TELEPHONE TYPE ID (1); acceptable values include:“B” = Business“C” = Cellular“E” = Beeper“F” = Fax“H” = Home“S” = Seasonal“T” = Telex“V” = Voice Mail185-232 X(48) AN TELEPHONE NUMBER (1)233-239 X(07) AN TELEPHONE EXTENSION (1) (N/A for user-definedaccounts)TELEPHONE NUMBER 2240-240 X(01) AN TELEPHONE 2 TRANSACTION CODE; values include:“X” or “ ” = Unchanged record“A” = Add telephone number“C” = Change existing telephone numberACCT/ACCFPage 28 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION241-241 X(01) AN US/INTERNATIONAL INDICATOR (2); (N/A for userdefinedaccounts); acceptable values include“U” = US/Canada“F” = International242-242 X(01) AN TELEPHONE TYPE ID (2); see TELEPHONE TYPE ID (1),position 184, for values243-290 X(48) AN TELEPHONE NUMBER (2)291-297 X(07) AN TELEPHONE EXTENSION (2)TELEPHONE NUMBER 3298-298 X(01) AN TELEPHONE 3 TRANSACTION CODE; values include:“X” or “ ” = Unchanged record“A” = Add telephone number“C” = Change existing telephone number299-299 X(01) AN US/INTERNATIONAL INDICATOR (3); acceptable valuesinclude:“U” = US/Canada“F” = International300-300 X(01) AN TELEPHONE TYPE ID (3); see TELEPHONE TYPE ID (1),position 184, for values301-348 X(48) AN TELEPHONE NUMBER (3)349-355 X(07) AN TELEPHONE EXTENSION (3)TELEPHONE NUMBER 4356-356 X(01) AN TELEPHONE 4 TRANSACTION CODE; values include:“X” or “ ” = Unchanged record“A” = Add telephone number“C” = Change existing telephone number357-357 X(01) AN US/INTERNATIONAL INDICATOR (4); acceptable valuesinclude“U” = US/Canada“F” = International358-358 X(01) AN TELEPHONE TYPE ID (4); see TELEPHONE TYPE ID (1),position 184, for values359-406 X(48) AN TELEPHONE NUMBER (4)407-413 X(07) AN TELEPHONE EXTENSION (4)TELPEHONE NUMBER 5414-414 X(01) AN TELEPHONE 5 TRANSACTION CODE; values include:“X” or “ ” = Unchanged record“A” = Add telephone number“C” = Change existing telephone number415-415 X(01) AN US/INTERNATIONAL INDICATOR (5); acceptable valuesinclude“U” = US/Canada“F” = InternationalACCT/ACCFPage 29 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION416-416 X(01) AN TELEPHONE TYPE ID (5); see TELEPHONE TYPE ID (1),position 184, for values417-464 X(48) AN TELEPHONE NUMBER (5)465-471 X(07) AN TELEPHONE EXTENSION (5)TELEPHONE NUMBER 6472-472 X(01) AN TELEPHONE 6 TRANSACTION CODE; values include:“X” or “ ” = Unchanged record“A” = Add telephone number“C” = Change existing telephone number473-473 X(01) AN US/INTERNATIONAL INDICATOR (6); values include“U” = US/Canada“F” = International474-474 X(01) AN TELEPHONE TYPE ID (6); see TELEPHONE TYPE ID (1),position 184, for values475-522 X(48) AN TELEPHONE NUMBER (6)523-529 X(07) AN TELEPHONE EXTENSION (6)TELEPHONE NUMBER 7530-530 X(01) AN TELEPHONE 7 TRANSACTION CODE; values include:“X” or “ ” = Unchanged record“A” = Add telephone number“C” = Change existing telephone number531-531 X(01) AN US/INTERNATIONAL INDICATOR (7); values include“U” = US/Canada“F” = International532-532 X(01) AN TELEPHONE TYPE ID (7); see TELEPHONE TYPE ID (1),position 184, for values533-580 X(48) AN TELEPHONE NUMBER (7)581-587 X(07) AN TELEPHONE EXTENSION (7)TELEPHONE NUMBER 8588-588 X(01) AN TELEPHONE 8 TRANSACTION CODE; values include:“X” or “ ” = Unchanged record“A” = Add telephone number“C” = Change existing telephone number589-589 X(01) AN US/INTERNATIONAL INDICATOR (8); acceptable valuesinclude“U” = US/Canada“F” = International590-590 X(01) AN TELEPHONE TYPE ID (8); see TELEPHONE TYPE ID (1),position 184, for values591-638 X(48) AN TELEPHONE NUMBER (8)639-645 X(07) AN TELEPHONE EXTENSION (8)646-695 X(50) AN E-MAIL ADDRESSACCT/ACCFPage 30 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION696-696 X(01) AN SHELL ACCOUNT INDICATOR; effective 01/2010;values include:“Y” = Account is a Shell Account“N” = Account is not a Shell Account (default)697-697 X(01) AN PURGE ELIGIBLE INDICATOR; effective 01/2010;values include:“Y” = Account is Purge Eligible (default)“N” = Account is not Purge Eligible698-749 X(52) AN Not Used750-750 X(01) AN Literally “X”; indicates the end of record WACCT/ACCFPage 31 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSDETAIL RECORD G – ACCOUNT HOLDER/PARTICIPANT INFORMATIONPOSITION PICTURE TYPE DESCRIPTION001-002 X(02) AN TRANSACTION CODE = “CI”003-003 X(01) AN RECORD INDICATOR VALUE = “G”004-011 9(08) N RECORD ID SEQUENCE NUMBER; begins with“00000001”012-020 X(09) AN ACCOUNT NUMBER INCLUDING OFFICE(3); BASEACCOUNT(5); CHECK DIGIT (1)021-023 X(03) AN INTRODUCING BROKER DEALER NUMBER024-024 X(01) AN Not Used025-027 X(03) AN INVESTMENT PROFESSIONAL NUMBER028-028 X(01) AN Not Used029-038 X(10) AN ACCOUNT SHORT NAME039-040 X(02) AN Not Used041-041 X(01) AN ACCOUNT HOLDER/PARTICIPANT TRANSACTIONCODE; acceptable values include:“X” or “ ” = Unchanged record“A” = Add Account Holder/Participant“C” = Change existing Account Holder/ParticipantACCOUNT HOLDER/PARTICIPANT SECONDARY IDENTIFIERS042-044 X(03) AN SEQUENCE NUMBER; valid values are 001 through 015045-047 X(03) AN ACCOUNT HOLDER TYPE; acceptable values include:“AH ” = Account Holder“B&R” = Books and Records participant“IPP” = Interested Party participant048-051 X(04) AN ACCOUNT HOLDER/PARTICIPANT (1) ROLE; forAccount Holder Roles and Participant Roles , see Appendix Q,“ACCT Codes and Values”ACCOUNT HOLDER/PARTICIPANT NAME AREA052-052 X(01) AN ACCOUNT HOLDER/PARTICIPANT (1) NAME TYPE;acceptable values include:“I” = Individual (Formatted)“E” = Entity (Free-form text or no name on file)“M” = Memo (for Interested Party Type only – free-form text)053-084 X(32) AN ACCOUNT HOLDER/PARTICIPANT (1) PREFIX/SUFFIXor ENTITY NAME / MEMO FREE-FORM LINE 1; if NAMETYPE = “I,” then one of the following values using the first 4characters of the field will be used; the second 4 characters canbe used for a suffix, and remaining 24 characters will be blank;acceptable values include:“ ”“DR ” (cont.)ACCT/ACCFPage 32 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITIONPICTURETYPEDESCRIPTION“MDM ”“MR ”“MS ”“MRS ”“SIR ”If NAME TYPE = “E” OR “M” then it will be free-form textand can be blank085-116 X(32) AN ACCOUNT HOLDER/PARTICIPANT (1) FIRST NAME orENTITY NAME / MEMO FREE-FORM LINE 2; if NAMETYPE = “I” then this field will contain the first name; ifNAME TYPE = “E” or “M” then, it will be free-form text andcan be blank117-148 X(32) AN ACCOUNT HOLDER/PARTICIPANT (1) MIDDLEINITIAL/NAME or ENTITY NAME / MEMO FREE-FORMLINE 3; if NAME TYPE = “I,” then this field will contain themiddle initial/name; if NAME TYPE = “E” or “M” then it willbe free-form text and can be blank149-180 X(32) AN ACCOUNT HOLDER/PARTICIPANT (1) LAST NAME orENTITY NAME / MEMO FREE-FORM LINE 4; if NAMETYPE = “I,” then this field will contain the last name; ifNAME TYPE = “E” or “M” then it will be free-form text andcan be blankACCOUNT HOLDER/PARTICIPANT ADDRESS AREA (FIRST)181-181 X(01) AN DELIVERY IDENTIFIER; defines the type of address thatfollows; acceptable values include:“M” = Legal“L” = Mailing“D” = Dual (Legal and Mailing addresses are the same for thisparticipant and are displayed for this iteration only)182-182 X(01) AN SPECIAL HANDLING INDICATOR; acceptable valuesinclude:“N” = No special handling (default value)“Y” = Special handling required (mandatory for internationaladdresses)183-186 X(04) AN ATTENTION LINE PREFIX; acceptable values include:“ATTN” = Attention of“C/O ” = Care of“ ” = May be blank in user-titled accounts187-214 X(28) AN ATTENTION LINE DETAIL215-246 X(32) AN STREET ADDRESS LINE 1 or MEMO FREE-FORM LINE 5247-278 X(32) AN STREET ADDRESS LINE 2 or MEMO FREE-FORM LINE 6279-310 X(32) AN STREET ADDRESS LINE 3; only if ATTENTION LINE isspaces311-342 X(32) AN STREET ADDRESS LINE 4; only if country is not US orCanadaACCT/ACCFPage 33 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION343-357 X(15) AN CITY; for US/Canada addresses only358-359 X(02) AN STATE; for US/Canada addresses only see Appendix Q,“ACCT Codes and Values”360-374 X(15) AN ZIP/POSTAL CODE; for US/Canada addresses only375-376 X(02) AN COUNTRY CODE; see Appendix Q, “ACCT Codes andValues”377-378 X(02) AN Not UsedACCOUNT HOLDER/PARTICIPANT ADDRESS AREA (SECOND)379-379 X(01) AN DELIVERY IDENTIFIER; defines the type of address thatfollows; acceptable values include:“M” = Legal“L” = Mailing380-380 X(01) AN SPECIAL HANDLING INDICATOR; acceptable valuesinclude:“N” = No special handling (default value)“Y” = Special handling required (mandatory for internationaladdresses)381-384 X(04) AN ATTENTION LINE PREFIX; acceptable values include:“ATTN” = Attention of“C/O” = Care of“ ” = May be blank in user-titled accounts385-412 X(28) AN ATTENTION LINE DETAIL413-444 X(32) AN STREET ADDRESS LINE 1445-476 X(32) AN STREET ADDRESS LINE 2477-508 X(32) AN STREET ADDRESS LINE 3; only if ATTENTION LINE isspaces509-540 X(32) AN STREET ADDRESS LINE 4; only if country is not US orCanada541-555 X(15) AN CITY; for US/Canada addresses only556-557 X(02) AN STATE; for US/Canadian addresses only; see Appendix Q,“ACCT Codes and Values”558-572 X(15) AN ZIP/POSTAL CODE; for US/Canada addresses only573-574 X(02) AN COUNTRY CODE; see Appendix Q, “ACCT Codes andValues”575-576 X(02) AN Not UsedACCOUNT HOLDER/PARTICIPANT INFORMATION (includes USA PATRIOT ACT account information)577-577 X(01) AN NATURAL/NON-NATURAL INDICATOR; acceptablevalues include:“I” = Individual/Person\“E” = Entity/Business/Nonperson“U” = Unknown“M” = Memo578-578 X(01) AN CONFIRMATION RECEIPT INDICATOR; (cont.)ACCT/ACCFPage 34 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTIONacceptable values include:“Y” = Receives Confirmations“N” = Does Not Receive Confirmations579-579 X(01) AN STATEMENT RECEIPT INDICATOR; acceptable valuesinclude:“Y” = Receives Statements“N” = Does Not Receive Statements580-581 9(02) N YEARS OF INVESTMENT EXPERIENCE; values 00-99582-582 X(01) AN GENDER; acceptable values include:“F” = Female“M” = Male“N” = Not applicable (i.e., Account Holder is Corporate Entity)“U” = Unknown/Undetermined583-583 X(01) AN PROXY INDICATOR; acceptable values include:“Y” = Yes“N” = No584-591 9(08) N ACCOUNT HOLDER/PARTICIPANT’S BIRTH DATE =“CCYYMMDD”592-593 X(02) AN ACCOUNT HOLDER/PARTICIPANT COUNTRY OFCITIZENSHIP; see Appendix Q, “ACCT Codes and Values”594-595 X(02) AN ACCOUNT HOLDER/PARTICIPANT COUNTRY OFRESIDENCE; see Appendix Q, “ACCT Codes and Values”596-599 X(04) AN IDENTITY VERIFICATION METHOD; values include:“ ”= Information not Provided to Pershing“CDCR” = Compliance Data Center Inc. Report“RDCR” = Regulatory Data Corporation Report“INVR” = Internal Review“OTHR” = Other Identification VendorID VERIFICATION COMMENTS CAN BE FOUND IN RECORD X, position 519-568600-600 X(01) AN TAX ID TYPE; acceptable values include:“A” = Applied for“N” = Not applicable“S” = Social Security Number“T” = Taxpayer Identification Number601-609 X(09) AN TAX ID NUMBER610-610 X(01) AN TAX EXEMPTION INDICATOR; acceptable values include:“Y” = Yes“N” = No611-611 X(01) AN W9 ON FILE; acceptable values include:“Y” = Yes“N” = No612-615 X(04) AN CUSTOMER BANK CODE; for third-party custodian; IBDdrivenACCT/ACCFPage 35 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION616-647 X(32) AN CORPORATE/BUSINESS ID; for non-natural person only648-649 X(02) AN COUNTRY OF THE FORMATION ORGANIZATION; fornon-natural person only; see Appendix Q, “ACCT Codes andValues”650-651 X(02) AN STATE OF INCORPORATION/ORGANIZATION; for nonnaturalperson only; see Appendix Q, “ACCT Codes andValues”EMPLOYMENT INFORMATION (NEXT FOUR FIELDS COPIED TO RECORD X FOR EASE OF USE)652-652 X(01) AN EMPLOYEE OF THIS IBD; acceptable values include:“Y” = Yes; the holder/participant is an employee of this IBD“N” = No; the holder/participant is not an employee of thisIBD“U” = Unknown653-653 X(01) AN RELATED TO EMPLOYEE OF THIS IBD; acceptable valuesinclude:“Y” = Yes; the holder/participant is related to anemployee of this IBD“N” = No; the holder/participant is not related to anemployee of this IBD“U” = Unknown654-654 X(01) AN EMPLOYEE OF ANOTHER IBD; acceptable values include:“ ” = Not applicable“Y” = Yes; the holder/participant is an employee of anotherIBD“N” = No; the holder/participant is not an employeeanother of IBD“U” = Unknown655-655 X(01) AN RELATED TO EMPLOYEE OF ANOTHER IBD; acceptablevalues include:“ ” = Not applicable“Y” = Yes; the holder/participant is related to an employee ofanother IBD“N” = No; the holder/participant is not related to an employeeof another IBD“U” = Unknown656-659 X(04) AN EMPLOYMENT STATUS CODE; acceptable values include:“ ” = Not applicable“EMPL” = Employed“SEMP” = Self-Employed“RETD” = Retired“UEMP” = Unemployed“HOME” = Homemaker“STDT” = StudentACCT/ACCFPage 36 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION660-674 X(15) AN OCCUPATION; free-form field; can be blank675-678 X(04) AN TAX BRACKET; acceptable values include:“ ” = Not applicable“LWTB” = 0-15%“MDTB” = 15.1-32%“HITB” = 32.1-50%“TPTB” = 50.1%+679-680 9(02) N YEARS EMPLOYED681-715 X(35) AN TYPE OF BUSINESS716-747 X(32) AN EMPLOYER NAME748-748 X(01) AN Not Used749-749 X(01) AN MARITAL STATUS; acceptable values include:“M” = Married“S” = Unmarried“N” = Not applicable (i.e., the Account Holder is a CorporateEntity) or Not Available (Marital Status is notAvailable on Interested Party) (Account Holder Type,Pos. 45 = “IPP” data)“U” = Unknown/Undetermined750-750 X(01) AN Literally “X”; indicates the end of record GACCT/ACCFPage 37 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSDETAIL RECORD H – ACCOUNT HOLDER/PARTICIPANT INFORMATIONPOSITION PICTURE TYPE DESCRIPTION001-002 X(02) AN TRANSACTION CODE = “CI”003-003 X(01) AN RECORD INDICATOR VALUE = “H”004-011 9(08) N RECORD ID SEQUENCE NUMBER; begins with“00000001”012-020 X(09) AN ACCOUNT NUMBER INCLUDING OFFICE(3); BASEACCOUNT(5); CHECK DIGIT (1)021-023 X(03) AN INTRODUCING BROKER DEALER NUMBER024-024 X(01) AN Not Used025-027 X(03) AN INVESTMENT PROFESSIONAL NUMBER028-028 X(01) AN Not Used029-038 X(10) AN ACCOUNT SHORT NAME039-040 X(02) AN Not Used041-041 X(01) AN ACCOUNT HOLDER/ PARTICIPANT TRANSACTIONCODE; values include:“X” or “ ” = Unchanged record“A” = Add Account Holder/Participant“C” = Change existing Account Holder/ParticipantACCOUNT HOLDER/PARTICIPANT SECONDARY IDENTIFIERS042-044 X(03) AN SEQUENCE NUMBER; valid values are 001 through 015045-047 X(03) AN ACCOUNT HOLDER TYPE; values include:“AH ” = Account Holder“B&R” = Books and Records participant“IPP” = Interested Party participantBOOKS AND RECORDS DETAILS048-048 X(01) AN JOINT ACCOUNT INCOME/NET WORTH INDICATOR;values include:“Y” = Combined and reported on account level; displayed onfirst Account Holder/Participant only“N” = Reported on individual Account Holder/Participant level049-066 9(16)v9(02) N MINIMUM ANNUAL INCOME AMOUNT067-084 9(16)v9(02) N MAXIMUM ANNUAL INCOME AMOUNT085-102 9(16)v9(02) N MINIMUM NET WORTH AMOUNT103-120 9(16)v9(02) N MAXIMUM NET WORTH AMOUNTTELEPHONE NUMBER (UP TO 7 TIMES)Note: Telephone numbers will appear in alphabetical order based on TELEPHONE TYPE IDTELEPHONE NUMBER 1121-121 X(01) AN TELEPHONE 1 TRANSACTION CODE; values include:“X” or “ ” = Unchanged record“A” = Add telephone number“C” = Change existing telephone numberACCT/ACCFPage 38 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION122-122 X(01) AN US/INTERNATIONAL INDICATOR (1); values include:“U” = US/Canada“F” = International123-123 X(01) AN TELEPHONE TYPE ID (1); values include:“B” = Business“C” = Cellular“E” = Beeper“F” = Fax“H” = Home“S” = Seasonal“T” = Telex“V” = Voice Mail124-171 X(48) AN TELEPHONE NUMBER (1)172-178 X(07) AN TELEPHONE EXTENSION (1)TELEPHONE NUMBER 2179-179 X(01) AN TELEPHONE 2 TRANSACTION CODE; values include:“X” or “ ” = Unchanged record“A” = Add telephone number“C” = Change existing telephone number180-180 X(01) AN US/INTERNATIONAL INDICATOR (2); values include:“U” = US/Canada“F” = International181-181 X(01) AN TELEPHONE TYPE ID (2); see TELEPHONE TYPE ID (1),position 123, for values182-229 X(48) AN TELEPHONE NUMBER (2)230-236 X(07) AN TELEPHONE EXTENSION (2)TELEPHONE NUMBER 3237-237 X(01) AN TELEPHONE 3 TRANSACTION CODE; values include:“X” or “ ” = Unchanged record“A” = Add telephone number“C” = Change existing telephone number238-238 X(01) AN US/INTERNATIONAL INDICATOR (3); values include:“U” = US/Canada“F” = International239-239 X(01) AN TELEPHONE TYPE ID (3); see TELEPHONE TYPE ID (1),position 123, for values240-287 X(48) AN TELEPHONE NUMBER (3)288-294 X(07) AN TELEPHONE EXTENSION (3)TELEPHONE NUMBER 4295-295 X(01) AN TELEPHONE 4 TRANSACTION CODE; values include:“X” or “ ” = Unchanged record“A” = Add telephone number(cont.)ACCT/ACCFPage 39 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION“C” = Change existing telephone number296-296 X(01) AN US/INTERNATIONAL INDICATOR (4); values include:“U” = US/Canada“F” = International297-297 X(01) AN TELEPHONE TYPE ID (4); see TELEPHONE TYPE ID (1),position 123, for values298-345 X(48) AN TELEPHONE NUMBER (4)346-352 X(07) AN TELEPHONE EXTENSION (4)TELEPHONE NUMBER 5353-353 X(01) AN TELEPHONE 5 TRANSACTION CODE; values include:“X” or “ ” = Unchanged record“A” = Add telephone number“C” = Change existing telephone number354-354 X(01) AN US/INTERNATIONAL INDICATOR (5); values include:“U” = US/Canada“F” = International355-355 X(01) AN TELEPHONE TYPE ID (5); see TELEPHONE TYPE ID (1),position 123, for values356-403 X(48) AN TELEPHONE NUMBER (5)404-410 X(07) AN TELEPHONE EXTENSION (5)TELEPHONE NUMBER 6411-411 X(01) AN TELEPHONE 6 TRANSACTION CODE; values include:“X” or “ ” = Unchanged record“A” = Add telephone number“C” = Change existing telephone number412-412 X(01) AN US/INTERNATIONAL INDICATOR (6); values include:“U” = US/Canada“F” = International413-413 X(01) AN TELEPHONE TYPE ID (6); see TELEPHONE TYPE ID (1),position 123, for values414-461 X(48) AN TELEPHONE NUMBER (6)462-468 X(07) AN TELEPHONE EXTENSION (6)TELEPHONE NUMBER 7469-469 X(01) AN TELEPHONE 7 TRANSACTION CODE; values include:“X” or “ ” = Unchanged record“A” = Add telephone number“C” = Change existing telephone number470-470 X(01) AN US/INTERNATIONAL INDICATOR (7); values include:“U” = US/Canada“F” = International471-471 X(01) AN TELEPHONE TYPE ID (7); see TELEPHONE TYPE ID (1),position 123, for valuesACCT/ACCFPage 40 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION472-519 X(48) AN TELEPHONE NUMBER (7)520-526 X(07) AN TELEPHONE EXTENSION (7)527-527 X(01) AN CONSOLIDATED LIQUID NET WORTH INDICATOR;values include:“Y” = Combined and report on Account level; displayed onfirst Account Holder/Participant only“N” = Reported on Individual Account Holder/Participant level528-545 9(16)v9(02) N MINIMUM LIQUID NET WORTH AMOUNT546-563 9(16)v9(02) N MAXIMUM LIQUID NET WORTH AMOUNT564-568 X(05) AN Not Used569-572 X(04) AN ACCOUNT HOLDER/PARTICIPANT ROLE CODE; forAccount Holder Roles and Participant Roles, see Appendix Q,“ACCT Codes and Values”573-584 X(12) AN Not UsedE-MAIL INFORMATION585-634 X(50) AN E-MAIL ADDRESSADDITIONAL PATRIOT ACT INFORMATION635-638 X(04) AN TYPE OF UNEXPIRED PHOTO GOVERNMENT ID (1);acceptable values include:“ ” = Information not provided to Pershing“DRVR” = Driver’s License“PASS” = Passport“ALEN” = Alien Registration Number“STID” = State Identification Card“NATL” = National Identification Card“MLTY” = Military Card“GREN” = Green Card“VISA” = VISA ® Number“CDLA” = Cedula Card“INSI” = INS Card“OGVT” = Other Government Identification“CORP” = Corporate Identification639-670 X(32) AN UNEXPIRED PHOTO GOVERNMENT ID NUMBER (1)671-672 X(02) AN COUNTRY OF UNEXPIRED PHOTO GOVERNMENT ID(1); see Appendix Q, “ACCT Codes and Values”673-674 X(02) AN STATE/PROVINCE OF UNEXPIRED PHOTOGOVERNMENT ID (1); see Appendix Q, “ACCT Codes andValues”675-682 9(08) N EXPIRATION DATE OF UNEXPIRED GOVERNMENTPHOTO ID (1) = “CCYYMMDD”683-690 9(08) N ISSUANCE DATE OF UNEXPIRED GOVERNMENTPHOTO ID/CORPORATE BUSINESS ID (1) =“CCYYMMDD”ACCT/ACCFPage 41 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION691-694 X(04) AN TYPE OF UNEXPIRED PHOTO GOVERNMENT ID (2 seeTYPE OF UNEXPIRED PHOTO GOVERNMENT ID (1),position 635-638, for values695-726 X(32) AN UNEXPIRED PHOTO GOVERNMENT ID NUMBER (2)727-728 X(02) AN COUNTRY OF UNEXPIRED PHOTO GOVERNMENT ID(2); see Appendix Q, “ACCT Codes and Values”729-730 X(02) AN STATE/PRIMARY SUBDIVISION OF UNEXPIREDPHOTO GOVERNMENT ID (2); see Appendix Q, “ACCTCodes and Values”731-738 9(08) N EXPIRATION DATE OF UNEXPIRED GOVERNMENTPHOTO ID (2) = “CCYYMMDD”739-746 9(08) N ISSUANCE DATE OF UNEXPIRED GOVERNMENTPHOTO ID (2) = “CCYYMMDD”747-749 X(03) AN Not Used750-750 X(01) AN Literally “X”; indicates the end of record HACCT/ACCFPage 42 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSDETAIL RECORD X – ADDITIONAL ACCOUNT HOLDER/PARTICIPANT-LEVELINFORMATIONPOSITION PICTURE TYPE DESCRIPTION001-002 X(02) AN TRANSACTION CODE = “CI”003-003 X(01) AN RECORD INDICATOR VALUE = “X”004-011 9(08) N RECORD ID SEQUENCE NUMBER; begins with“00000001”012-020 X(09) AN ACCOUNT NUMBER INCLUDING OFFICE(3); BASEACCOUNT(5); CHECK DIGIT (1)021-023 X(03) AN INTRODUCING BROKER DEALER NUMBER024-024 X(01) AN Not Used025-027 X(03) AN INVESTMENT PROFESSIONAL NUMBER028-028 X(01) AN Not Used029-038 X(10) AN ACCOUNT SHORT NAME039-040 X(02) AN Not UsedNEW ACCOUNT HOLDER INFORMATION041-041 X(01) AN RECORD TRANSACTION CODE; acceptable values include:“X” or “ ”= Unchanged record“A” = Add Account Holder/Participant“C” = Change existing Account Holder/ParticipantACCOUNT HOLDER/PARTICIPANT SECONDARY IDENTIFIERS042-044 X(03) AN SEQUENCE NUMBER; valid values are 001 through 015045-047 X(03) AN ACCOUNT HOLDER TYPE; acceptable values include:“AH ” = Account Holder“B&R” = Books and Records participant“IPP” = Interested Party participantEMPLOYER ADDRESS AREA048-049 X(02) AN Not Used050-053 X(04) AN ATTENTION LINE PREFIX; acceptable values include:“ATTN” = Attention of“C/O” = Care of“ ” = May be blank in user-titled accounts054-081 X(28) AN ATTENTION LINE DETAIL082-113 X(32) AN ADDRESS LINE 1114-145 X(32) AN ADDRESS LINE 2146-177 X(32) AN ADDRESS LINE 3; only if ATTENTION LINE is spaces178-209 X(32) AN ADDRESS LINE 4; only if country is not US or Canada210-224 X(15) AN CITY; for US/Canada addresses only225-226 X(02) AN STATE; for US/Canada addresses only; see Appendix Q,“ACCT Codes and Values”227-241 X(15) AN ZIP/POSTAL CODE; for US/Canada addresses onlyACCT/ACCFPage 43 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION242-243 X(02) AN COUNTRY CODE; see Appendix Q, “ACCT Codes andValues”244-245 X(02) AN Not UsedEMPLOYMENT and AFFILIATION INFORMATIONCOPIED FROM RECORD G, position 652-652 – EMPLOYEE/THIS IBD246-246 X(01) AN EMPLOYEE OF THIS IBD; acceptable values include:“Y” = the holder/participant is an employee of this IBD“N” = the holder/participant is not an employee of this IBD“U” = UnknownCOPIED FROM RECORD G, position 653-653 – RELATED TO EMPLOYEE/THIS IBD247-247 X(01) AN RELATED TO EMPLOYEE OF THIS IBD; acceptable valuesinclude:“Y” = the holder/participant is related to an employee ofthis IBD“N” = the holder/participant is not related to an employeeof this IBD“U” = Unknown248-272 X(25) AN EMPLOYEE FIRST NAME273-297 X(25) AN EMPLOYEE LAST NAME298-301 X(04) AN EMPLOYEE SUFFIX302-305 X(04) AN RELATIONSHIP TO EMPLOYEE; acceptable values include:“A ” = Aunt“B ” = Brother“D ” = Daughter“DP” = Domestic partner“F ” = Father“FL“GF“GM“GD“GS” = Father-in-law” = Grandfather” = Grandmother” = Granddaughter” = Grandson“M ” = Mother“ML“NE“NI“OI“SI“SO“SP” = Mother-in-law” = Nephew” = Niece” = Other Individual” = Sister” = Son” = Spouse“U ” = UncleCOPIED FROM RECORD G, position 654-654 – EMPLOYEE/ANOTHER IBDACCT/ACCFPage 44 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION306-306 X(01) AN EMPLOYEE OF ANOTHER IBD; acceptable values include:307-326 X(20) AN IBD NAME“ ” = Not applicable“Y” = the holder/participant is an employee of another IBD“N” = the holder/participant is not an employee of another IBD“U” = UnknownCOPIED FROM RECORD G, position 655-655 – RELATED TO EMPLOYEE/ANOTHER IBD327-327 X(01) AN RELATED TO EMPLOYEE OF ANOTHER IBD; acceptablevalues include:328-347 X(20) AN IBD NAME348-372 X(25) AN EMPLOYEE FIRST NAME373-397 X(25) AN EMPLOYEE LAST NAME398-401 X(04) AN EMPLOYEE SUFFIX“ ” = Not applicable“Y” = the holder/participant is related to an employee ofanother IBD“N” = the holder/participant is not related to an employeeof another IBD“U” = Unknown402-405 X(04) AN RELATIONSHIP TO EMPLOYEE OF ANOTHER IBD; seeRELATIONSHIP TO EMPLOYEE, position 302-305, forvalues406-406 X(01) AN OTHER BROKERAGE ACCOUNTS; values include:“ ” = Not applicable or available“Y” = the holder/participant maintains other brokerageaccounts“N” = the holder/participant does not maintain otherbrokerage accounts407-426 X(20) AN NAME OF IBD WHERE ACCOUNT HELD427-427 X(01) AN HOLDER/PARTICIPANT or IMMEDIATE FAMILYMEMBER AFFILIATED WITH or EMPLOYED BYMEMBER OF STOCK EXCHANGE or NASD; acceptablevalues include:“ ” = Not applicable or available“Y” = is affiliated or employed“N” = is not affiliated or employed428-472 X(45) AN AFFILIATION473-473 X(01) AN HOLDER/PARTICIPANT A SENIOR OFFICER,DIRECTOR, or 10%+ SHAREHOLDER OF A PUBLICCOMPANY; acceptable values include:“ ” = Not applicable or available“Y” = the holder/participant is a senior officer, (cont.)director, or 10%+ shareholder of a public companyACCT/ACCFPage 45 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION“N” = the holder/participant is not a senior officer,director, or 10%+ shareholder of a public company474-518 X(45) AN NAME OF PUBLIC COMPANYACCOUNT HOLDER/PARTICIPANT- LEVEL PATRIOT ACT ID VERIFICATION COMMENTS519-568 X(50) AN ID VERIFICATION COMMENTS (FREEFORM)569-572 X(04) AN ACCOUNT HOLDER/PARTICIPANT ROLE CODE; forAccount Holder Roles and Participant Roles , see Appendix Q,“ACCT Codes and Values”573-590 9(09)v9(09) N BENEFICIARY PERCENT ALLOCATION (applicable onlyto beneficiaries on TODI and TODJ accounts); effective01/2010591-749 X(159) AN Not Used750-750 X(01) AN Literally “X”; indicates the end of record “X”ACCT/ACCFPage 46 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSDETAIL RECORD I – CUSTOM DATA FIELDSPOSITION PICTURE TYPE DESCRIPTION001-002 X(02) AN TRANSACTION CODE = “CI”003-003 X(01) AN RECORD INDICATOR VALUE = “I”004-011 9(08) N RECORD ID SEQUENCE NUMBER; begins with“00000001”012-020 X(09) AN ACCOUNT NUMBER INCLUDING OFFICE(3); BASEACCOUNT(5); CHECK DIGIT (1)021-023 X(03) AN INTRODUCING BROKER DEALER NUMBER024-024 X(01) AN Not Used025-027 X(03) AN INVESTMENT PROFESSIONAL NUMBER028-028 X(01) AN Not Used029-038 X(10) AN ACCOUNT SHORT NAME039-040 X(02) AN Not Used041-041 X(01) AN CUSTOM FIELD 1 TRANSACTION CODE; acceptablevalues include:“X” or “ ” = Unchanged record“A” = Add new Custom Field“C” = Change existing Custom FieldCUSTOM FIELD 1(Reserved for DDA Number for existing Pershing customers who have previously reserved it)042-073 X(32) AN CUSTOM FIELD (1) LABEL074-105 X(32) AN CUSTOM FIELD (1) DETAIL TEXT106-106 X(01) AN CUSTOM FIELD (1) STATUS INDICATOR; for fields 1-15;acceptable values include:“A” = Active“D” = Deleted“L” = Disabled107-107 X(01) AN Not UsedCUSTOM FIELD 2(Reserved for Account Mnemonic for existing Pershing customers who have previously reserved it)108-139 X(32) AN CUSTOM FIELD (2) LABEL140-171 X(32) AN CUSTOM FIELD (2) DETAIL TEXT172-172 X(01) AN CUSTOM FIELD (2) STATUS INDICATOR173-173 X(01) AN Not UsedCUSTOM FIELD 3(Reserved for Master Mnemonic for existing Pershing customers who have previously reserved it)174-205 X(32) AN CUSTOM FIELD (3) LABEL206-237 X(32) AN CUSTOM FIELD (3) DETAIL TEXT238-238 X(01) AN CUSTOM FIELD (3) STATUS INDICATOR239-239 X(01) AN Not UsedACCT/ACCFPage 47 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTIONCUSTOM FIELD 4(Reserved for Bank Account Number for existing Pershing customers who have previously reserved it)240-271 X(32) AN CUSTOM FIELD (4) LABEL272-303 X(32) AN CUSTOM FIELD (4) DETAIL TEXT304-304 X(01) AN CUSTOM FIELD (4) STATUS INDICATOR305-305 X(01) AN Not UsedCUSTOM FIELD 5306-337 X(32) AN CUSTOM FIELD (5) LABEL338-369 X(32) AN CUSTOM FIELD (5) DETAIL TEXT370-370 X(01) AN CUSTOM FIELD (5) STATUS INDICATOR371-371 X(01) AN Not UsedCUSTOM FIELD 6372-403 X(32) AN CUSTOM FIELD (6) LABEL404-435 X(32) AN CUSTOM FIELD (6) DETAIL TEXT436-436 X(01) AN CUSTOM FIELD (6) STATUS INDICATOR437-437 X(01) AN Not UsedCUSTOM FIELD 7438-469 X(32) AN CUSTOM FIELD (7) LABEL470-501 X(32) AN CUSTOM FIELD (7) DETAIL TEXT502-502 X(01) AN CUSTOM FIELD (7) STATUS INDICATOR503-503 X(01) AN Not UsedCUSTOM FIELD 8504-535 X(32) AN CUSTOM FIELD (8) LABEL536-567 X(32) AN CUSTOM FIELD (8) DETAIL TEXT568-568 X(01) AN CUSTOM FIELD (8) STATUS INDICATOR569-569 X(01) AN Not UsedCUSTOM FIELD 9570-601 X(32) AN CUSTOM FIELD (9) LABEL602-633 X(32) AN CUSTOM FIELD (9) DETAIL TEXT634-634 X(01) AN CUSTOM FIELD (9) STATUS INDICATOR635-635 X(01) AN Not UsedCUSTOM FIELD 10636-667 X(32) AN CUSTOM FIELD (10) LABEL668-699 X(32) AN CUSTOM FIELD (10) DETAIL TEXT700-700 X(01) AN CUSTOM FIELD (10) STATUS INDICATOR701-749 X(49) AN Not Used750-750 X(01) AN Literally “X”; indicates the end of record IACCT/ACCFPage 48 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSDETAIL RECORD J – CUSTOM DATA FIELDS 11-15POSITION PICTURE TYPE DESCRIPTION001-002 X(02) AN TRANSACTION CODE = “CI”003-003 X(01) AN RECORD INDICATOR VALUE = “J”004-011 9(08) N RECORD ID SEQUENCE NUMBER; begins with“00000001”012-020 X(09) AN ACCOUNT NUMBER INCLUDING OFFICE(3); BASEACCOUNT(5); CHECK DIGIT (1)021-023 X(03) AN INTRODUCING BROKER DEALER NUMBER024-024 X(01) AN Not Used025-027 X(03) AN INVESTMENT PROFESSIONAL NUMBER028-028 X(01) AN Not Used029-038 X(10) AN ACCOUNT SHORT NAME039-040 X(02) AN Not Used041-041 X(01) AN CUSTOM FIELD 2 TRANSACTION CODE; acceptablevalues include:“X” or “ ” = Unchanged record“A” = Add new Custom Field“C” = Change existing Custom FieldCUSTOM FIELD 11042-073 X(32) AN CUSTOM FIELD (11) LABEL074-105 X(32) AN CUSTOM FIELD (11) DETAIL TEXT106-106 X(01) AN CUSTOM FIELD (11) STATUS INDICATOR107-107 X(01) AN Not UsedCUSTOM FIELD 12108-139 X(32) AN CUSTOM FIELD (12) LABEL140-171 X(32) AN CUSTOM FIELD (12) DETAIL TEXT172-172 X(01) AN CUSTOM FIELD (12) STATUS INDICATOR173-173 X(01) AN Not UsedCUSTOM FIELD 13174-205 X(32) AN CUSTOM FIELD (13) LABEL206-237 X(32) AN CUSTOM FIELD (13) DETAIL TEXT238-238 X(01) AN CUSTOM FIELD (13) STATUS INDICATOR239-239 X(01) AN Not UsedCUSTOM FIELD 14240-271 X(32) AN CUSTOM FIELD (14) LABEL272-303 X(32) AN CUSTOM FIELD (14) DETAIL TEXT304-304 X(01) AN CUSTOM FIELD (14) STATUS INDICATOR305-305 X(01) AN Not UsedACCT/ACCFPage 49 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTIONCUSTOM FIELD 15306-337 X(32) AN CUSTOM FIELD (15) LABEL338-369 X(32) AN CUSTOM FIELD (15) DETAIL TEXT370-370 X(01) AN CUSTOM FIELD (15) STATUS INDICATOR371-371 X(01) AN Not Used372-373 X(02) AN Not Used374-405 X(32) AN Not Used406-437 X(32) AN Not Used438-439 X(02) AN Not Used440-441 X(02) AN Not Used442-442 X(01) AN Not Used443-451 X(09) AN Not Used452-456 X(05) AN Not Used457-749 X(293) AN Not Used750-750 X(01) AN Literally “X”; indicates the end of record JACCT/ACCFPage 50 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSDETAIL RECORD M – CASH MANAGEMENT ACCOUNT INFORMATION (FIRST RECORD)POSITION PICTURE TYPE DESCRIPTION001-002 X(02) AN TRANSACTION CODE = “CI”003-003 X(01) AN RECORD INDICATOR VALUE = “M”004-011 9(08) N RECORD ID SEQUENCE NUMBER; begins with“00000001”012-020 X(09) AN ACCOUNT NUMBER INCLUDING OFFICE(3); BASEACCOUNT(5); CHECK DIGIT (1)021-023 X(03) AN INTRODUCING BROKER DEALER NUMBER024-024 X(01) AN Not Used025-027 X(03) AN INVESTMENT PROFESSIONAL NUMBER028-028 X(01) AN Not Used029-038 X(10) AN ACCOUNT SHORT NAME039-040 X(02) AN Not Used041-041 X(01) AN CASH MANAGEMENT TRANSACTION CODE; acceptablevalues include:“X” or “ ” = Unchanged record“A” = Add“C” = Change042-044 X(03) AN SEQUENCE NUMBER045-048 X(04) AN SWEEP STATUS INDICATOR; acceptable values include:“A ” = Active Sweep“C ” = Closed Sweep“I ” = Inactive Sweep“N ” = Non-Participant or No Sweep049-056 9(08) N DATE SWEEP ACTIVATED = “CCYYMMDD”057-064 9(08) N DATE SWEEP DETAILS CHANGED = “CCYYMMDD”065-065 X(01) AN COVER MARGIN DEBIT INDICATOR; values include:“Y” = Yes; sweep to cover margin debt“N” = No; do not sweep to cover margin debt066-066 X(01) AN Not UsedFIRST FUND SWEEP INFORMATION067-073 X(07) AN FIRST FUND SWEEP ACCOUNT ID074-091 9(09)v9(09) N FIRST FUND SWEEP ACCOUNT PERCENT092-092 X(01) AN FIRST FUND SWEEP ACCOUNT REDEMPTIONPRIORITY; acceptable values include:“ ” = When Sweep Status is blank“1” = Redeem this Fund first“2” = Redeem this Fund secondSECOND FUND SWEEP INFORMATION093-099 X(07) AN SECOND FUND SWEEP ACCOUNT IDACCT/ACCFPage 51 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION100-117 9(09)v9(09) N SECOND FUND SWEEP ACCOUNT PERCENT118-118 X(01) AN SECOND FUND SWEEP ACCOUNT REDEMPTIONPRIORITY; acceptable values include:“ ” = When Sweep Status is blank“1” = Redeem this Fund first“2” = Redeem this Fund secondBANKLINK SWEEP INFORMATION119-119 X(01) AN TYPE OF BANK ACCOUNT; acceptable values include:“C” = Checking“S” = Saving“N” = Not applicable120-128 X(09) AN BANKLINK ABA NUMBER129-145 X(17) AN BANKLINK DDA NUMBER146-148 X(03) AN Not UsedSRS/PERIODIC SWEEP INFORMATION149-149 X(01) AN TYPE OF BANK ACCOUNT; acceptable values include:“C” = Checking“S” = Savings“N” = Not applicable150-158 X(09) AN SRS/PERIODIC ABA NUMBER159-175 X(17) AN SRS/PERIODIC DDA NUMBER176-178 X(03) AN Not Used179-179 X(01) AN SRS PARTICIPATION STATUS; acceptable values include:“P” = Pending“Y” = Approved“N” = Not applicable180-187 9(08) N SRS DATE = “CCYYMMDD”188-188 X(01) AN PERIODIC STATUS; acceptable values include:“P” = Pending“Y” = Approved“N” = Not applicable189-196 9(08) N PERIODIC DATE = “CCYYMMDD”197-197 X(01) AN ACH CONTRIBUTION STATUS; acceptable values include:“P” = Pending“Y” = Approved“N” = Not applicable198-205 9(08) N ACH INITIAL CONTRIBUTION DATE = “CCYYMMDD”206-207 X(02) AN ACH CONTRIBUTION FREQUENCY; based on the IBD,other values than the ones listed may be displayed for thisfield; acceptable values include:“BM” = Bimonthly“M ” = Monthly (cont.)ACCT/ACCFPage 52 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION“SM” = Semimonthly“Q ” = Quarterly“SA” = Semiannually“A ” = Annually“NA” = Not applicable“ST” = Statement Month End“UR” = Upon Request“W1” = Weekly on Monday“W2” = Weekly on Tuesday“W3” = Weekly on Wednesday“W4” = Weekly on Thursday“W5” = Weekly on Friday208-225 9(16)v99 N ACH CONTRIBUTION AMOUNT226-226 X(01) AN Not Used227-234 9(08) N Not Used235-235 X(01) AN Not UsedAD HOC SWEEP INFORMATION236-236 X(01) AN TYPE OF BANK ACCOUNT; acceptable values include:“C” = Checking“S” = Savings“N” = Not applicable237-245 X(09) AN AD HOC ABA NUMBER246-262 X(17) AN AD HOC DDA NUMBER263-265 X(03) AN Not Used266-266 X(01) AN AD HOC STATUS; acceptable values include:“P” = Pending“Y” = Approved“N” = Not applicable267-274 9(08) N AD HOC DATE = “CCYYMMDD”; this is the Pending Dateif the AD HOC STATUS = “P”; this is the Approval Date ifthe AD HOC STATUS = “Y”INCOME DISTRIBUTION275-276 X(02) AN INCOME PAYMENT METHOD; acceptable values include:“C ” = Check“C1” = Third Party Check“D2” = ACH“P ” = Journal to Another Pershing Account“XX” = Suspended“NA” = Not applicable277-277 X(01) AN Not Used278-279 X(02) AN INCOME PAYMENT DISTRIBUTION FREQUENCY; basedon the IBD, other values than those listed below (cont.)ACCT/ACCFPage 53 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTIONmay be displayed for this field; values include:“BM” = Bimonthly“M ” = Monthly“SM” = Semimonthly“Q ” = Quarterly“SA” = Semiannually“A ” = Annually“ST” = Statement Month End“UR” = Upon Request“W1” = Weekly on Monday“W2” = Weekly on Tuesday“W3” = Weekly on Wednesday“W4” = Weekly on Thursday“W5” = Weekly on Friday“NA” = Only Valid if Income contains “ ”280-287 9(08) N INITIAL INCOME DISTRIBUTION DATE =“CCYYMMDD”288-295 X(08) AN Not Used296-297 X(02) AN STATE CODE FOR STATE TAX ON INCOME298-298 X(01) AN STATE INCOME TAX ELECTION; acceptable valuesinclude:“Y” = Yes; state income tax is elected“N” = No; state income tax is not elected299-316 9(09)v9(09) N STATE INCOME TAX PERCENT ON INCOME317-334 9(18) N Not Used335-335 X(01) AN Not Used336-336 X(01) AN FEDERAL INCOME TAX ELECTION; acceptable valuesinclude:“Y” = Yes; federal income tax is elected“N” = No; federal income tax is not elected337-354 9(09)v9(09) N FEDERAL INCOME TAX WITHHOLDING PERCENT ONINCOME355-372 9(18) N Not Used373-373 X(01) AN Not UsedTHIRD PARTY INCOME INFORMATION374-374 X(01) AN THIRD PARTY INCOME LOA RECEIPT INDICATOR;acceptable values include:“Y” = Yes; LOA received/approved“N” = No; LOA is pending“ ” = Not applicable375-382 9(08) N THIRD PARTY INCOME LOA DATE = “CCYYMMDD”383-383 X(01) AN THIRD PARTY INCOME CHECK INDICATOR; acceptablevalues include:(cont.)ACCT/ACCFPage 54 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION“E” = Entity“I” = Individual“M” = Memo“ ” = Not applicable“U” = Unknown384-415 X(32) AN THIRD PARTY INCOME PREFIX/ENTITY or MEMO LINE1; if THIRD PARTY INCOME CHECK INDICATOR = “I,”then one of the following values using the first four charactersof the field will be used; the second four characters can be usedfor a suffix, and the remaining 24 characters will be blank;acceptable values include:“ ”“DR ”“MDM ”“MS ”“MRS ”“SIR ”If THIRD PARTY INCOME CHECK INDICATOR = “M” or“E,” the information is free-form text416-447 X(32) AN THIRD PARTY INCOME FIRST NAME or ENTITY/MEMOLINE 2; if THIRD PARTY INCOME CHECK INDICATOR =“I,” then this field will contain the first name; if THIRDPARTY INCOME CHECK INDICATOR =“M” or “E,” then itwill be free-form text and can be blank448-479 X(32) AN THIRD PARTY INCOME MIDDLE INITIAL/NAME/MEMOLINE 3; if THIRD PARTY INCOME CHECK INDICATOR =“I,” then this field will contain the middle initial or name; ifTHIRD PARTY INCOME CHECK INDICATOR = ‘M,’ thenit will be free- form text and can be blank; if THIRD PARTYCHECK INDICATOR = “E,” this line is not used480-511 X(32) AN THIRD PARTY INCOME LAST NAME/MEMO LINE 4; ifTHIRD PARTY INCOME CHECK INDICATOR = “I,” thenthis field will contain the last name; if THIRD PARTYINCOME CHECK INDICATOR = “E,” this line is not used512-543 X(32) AN THIRD PARTY INCOME MEMO LINE 5; if THIRD PARTYINCOME CHECK INDICATOR = “M,” then it will be freeformtext and can be blank; if THIRD PARTY INCOMECHECK INDICATOR = “I” or “E,” this line is not used544-575 X(32) AN THIRD PARTY INCOME MEMO LINE 6; if THIRD PARTYINCOME CHECK INDICATOR = “M,” then it will be freeformtext and can be blank; if THIRD PARTY INCOMECHECK INDICATOR = “I” or “E,” this line is not used576-749 X(174) AN Not Used750-750 X(01) AN Literally “X”; this indicates the end of record MACCT/ACCFPage 55 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSDETAIL RECORD N – CASH MANAGEMENT ACCOUNT INFORMATION (SECOND RECORD)POSITION PICTURE TYPE DESCRIPTION001-002 X(02) AN TRANSACTION CODE = “CI”003-003 X(01) AN RECORD INDICATOR VALUE = “N”004-011 9(08) N RECORD ID SEQUENCE NUMBER; begins with“00000001”012-020 X(09) AN ACCOUNT NUMBER INCLUDING OFFICE(3); BASEACCOUNT(5); CHECK DIGIT (1)021-023 X(03) AN INTRODUCING BROKER DEALER NUMBER024-024 X(01) AN Not Used025-027 X(03) AN INVESTMENT PROFESSIONAL NUMBER028-028 X(01) AN Not Used029-038 X(10) AN ACCOUNT SHORT NAME039-041 X(03) AN Not Used042-044 X(03) AN SEQUENCE NUMBERTHIRD PARTY INCOME (3 RD PI) ADDRESS045-045 X(01) AN SPECIAL HANDLING INDICATOR; acceptable valuesinclude:“N” = No special handling (default value)“Y” = Special handling required (mandatory for foreignaddress)046-049 X(04) AN ATTENTION LINE PREFIX; acceptable values include:“ATTN” = Attention of“C/O ” = Care of“ ” = May be blank in user-titled accounts050-077 X(28) AN ATTENTION LINE DETAIL078-109 X(32) AN STREET ADDRESS LINE 1110-141 X(32) AN STREET ADDRESS LINE 2142-173 X(32) AN STREET ADDRESS LINE 3; only if ATTENTION LINE isblank174-205 X(32) AN STREET ADDRESS LINE 4; only if the country is not the USor Canada206-220 X(15) AN CITY; for US/Canada addresses only221-222 X(02) AN STATE; for US/Canada addresses only; see Appendix Q,“ACCT Codes and Values”223-237 X(15) AN ZIP/POSTAL CODE; for US/Canada addresses only238-239 X(02) AN COUNTRY CODE; see Appendix Q, “ACCT Codes andValues”240-240 X(01) AN Not Used241-248 9(08) N (3 rd PI) FIRST MAIL RETURN DATE = “CCYYMMDD”249-273 X(25) AN (3 rd PI) FIRST MAIL RETURN REASON274-281 9(08) N (3 rd PI) SECOND MAIL RETURN DATE = “CCYYMMDD”ACCT/ACCFPage 56 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION282-306 X(25) AN (3 rd PI) SECOND MAIL RETURN REASON307-314 9(08) N (3 rd PI) THIRD MAIL RETURN DATE = “CCYYMMDD”315-339 X(25) AN (3 rd PI) THIRD MAIL RETURN REASON340-341 X(02)PRINCIPAL DISTRIBUTIONAN342-342 X(01) AN Not UsedPRINCIPAL DISTRIBUTION METHOD; acceptable valuesinclude:“C ” = Check“C2” = 3 rd Party Check“D2” = ACH“P ” = Journal to another Pershing account“XX” = Suspended“NA” = Not applicable343-344 X(02) AN PRINCIPAL PAYMENT DISTRIBUTION FREQUENCY;based on the IBD, other values than the ones listed may bedisplayed; acceptable values include:“BM” = Bimonthly“M ” = Monthly“SM” = Semimonthly“Q ” = Quarterly“SA” = Semiannually“A ” = Annually“ST” = Statement Month End“UR” = Upon Request“W1” = Weekly on Monday“W2” = Weekly on Tuesday“W3” = Weekly on Wednesday“W4” = Weekly on Thursday“W5” = Weekly on Friday“NA” = Only Valid if Income = blank345-352 9(08)INITIAL PRINCIPAL DISTRIBUTION DATE =N“CCYYMMDD”353-360 9(08) N Not Used361-378 9(16)v99 N PRINCIPAL DISTRIBUTION AMOUNT379-379 X(01) AN Not Used380-397 9(18) N Not Used398-398 X(01) AN Not Used399-400 X(02) AN STATE CODE FOR STATE TAX ON PRINCIPAL401-401 X(01)STATE INCOME TAX ELECTION; acceptable valuesANinclude:“Y” = Yes; State income tax is elected“N” = No; State income tax is not electedACCT/ACCFPage 57 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION402-419 9(09)v9(09) N STATE INCOME TAX PERCENT ON PRINCIPAL420-437 9(18) N Not Used438-438 X(01) AN Not Used439-439 X(01)PRINCIPAL FEDERAL TAX ELECTION; acceptable valuesANinclude:“Y” = Yes; Federal principal tax is elected“N” = No; Federal principal tax is not elected440-457 9(09)v9(09)FEDERAL INCOME TAX WITHHOLDING PERCENT ONNPRINCIPAL458-475 9(18) N Not Used476-476 X(01) AN Not UsedTHIRD PARTY PRINCIPAL INFORMATION477-477 X(01) AN THIRD PARTY PRINCIPAL LOA RECEIPT INDICATOR;acceptable values include:“Y” = Yes; LOA Received/Approved“N” = No; LOA Pending“ ” = Not applicable478-485 9(08) N THIRD PARTY PRINCIPAL LOA DATE = “CCYYMMDD”486-486 X(01) AN THIRD PARTY PRINCIPAL INDICATOR; acceptable valuesinclude:“E” = Entity“I” = Individual“M” = Memo“ ” = Not applicable“U” = Unknown487-518 X(32) AN THIRD PARTY PRINCIPAL PREFIX or ENTITY/MEMOLINE 1; if THIRD PARTY PRINCIPAL CHECKINDICATOR = “I,” then one of the following using the firstfour characters of the field will be used; the second fourcharacters can be used for a suffix, and the remaining 24characters will be blank; acceptable values include:“ ”“DR ”“MDM ”“MR ”“MS ”“MRS :“SIR ”If THIRD PARTY PRINCIPAL CHECK INDICATOR = “M”or “E,” the information is free-form text519-550 X(32) AN THIRD PARTY PRINCIPAL FIRST NAME or ENTITY/MEMO LINE 2; if THIRD PARTY PRINCIPAL CHECKINDICATOR = “I,” then this field will contain the (cont.)ACCT/ACCFPage 58 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTIONfirst name; if THIRD PARTY PRINCIPAL CHECKINDICATOR =“M” or “E,” then it will be free-form text andcan be blank551-582 X(32) AN THIRD PARTY PRINCIPAL MIDDLEINITIAL/NAME/MEMO LINE 3; if THIRD PARTYPRINCIPAL CHECK INDICATOR = “I,” then this field willcontain the middle initial or name; if THIRD PARTYPRINCIPAL CHECK INDICATOR = “M,” then it will befree- form text and can be blank; if THIRD PARTYPRINCIPAL CHECK INDICATOR = “E,” this line is not used583-614 X(32) AN THIRD PARTY PRINCIPAL LAST NAME/MEMO LINE 4;if THIRD PARTY PRINCIPAL CHECK INDICATOR = “I,”then this field will contain the last name; if THIRD PARTYPRINCIPAL CHECK INDICATOR = “E,” this line is not used615-646 X(32) AN THIRD PARTY PRINCIPAL MEMO LINE 5; if THIRDPARTY PRINCIPAL CHECK INDICATOR = “M,” then itwill be free-form text and can be blank; if THIRD PARTYPRINCIPAL CHECK INDICATOR = “I” or “E,” this line isnot used647-678 X(32) AN THIRD PARTY PRINCIPAL MEMO LINE 6; if THIRDPARTY PRINCIPAL CHECK INDICATOR = “M,” then itwill be free-form text and can be blank; if THIRD PARTYPRINCIPAL CHECK INDICATOR = “I” or “E,” this line isnot used679-749 X(71) AN Not Used750-750 X(01) AN Literally “X”; indicates the end of record NACCT/ACCFPage 59 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSDETAIL RECORD O – CASH MANAGEMENT ACCOUNT INFORMATION (THIRD RECORD)POSITION PICTURE TYPE DESCRIPTION001-002 X(02) AN TRANSACTION CODE = “CI”003-003 X(01) AN RECORD INDICATOR VALUE = “O”004-011 9(08) N RECORD ID SEQUENCE NUMBER; begins with“00000001”012-020 X(09) AN ACCOUNT NUMBER INCLUDING OFFICE(3); BASEACCOUNT(5); CHECK DIGIT (1)021-023 X(03) AN INTRODUCING BROKER DEALER NUMBER024-024 X(01) AN Not Used025-027 X(03) AN INVESTMENT PROFESSIONAL NUMBER028-028 X(01) AN Not Used029-038 X(10) AN ACCOUNT SHORT NAME039-041 X(03) AN Not Used042-044 X(03) AN SEQUENCE NUMBERTHIRD PARTY PRINCIPAL (3 RD PP) ADDRESS045-045 X(01) AN SPECIAL HANDLING INDICATOR; acceptable valuesinclude:“N” = No special handling (default value)“Y” = Special handling required (mandatory for foreignaddress)046-049 X(04) AN ATTENTION LINE PREFIX; acceptable values include:“ATTN” = Attention of“C/O ” = Care of“ ” = May be blank in user-titled accounts050-077 X(28) AN ATTENTION LINE DETAIL078-109 X(32) AN STREET ADDRESS LINE 1110-141 X(32) AN STREET ADDRESS LINE 2142-173 X(32) AN STREET ADDRESS LINE 3; only if ATTENTION LINE isblank174-205 X(32) AN STREET ADDRESS LINE 4; only if the country is not the USor Canada206-220 X(15) AN CITY; for US/Canada addresses only221-222 X(02) AN STATE; for US/Canada addresses only; see Appendix Q,“ACCT Codes and Values”223-237 X(15) AN ZIP/POSTAL CODE; for US/Canada addresses only238-239 X(02) AN COUNTRY CODE; see Appendix Q, “ACCT Codes andValues”240-240 X(01) AN Not Used241-248 9(08) N (3 rd PP) FIRST MAIL RETURN DATE = “CCYYMMDD”249-273 X(25) AN (3 rd PP) FIRST MAIL RETURN REASON274-281 9(08) N (3 rd PP) SECOND MAIL RETURN DATE = “CCYYMMDD”ACCT/ACCFPage 60 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION282-306 X(25) AN (3 rd PP) SECOND MAIL RETURN REASON307-314 9(08) N (3 rd PP) THIRD MAIL RETURN DATE = “CCYYMMDD”315-339 X(25) AN (3 rd PP) THIRD MAIL RETURN REASONRETIREMENT ACCOUNT INFORMATION340-340 X(01) AN RETIREMENT DISTRIBUTION TYPE; acceptable valuesinclude:“B” = Retirement Death“D” = Retirement Disability“N” = Retirement Regular“P” = Retirement Premature“S” = Retirement Sub-equal Series“ ” = Not applicable341-341 X(01) AN DEPOSIT TYPE; acceptable values include:“P” = Participant Contribution“E” = Employer Contribution“ ” = Not applicable342-350 X(09) AN PERSHING ACCOUNT NUMBER FOR JOURNAL351-351 X(01) AN FUND/BANK INDICATOR; acceptable values include:“F” = Fund“B” = Bank352-352 X(01) AN IRA INDICATOR; acceptable values include:“Y” = IRA Account“N” = Non-IRA Account353-749 X(397) AN Not Used750-750 X(01) AN Literally “X”; indicates the end of record OACCT/ACCFPage 61 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSDETAIL RECORD P – COD ACCOUNT SETTLEMENT INFORMATIONPOSITION PICTURE TYPE DESCRIPTION001-002 X(02) AN TRANSACTION CODE = “CI”003-003 X(01) AN RECORD INDICATOR VALUE = “P”004-011 9(08) N RECORD ID SEQUENCE NUMBER; begins with“00000001”012-020 X(09) AN ACCOUNT NUMBER INCLUDING OFFICE(3); BASEACCOUNT(5); CHECK DIGIT (1)021-023 X(03) AN INTRODUCING BROKER DEALER NUMBER024-024 X(01) AN Not Used025-027 X(03) AN INVESTMENT PROFESSIONAL NUMBER028-028 X(01) AN Not Used029-038 X(10) AN ACCOUNT SHORT NAME039-040 X(02) AN Not UsedGENERAL INFORMATION041-046 X(06) AN PARENT ID047-054 X(08) AN INSTITUTION ID055-070 X(16) AN INSTITUTION (IA) ACCOUNT NUMBER071-078 X(08) AN ALERT ACRONYM079-090 X(12) AN ALERT ACCESS CODE091-091 X(01) AN CONFIRMATION OPTION; acceptable values include:“1” = Confirm Only (default for DTC)“7” = ID Confirm and Hard Copy; applicable to DTC only“3” = Hard Copy Confirm Only (default for non-DTC);applicable to non-DTC092-099 9(08) N BIRTHDATE = “CCYYMMDD”100-103 X(04) AN Not Used104-105 X(02) AN COUNTRY OF CITIZENSHIP CODE (COD); see AppendixQ, “ACCT Codes and Values”DTC INSTRUCTIONS; LOCATION/PRODUCT CODE = DTC106-106 X(01) AN DTC TRANSACTION CODE; acceptable values include:“X” or “ ” = Unchanged record“A” = Add location“C” = Change existing location107-110 X(04) AN LOCATION/PRODUCT CODE; acceptable values include:“DTC” = Depository Trust Company111-118 X(08) AN INSTITUTION NUMBER119-158 X(40) AN INSTITUTION NAME159-166 X(08) AN AGENT NUMBER167-206 X(40) AN AGENT NAME207-222 X(16) AN AGENT INTERNAL NUMBERACCT/ACCFPage 62 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION223-272 X(50) AN AGENT INTERNAL NAME; free-form text273-280 X(08) AN CLEARING AGENT NUMBER281-315 X(35) AN CLEARING AGENT NAME316-323 X(08) AN FIRST DTC IP NUMBER324-346 X(23) AN FIRST IP ACCOUNT NUMBER347-354 X(08) AN SECOND DTC IP NUMBER355-377 X(23) AN SECOND IP ACCOUNT NUMBERFED/UST/GNMA/ALL OTHER INSTRUCTIONS; LOCATION/PRODUCT CODE = FED378-378 X(01) AN FED TRANSACTION CODE; acceptable values include:“X” or “ ” = Unchanged record“A” = Add location“C” = Change existing location379-382 X(04) AN LOCATION/PRODUCT CODE; acceptable values include:“FED383-391 X(09) AN ABA NUMBER” = The Federal Reserve Bank of New York392-431 X(40) AN INTERNAL ACCOUNT NUMBER; free-form text432-481 X(50) AN FEDERAL WIRE BANK NAME; free-form textEUROCLEAR INSTRUCTIONS; LOCATION/PRODUCT CODE = EUR482-482 X(01) AN EUR TRANSACTION CODE; acceptable values include:“X” or “ ” = Unchanged record“A” = Add location“C” = Change existing location483-486 X(04) AN LOCATION/PRODUCT CODE; acceptable values include:“EUR” = Euroclear487-494 X(08) AN EUROCLEAR NUMBER495-509 X(15) AN EUROCLEAR ACCOUNT NUMBERCEDEL INSTRUCTIONS; LOCATION/PRODUCT CODE = CED510-510 X(01) AN CED TRANSACTION CODE; acceptable values include:“X” or “ ” = Unchanged record“A” = Add location“C” = Change existing location511-514 X(04) AN LOCATION/PRODUCT CODE = acceptable values include:“CED” = CEDEL515-522 X(08) AN CEDEL NUMBER523-537 X(15) AN CEDEL ACCOUNT NUMBERPHYSICAL INSTRUCTIONS; LOCATION/PRODUCT CODE = PHY538-538 X(01) AN PHY TRANSACTION CODE; acceptable values include:“X” or “ ” = Unchanged record“A” = Add location“C” = Change existing locationACCT/ACCFPage 63 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION539-542 X(04) AN LOCATION/PRODUCT CODE; acceptable values include:“PHY ” = Physical543-557 X(15) AN ACCOUNT NUMBER FOR PHYSICAL DELIVERY558-589 X(32) AN OTHER INSTRUCTIONS 1590-621 X(32) AN OTHER INSTRUCTIONS 2622-653 X(32) AN OTHER INSTRUCTIONS 3654-685 X(32) AN OTHER INSTRUCTIONS 4686-717 X(32) AN OTHER INSTRUCTIONS 5718-749 X(32) AN OTHER INSTRUCTIONS 6750-750 X(01) AN Literally “X”; indicates the end of record PACCT/ACCFPage 64 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSDETAIL RECORD R – RETIREMENT ACCOUNT INFORMATIONPOSITION PICTURE TYPE DESCRIPTION001-002 X(02) AN TRANSACTION CODE = “CI”003-003 X(01) AN RECORD INDICATOR VALUE = “R”004-011 9(08) N RECORD ID SEQUENCE NUMBER; begins with“00000001”012-020 X(09) AN ACCOUNT NUMBER INCLUDING OFFICE(3); BASEACCOUNT(5); CHECK DIGIT (1)021-023 X(03) AN INTRODUCING BROKER DEALER NUMBER024-024 X(01) AN Not Used025-027 X(03) AN INVESTMENT PROFESSIONAL NUMBER028-028 X(01) AN Not Used029-038 X(10) AN ACCOUNT SHORT NAME039-040 X(02) AN Not Used041-041 X(01) AN RETIREMENT ACCOUNT TRANSACTION CODE; valuesinclude:“X” or “ ” = Unchanged record“A” = Add location“C” = Change existing location042-042 X(01) AN PARTICIPANT MARITAL STATUS; values include:“M” = Married“S” = Single“ ” = N/A to Trust, Omnibus, Estate or Other Entity043-043 X(01) AN SEX OF PARTICIPANT; values include:“F” = Female“M” = Male“U” = Participant is not an Individual044-047 X(04) AN CUSTODIAN CODE; values include:“A ” = Pershing LLC B1 AccountOther IBD-specific values assigned048-051 X(04) AN TYPE OF RETIREMENT PLAN; values include:“1 ” = IRA“2 ” = SEP-IRA (IRS-5305)“4 ” = Flexible Profit Sharing“5 ” = Non-standardized Profit Sharing“6 ” = Flexible Target Benefit“7 ” = Non-standardized Target Benefit“8 ” = Flexible Money Purchase“9 ” = Non-standardized Money Purchase“A ” = Salary Deferral SARSEP (cont.)ACCT/ACCFPage 65 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION“B ” = Flexible 401(k)“C ” = Non-standardized 401(k)“D ” = Age Weighted 401(k)“E ” = Age Weighted Profit Sharing“F ” = Super Simplified Profit Sharing“G ” = Super Simplified Money Purchase“H ” = 403(b)7 non ERISA“I ” = 403(b)7 ERISA“J ” = Prototype SEP“K ” = Simple 401(k)“L ” = Simple IRA“O ” = Individual 401(k)“R ” = Roth IRA“S ” = Education Savings Account“T ” = Roth Conversion052-052 X(01) AN TYPE OF RETIREMENT ACCOUNT; values include:“1” = Participant“2” = Spousal“3” = Rollover“4” = Inherited“5” = Employer“6” = Guardian“7” = Omnibus“8” = Inherited Individual“9” = Inherited Estate“A” = Inherited Trust“B” = Inherited Charity“C” = Inherited Guardian“D” = Roth Participant“E”= Roth Employer“F” = Roth Guardian“G” = Roth Omnibus“H” = Roth Inherited Individual“I” = Roth Inherited Estate“J” = Roth Inherited Trust“K” = Roth Inherited Charity“L” = Roth Inherited Guardian053-062 X(10) AN RETIREMENT PLAN NUMBER063-063 X(01) AN SELF-DIRECTED INDICATOR; values include:“Y” = Yes(cont.)ACCT/ACCFPage 66 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION“N” = No064-064 X(01) AN ASSET WILL INDICATOR; values include:“Y” = Yes“N” = NoDATES065-072 9(08) N BROKER DEALER CONVERSION DATE =“CCYYMMDD”073-080 9(08) N ADOPTION AGREEMENT DATE = “CCYYMMDD”081-088 9(08) N DATE PLAN ESTABLISHED = “CCYYMMDD”089-096 9(08) N CUSTODIAN DATE = “CCYYMMDD”097-104 9(08) N PLAN AMENDMENT DATE = “CCYYMMDD”105-112 9(08) N SPOUSAL CONSENT DATE = “CCYYMMDD”113-113 X(01) AN EDUCATION DISABILITY INDICATOR; values include:“Y” = Yes; Account Holder has special needs“N” = No; Does not apply114-121 9(08) N DISABILITY START DATE = “CCYYMMDD”122-129 9(08) N DATE OF DEATH = “CCYYMMDD”130-138 X(09) AN RELATED BROKERAGE ACCOUNT NUMBER 1;represents a retail account number139-147 X(09) AN RELATED BROKERAGE ACCOUNT NUMBER 2;represents a related spousal account number148-156 X(09) AN RELATED BROKERAGE ACCOUNT NUMBER 3;represents a related account number other than retail or spousalEMPLOYER INFORMATION AND ADDRESS157-188 X(32) AN EMPLOYER NAME; free-form text189-197 9(09) N EMPLOYER TIN198-229 X(32) AN TRUST ADMINISTRATOR; free-form text230-230 X(01) AN EMPLOYER ADDRESS TRANSACTION CODE; acceptablevalues include:“X” or “ ” = Unchanged record“A” = Add new information“C” = Change existing information231-231 X(01) AN SPECIAL HANDLING INDICATOR; values include:“N” = No special handling required for this address“Y” = Special handling required for this address232-235 X(04) AN ATTENTION LINE PREFIX; values include:“ATTN” = Attention of“C/O” = Care of“ ” = May be blank in user-titled accounts236-263 X(28) AN EMPLOYER ATTENTION LINE DETAIL264-295 X(32) AN EMPLOYER ADDRESS LINE 1296-327 X(32) AN EMPLOYER ADDRESS LINE 2ACCT/ACCFPage 67 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION328-359 X(32) AN EMPLOYER ADDRESS LINE 3; only if ATTENTION LINEis spaces360-391 X(32) AN EMPLOYER ADDRESS LINE 4; only if country is not US orCanada392-406 X(15) AN CITY; for US/Canada addresses only407-408 X(02) AN STATE; for US/Canada addresses only; see Appendix Q,“ACCT Codes and Values”409-423 X(15) AN ZIP; for US/Canada addresses only424-425 X(02) AN COUNTRY CODE; see Appendix Q, “ACCT Codes andValues”426-426 X(01) AN Not Used427-434 9(08) N FIRST MAIL RETURN DATE = “CCYYMMDD”435-459 X(25) AN FIRST MAIL RETURN REASON460-467 9(08) N SECOND MAIL RETURN DATE = “CCYYMMDD”468-492 X(25) AN SECOND MAIL RETURN REASON493-500 9(08) N THIRD MAIL RETURN DATE = “CCYYMMDD”501-525 X(25) AN THIRD MAIL RETURN REASONE-MAIL INFORMATION526-575 X(50) AN E-MAIL ADDRESSEMPLOYER TELEPHONE NUMBERS (UP TO 7 TIMES)TELEPHONE NUMBER 1Note: Telephone numbers will appear in alphabetical order based on TELEPHONE TYPE ID.576-576 X(01) AN TELEPHONE 1 TRANSACTION CODE; acceptable valuesinclude:“X” or “ ” = Unchanged record“A” = Add new phone number information“C” = Change existing phone number information577-577 X(01) AN US/INTERNATIONAL INDICATOR (1); acceptable valuesinclude:“U” = US/Canada“F” = International578-578 X(01) AN TELEPHONE TYPE ID (1); values include:“B” = Business“C” = Cellular“E” = Beeper“F” = Fax“H” = Home“S” = Seasonal“T” = Telex“V” = Voice Mail579-638 X(60) AN TELEPHONE NUMBER (1)639-645 X(07) AN TELEPHONE EXTENSION (1)ACCT/ACCFPage 68 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTIONTELEPHONE NUMBER 2646-646 X(01) AN TELEPHONE 2 TRANSACTION CODE; values include:“X” or “ ” = Unchanged record“A” = Add new phone number information“C” = Change existing phone number information647-647 X(01) AN US/INTERNATIONAL INDICATOR; acceptable valuesinclude:“U” = US/Canada“F” = International648-648 X(01) AN TELEPHONE TYPE ID (2); see TELEPHONE TYPE ID (1),position 578, for values649-708 X(60) AN TELEPHONE NUMBER (2)709-715 X(07) AN TELEPHONE EXTENSION (2)716-716 X01) AN MUTUAL FUND INDICATOR; values include:Y = Account is restricted to mutual fund transactions onlyN = Account is not restricted to mutual fund transactions717-749 X(33) AN Not Used750-750 X(01) AN Literally “X”; indicates the end of record RACCT/ACCFPage 69 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSDETAIL RECORD S – RETIREMENT ACCOUNT INFORMATION (ADDITIONAL NUMBER INFORMATION)POSITION PICTURE TYPE DESCRIPTION001-002 X(02) AN TRANSACTION CODE = “CI”003-003 X(01) AN RECORD INDICATOR VALUE = “S”004-011 9(08) N RECORD ID SEQUENCE NUMBER; begins with“00000001”012-020 X(09) AN ACCOUNT NUMBER INCLUDING OFFICE(3); BASEACCOUNT(5); CHECK DIGIT (1)021-023 X(03) AN INTRODUCING BROKER DEALER NUMBER024-024 X(01) AN Not Used025-027 X(03) AN INVESTMENT PROFESSIONAL NUMBER028-028 X(01) AN Not Used029-038 X(10) AN ACCOUNT SHORT NAME039-040 X(02) AN Not UsedTELEPHONE NUMBER 3041-041 X(01) AN TELEPHONE 3 TRANSACTION CODE; values include:“X” or “ ” = Unchanged record“A” = Add new phone number information“C” = Change existing phone number information042-042 X(01) AN US/INTERNATIONAL INDICATOR; values include:“U” = US/Canada“F” = International043-043 X(01) AN TELEPHONE TYPE ID (3); see TELEPHONE TYPE ID (1),Record R, position 578, for values044-103 X(60) AN TELEPHONE NUMBER (3)104-110 X(07) AN TELEPHONE EXTENSION (3)TELEPHONE NUMBER 4111-111 X(01) AN TELEPHONE 4 TRANSACTION CODE; values include:“X” or “ ” = Unchanged record“A” = Add new phone number information“C” = Change existing phone number information112-112 X(01) AN US/INTERNATIONAL INDICATOR (4); values include:“U” = US/Canada“F” = International113-113 X(01) AN TELEPHONE TYPE ID (4); see TELEPHONE TYPE ID (1),Record R, position 578, for values114-173 X(60) AN TELEPHONE NUMBER (4)174-180 X(07) AN TELEPHONE EXTENSION (4)TELEPHONE NUMBER 5181-181 X(01) AN TELEPHONE 5 TRANSACTION CODE; values include:“X” or “ ” = Unchanged record“A” = Add new phone number information(cont.)ACCT/ACCFPage 70 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION“C” = Change existing phone number information182-182 X(01) AN US/INTERNATIONAL INDICATOR (5); values include:“U” = US/Canada“F” = International183-183 X(01) AN TELEPHONE TYPE ID (5); see TELEPHONE TYPE ID (1),Record R, position 578, for values184-243 X(60) AN TELEPHONE NUMBER (5)244-250 X(07) AN TELEPHONE EXTENSION (5)TELEPHONE NUMBER 6251-251 X(01) AN TELEPHONE 6 TRANSACTION CODE; values include:“X” or “ ” = Unchanged record“A” = Add new phone number information“C” = Change existing phone number information252-252 X(01) AN US/INTERNATIONAL INDICATOR (6); values include:“U” = US/Canada“F” = International253-253 X(01) AN TELEPHONE TYPE ID (6); see TELEPHONE TYPE ID (1),Record R, position 578, for values254-313 X(60) AN TELEPHONE NUMBER (6)314-320 X(07) AN TELEPHONE EXTENSION (6)TELEPHONE NUMBER 7321-321 X(01) AN TELEPHONE 7 TRANSACTION CODE; values include:“X” or “ ” = Unchanged record“A” = Add new phone number information“C” = Change existing phone number information322-322 X(01) AN US/INTERNATIONAL INDICATOR (7); values include:“U” = US/Canada“F” = International323-323 X(01) AN TELEPHONE TYPE ID (7); see TELEPHONE TYPE ID (1),Record R, position 578, for values324-383 X(60) AN TELEPHONE NUMBER (7)384-390 X(07) AN TELEPHONE EXTENSION (7)391-749 X(359) AN Not Used750-750 X(01) AN Literally “X”; indicates the end of record SACCT/ACCFPage 71 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSDETAIL RECORD T – BENEFICIARY INFORMATION; UP TO 10 PRIMARY AND 10 CONTINGENT (T ANDU RECORDS FOR EACH BENEFICIARY)POSITION PICTURE TYPE DESCRIPTION001-002 X(02) AN TRANSACTION CODE = “CI”003-003 X(01) AN RECORD INDICATOR VALUE = “T”004-011 9(08) N RECORD ID SEQUENCE NUMBER; begins with“00000001”012-020 X(09) AN ACCOUNT NUMBER INCLUDING OFFICE(3); BASEACCOUNT(5); CHECK DIGIT (1)021-023 X(03) AN INTRODUCING BROKER DEALER NUMBER024-024 X(01) AN Not Used025-027 X(03) AN INVESTMENT PROFESSIONAL NUMBER028-028 X(01) AN Not Used029-038 X(10) AN ACCOUNT SHORT NAME039-040 X(02) AN Not UsedBENEFICIARY NAME AREAEach account can have up to 10 primary (“P”) and 10 Contingent (“C”) beneficiaries.Primary beneficiaries will be listed first, beginning with sequence number 001, and immediately following thefinal primary beneficiary, contingent beneficiaries, if any, will be listed, beginning with sequence number 001.041-041 X(01) AN BENEFICIARY TRANSACTION CODE; acceptable valuesinclude:“X” or “ ” = Unchanged record“A” = Add new beneficiary“C” = Change existing beneficiary042-042 X(01) AN BENEFICIARY TYPE; acceptable values include:“P” = Primary Beneficiary“C” = Contingent Beneficiary043-045 X(03) AN SEQUENCE NUMBER; valid values are 001 to 010046-048 X(03) AN Not Used049-050 X(02) AN BENEFICIARY RELATIONSHIP INDICATOR; valuesinclude:“B ” = Brother“CC” = Children per Capita“CS” = Children per Stirpes“D ” = Daughter“DP” = Domestic Partner“E ” = Estate; Not applicable for Contingent Beneficiary“F ” = Father“FL” = Father-in-law“GD” = Granddaughter“GF” = Grandfather“GM” = Grandmother(cont.)ACCT/ACCFPage 72 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION051-058 X(08) AN Not Used“GS” = Grandson“ML” = Mother-in-law“NE” = Nephew“NI” = Niece“O ” = Omnibus“OE” = Other Entity; not applicable for contingent beneficiary“OI” = Other Individual“OT” = Other“SI” = Sister“SO” = Son“SP” = Spouse“T ” = Trust Entity; not applicable for contingentbeneficiary; if bene is a trust, see Record V059-059 X(01) AN SEX OF BENEFICIARY (1); values include:“F” = Female“M” = Male“U” = Beneficiary is not an Individual060-067 9(08) N BENEFICIARY (1) DATE OF BIRTH = “CCYYMMDD”068-068 X(01) AN TAX ID TYPE; values include:“N” = Not applicable“T” = Tax ID“S” = Social Security Number069-077 X(09) AN BENEFICIARY (1) TAX ID NUMBER078-095 9(09)v(09) N PERCENT ALLOCATIONBENEFICIARY (1) NAME INFORMATION096-096 X(01) N BENEFICIARY NAME TYPE; acceptable values include:“I” = Individual“E” = Entity097-128 X(32) AN BENEFICIARY (1) PREFIX/ENTITY LINE 1; if NAMETYPE = “I,” then one of the following values will be used inthe first 4 characters; the next 4 characters can be used for asuffix; the remaining 24 characters are blank; values include:“ ”“DR ”“MDM ”“MR ”“MS ”“MRS ”“SIR ”ACCT/ACCFPage 73 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION129-160 X(32) AN BENEFICIARY (1) FIRST NAME/ENTITY LINE 2; ifNAME TYPE = “I,” this field will contain the first name; ifNAME TYPE = “E,” it will be free-form text and can be blank161-192 X(32) AN BENEFICIARY (1) MIDDLE INITIAL/NAME/ ENTITYLINE 3; if NAME TYPE = “I,” this field will contain themiddle initial or name; if NAME TYPE = “E,” it will be freeformtext and can be blank193-224 X(32) AN BENEFICIARY (1) LAST NAME/ENTITY LINE 4; if NAMETYPE = “I,” this field will contain the last name; if NAMETYPE = “E,” it will be free-form text and can be blank225-227 X(03) AN Not UsedBENEFICIARY (1) ADDRESS228-228 X(01) AN BENEFICIARY (1) ADDRESS TRANSACTION CODE;values include:“X” or “ ” = Unchanged record“A” = Add new information“C” = Change existing information229-229 X(01) AN SPECIAL HANDLING INDICATOR; values include:“N” = No Special Handling Required for this Address“Y” = Special Handling Required for this Address230-233 X(04) AN ATTENTION LINE PREFIX; values include:“ATTN” = Attention of“C/O ” = Care of“ ” = May be blank in user-titled accounts234-261 X(28) AN BENEFICIARY (1) ATTENTION LINE DETAIL262-293 X(32) AN BENEFICIARY (1) ADDRESS LINE 1294-325 X(32) AN BENEFICIARY (1) ADDRESS LINE 2326-357 X(32) AN BENEFICIARY (1) ADDRESS LINE 3; only if attention lineinformation is spaces358-389 X(32) AN BENEFICIARY (1) ADDRESS LINE 4; if not US or Canada390-404 X(15) AN CITY; for US/Canada addresses only405-406 X(02) AN STATE; for US/Canada addresses only; see Appendix Q,“ACCT Codes and Values”407-421 X(15) AN ZIP; for US/Canada addresses only422-423 X(02) AN COUNTRY CODE; see Appendix Q, “ACCT Codes / Values”424-424 X(01) AN Not UsedBENEFICIARY (1) TELEPHONE NUMBERS (UP TO 7 OCCURRENCES)Note: Telephone numbers will appear in alphabetical order based on TELEPHONE TYPE ID.TELEPHONE NUMBER 1425-425 X(01) AN BENEFICIARY (1) TELEPHONE TRANSACTIONCODE; acceptable values include:“X” or “ ” = Unchanged record“A” = Add new phone number information (cont.)ACCT/ACCFPage 74 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION“C” = Change existing phone number information426-426 X(01) AN US/INTERNATIONAL INDICATOR (1); values include:“U” = US/Canada“F” = International427-427 X(01) AN TELEPHONE TYPE ID (1); values include:“B” = Business“C” = Cellular“E” = Beeper“F” = Fax“S” = Seasonal“T” = Telex“V” = Voice Mail428-487 X(60) AN TELEPHONE NUMBER (1)488-494 X(07) AN TELEPHONE EXTENSION (1)TELEPHONE NUMBER 2495-495 X(01) AN BENEFICIARY (2) TELEPHONE TRANSACTION CODE;values include:“X” or “ ” = Unchanged record“A” = Add new phone number information“C” = Change existing phone number information496-496 X(01) AN US/INTERNATIONAL INDICATOR (2); values include:“U” = US/Canada“F” = International497-497 X(01) AN TELEPHONE TYPE ID (2); see TELEPHONE TYPE ID (1),position 427, for values498-557 X(60) AN TELEPHONE NUMBER (2)558-564 X(07) AN TELEPHONE EXTENSION (2)TELEPHONE NUMBER 3565-565 X(01) AN BENEFICIARY (3) TELEPHONE TRANSACTION CODE;values include:“X” or “ ” = Unchanged record“A” = Add new phone number information“C” = Change existing phone number information566-566 X(01) AN US/INTERNATIONAL INDICATOR (3); values include:“U” = US/Canada“F” = International567-567 X(01) AN TELEPHONE TYPE ID (3); see TELEPHONE TYPE ID (1),position 427, for values568-627 X(60) AN TELEPHONE NUMBER (3)628-634 X(07) AN TELEPHONE EXTENSION (3)635-749 X(115) AN Not Used750-750 X(01) AN Literally “X”; indicates the end of record TACCT/ACCFPage 75 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSDETAIL RECORD U – BENEFICIARY INFORMATION (PLUS ALTERNATE FIRST BENEFICIARYTRUSTEE IF POPULATED); UP TO 10 PRIMARY AND 10 CONTINGENTPOSITION PICTURE TYPE DESCRIPTION001-002 X(02) AN TRANSACTION CODE = “CI”003-003 X(01) AN RECORD INDICATOR VALUE = “U”004-011 9(08) N RECORD ID SEQUENCE NUMBER; begins with“00000001”012-020 X(09) AN ACCOUNT NUMBER INCLUDING OFFICE(3); BASEACCOUNT(5); CHECK DIGIT (1)021-023 X(03) AN INTRODUCING BROKER DEALER NUMBER024-024 X(01) AN Not Used025-027 X(03) AN INVESTMENT PROFESSIONAL NUMBER028-028 X(01) AN Not Used029-038 X(10) AN ACCOUNT SHORT NAME039-040 X(02) AN Not Used041-041 X(01) AN BENEFICIARY TRANSACTION CODE; values include:“X” or “ ” = Unchanged record“A” = Add new beneficiary“C” = Change existing beneficiary042-042 X(01) AN BENEFICIARY TYPE; values include:“P” = Primary Beneficiary“C” = Contingent Beneficiary043-045 X(03) AN SEQUENCE NUMBER; valid values are 001 to 010046-048 X(03) AN Not UsedTELEPHONE NUMBER 4049-049 X(01) AN BENEFICIARY (4) TELEPHONE TRANSACTION CODE;values include:“X” or “ ” = Unchanged record“A” = Add new phone number information“C” = Change existing phone number information050-050 X(01) AN US/INTERNATIONAL INDICATOR (4); values include:“U” = US/Canada“F” = International051-051 X(01) AN TELEPHONE TYPE ID (4); see TELEPHONE TYPE ID (1),Record T, position 427, for values052-111 X(60) AN TELEPHONE NUMBER (4)112-118 X(07) AN TELEPHONE EXTENSION (4)TELEPHONE NUMBER 5119-119 X(01) AN BENEFICIARY (5) TELEPHONE TRANSACTION CODE;values include:“X” or “ ” = Unchanged record“A” = Add new phone number information(cont.)ACCT/ACCFPage 76 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION“C” = Change existing phone number information120-120 X(01) AN US/INTERNATIONAL INDICATOR (5); acceptable valuesinclude:“U” = US/Canada“F” = International121-121 X(01) AN TELEPHONE TYPE ID (5); see TELEPHONE TYPE ID (1),Record T, position 427, for values122-181 X(60) AN TELEPHONE NUMBER (5)182-188 X(07) AN TELEPHONE EXTENSION (5)TELEPHONE NUMBER 6189-189 X(01) AN BENEFICIARY (6) TELEPHONE TRANSACTION CODE;values include:“X” or “ ” = Unchanged record“A” = Add new phone number information“C” = Change existing phone number information190-190 X(01) AN US/INTERNATIONAL INDICATOR (6); values include:“U” = US/Canada“F” = International191-191 X(01) AN TELEPHONE TYPE ID (6); see TELEPHONE TYPE ID (1),Record T, position 427, for values192-251 X(60) AN TELEPHONE NUMBER (6)252-258 X(07) AN TELEPHONE EXTENSION (6)TELEPHONE NUMBER 7259-259 X(01) AN BENEFICIARY (7) TELEPHONE TRANSACTION CODE;acceptable values include:“X” or “ ” = Unchanged record“A” = Add new phone number information“C” = Change existing phone number information260-260 X(01) AN US/INTERNATIONAL INDICATOR (7); acceptable valuesinclude:“U” = US/Canada“F” = International261-261 X(01) AN TELEPHONE TYPE ID (7); see TELEPHONE TYPE ID (1),Record T, position 427, for values262-321 X(60) AN TELEPHONE NUMBER (7)322-328 X(07) AN TELEPHONE EXTENSION (7)TRUSTEE INFORMATION(When Beneficiary Relationship = “T”, otherwise positions 329 through 749 will be populated with spaces)329-329 X(01) AN BENEFICIARY TRUST TRANSACTION CODE FORRECORD U; acceptable values include:“X” or “ ” = Unchanged record“A” = Add new trustee“C” = Change existing trusteeACCT/ACCFPage 77 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTIONBENEFICIARY TRUSTEE (1) NAME INFORMATION330-330 X(01) AN BENEFICIARY TRUSTEE (1) NAME TYPE CODE;acceptable values include:“I” = Individual“E” = Entity331-362 X(32) AN BENEFICIARY TRUSTEE (1) PREFIX/ENTITY LINE 1; ifNAME TYPE = “I,” then one of the following values using thefirst four characters of the field will be used; the second fourcharacters can be used for a suffix, and the remaining 24characters will be blank; acceptable values include:“ ”“DR ”“MDM ”“MR ”“MS ”“MRS ”“SIR ”If NAME TYPE = “E” or “M” then it will be free-form textand can be blank363-394 X(32) AN BENEFICIARY TRUSTEE (1) FIRST NAME/ENTITY LINE2; if NAME TYPE = “I,” this field will contain the first name;if NAME TYPE = “E,” it will be free-form text and can beblank395-426 X(32) AN BENEFICIARY TRUSTEE (1) MIDDLE INITIAL/NAME/ENTITY LINE 3; if NAME TYPE = “I,” only the firstcharacter of this field will be filled for the middle initial; ifNAME TYPE = “E,” it will be free-form text and can be blank427-458 X(32) AN BENEFICIARY TRUSTEE (1) LAST NAME/ ENTITY LINE4; if NAME TYPE = “I,” only up to the first 16 characters ofthis field will be filled for the last name; if NAME TYPE =“E,” it will be free-form text and can be blank459-749 X(291) AN Not Used750-750 X(01) AN Literally “X”; indicates the end of record UACCT/ACCFPage 78 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSDETAIL RECORD V – BENEFICIARY TRUSTEE INFORMATION CONTINUED (USED ONLY WHEN ABENEFICIARY RELATIONSHIP IS A TRUST)POSITION PICTURE TYPE DESCRIPTION001-002 X(02) AN TRANSACTION CODE = “CI”003-003 X(01) AN RECORD INDICATOR VALUE = “V”004-011 9(08) N RECORD ID SEQUENCE NUMBER; begins with“00000001”012-020 X(09) AN ACCOUNT NUMBER INCLUDING OFFICE(3); BASEACCOUNT(5); CHECK DIGIT (1)021-023 X(03) AN INTRODUCING BROKER DEALER NUMBER024-024 X(01) AN Not Used025-027 X(03) AN INVESTMENT PROFESSIONAL NUMBER028-028 X(01) AN Not Used029-038 X(10) AN ACCOUNT SHORT NAME039-040 X(02) AN Not UsedTRUSTEE INFORMATION (When Beneficiary Relationship = “T”)041-041 X(01) AN BENEFICIARY TRUST TRANSACTION CODE FORRECORD V; acceptable values include:“X” or “ ” = Unchanged Record“A” = Add New Trustee“C” = Change Existing TrusteeBENEFICIARY TRUSTEE (2) NAME INFORMATION042-042 X(01) AN BENEFICIARY TRUSTEE (2) NAME TYPE CODE;acceptable values include:“I” = Individual“E” = Entity043-074 X(32) AN BENEFICIARY TRUSTEE (2) PREFIX/ENTITY LINE 1; ifNAME TYPE = “I,” then one of the following values using thefirst four characters of the field will be used; the second fourcharacters can be used for a suffix, and the: remaining 24characters will be blank; acceptable values include:“ ”“DR ”“MDM ”“MR ”“MS ”“MRS ”“SIR ”075-106 X(32) AN BENEFICIARY TRUSTEE (2) FIRST NAME/ENTITY LINE2; if NAME TYPE = “I,” only up to the first 15 characters ofthis field will be filled for the first name; if NAME TYPE =“E,” it will be free-form text and can be blank107-138 X(32) AN BENEFICIARY TRUSTEE (2) MIDDLE INITIAL/ (cont.)ACCT/ACCFPage 79 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTIONNAME/ENTITY LINE 3; if NAME TYPE = “I,” only the firstcharacter of this field will be filled for the middle initial; ifNAME TYPE = “E,” it will be free-form text and can be blank139-170 X(32) AN BENEFICIARY TRUSTEE (2) LAST NAME/ENTITY LINE4; if NAME TYPE = “I,” only up to the first 16 characters ofthis field will be filled for the last name; if NAME TYPE =“E,” it will be free-form text and can be blankBENEFICIARY TRUSTEE (3) NAME INFORMATION171-171 X(01) AN BENEFICIARY TRUSTEE (3) NAME TYPE CODE;acceptable values include:“I” = Individual“E” = Entity172-203 X(32) AN BENEFICIARY TRUSTEE (3) PREFIX/ENTITY LINE 1; ifNAME TYPE = “I,” one of the following values using the firstfour characters of the field will be used; the second fourcharacters can be used for a suffix, and the: remaining 24characters will be blank; acceptable values include:“ ”“DR ”“MDM“MR ”“MS ”“MRS ”“SIR ”204-235 X(32) AN BENEFICIARY TRUSTEE (3) FIRST NAME/ENTITY LINE2; if NAME TYPE = “I,” only up to the first 15 characters ofthis field will be filled for the first name; if NAME TYPE =“E,” it will be free-form text and can be blank236-267 X(32) AN BENEFICIARY TRUSTEE (3) MIDDLE INITIAL/NAME/ENTITY LINE 3; if NAME TYPE = “I,” only the firstcharacter of this field will be filled for the middle initial; ifNAME TYPE = “E,” it will be free-form text and can be blank268-299 X(32) AN BENEFICIARY TRUSTEE NAME (3) LASTNAME/ENTITY LINE 4; if NAME TYPE = “I,” then only upto the first 16 characters of this field will be filled for the lastname; if NAME TYPE = “E,” then it will be free-form text andcan be blankBENEFICIARY TRUSTEE (4) NAME INFORMATION300-300 X(01) AN BENEFICIARY TRUSTEE (4) NAME TYPE CODE;acceptable values include:“I” = Individual“E” = Entity301-332 X(32) AN BENEFICIARY TRUSTEE (4) PREFIX/ENTITY LINE 1; ifNAME TYPE = “I,” one of the following values using the firstfour characters of the field will be used; the second fourcharacters can be used for a suffix, and the remaining 24characters will be blank; values include:(cont.)ACCT/ACCFPage 80 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION“ ”“DR ”“MDM ”“MR ”“MS ”“MRS ”“SIR ”333-364 X(32) AN BENEFICIARY TRUSTEE (4) FIRST NAME/ENTITY LINE2; if NAME TYPE= “I,” only up to the first 15 characters ofthis field will be filled for the first name; if NAME TYPE =“E,” it will be free-form text and can be blank365-396 X(32) AN BENEFICIARY TRUSTEE (4) MIDDLE INITIAL/NAME/ENTITY LINE 3; if NAME TYPE = “I,” only the firstcharacter of this field will be filled for the middle initial; ifNAME TYPE = “E,” it will be free-form text and can be blank397-428 X(32) AN BENEFICIARY TRUSTEE (4) LAST NAME/ENTITY LINE4; if NAME TYPE = “I,” only up to the first 16 characters ofthis field will be filled for the last name; if NAME TYPE =“E,” it will be free- form text and can be blankBENEFICIARY TRUSTEE (5) NAME INFORMATION429-429 X(01) AN BENEFICIARY TRUSTEE (5) NAME TYPE CODE;acceptable values include:“I” = Individual“E” = Entity430-461 X(32) AN BENEFICIARY TRUSTEE (5) PREFIX/ENTITY LINE 1; ifNAME TYPE = “I,” one of the following values using the firstfour characters of the field will be used; the second fourcharacters can be used for a suffix, and the remaining 24characters will be blank; acceptable values include:“ ”“DR ”“MDM ”“MR ”“MS ”“MRS ”“SIR ”462-493 X(32) AN BENEFICIARY TRUSTEE (5) FIRST NAME/ENTITY LINE2; if NAME TYPE = “I,” only up to the first 15 characters ofthis field will be filled for the first name; if NAME TYPE =“E,” it will be free-form text and can be blank494-525 X(32) AN BENEFICIARY TRUSTEE (5) MIDDLE INITIAL/NAME/ENTITY LINE 3; if NAME TYPE = “I,” only the firstcharacter of this field will be filled for the middle initial; ifNAME TYPE = “E,” it will be free-form text and can be blank526-557 X(32) AN BENEFICIARY TRUSTEE (5) LAST NAME/ENTITY LINEACCT/ACCFPage 81 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSPOSITION PICTURE TYPE DESCRIPTION4; if NAME TYPE = “I,” then only up to the first 16 charactersof this field will be filled for the last name; if NAME TYPE =“E,” then it will be free-form text and can be blankBENEFICIARY TRUSTEE (6) NAME INFORMATION558-558 X(01) AN BENEFICIARY TRUSTEE (6) NAME TYPE CODE;acceptable values include:“I” = Individual“E” = Entity559-590 X(32) AN BENEFICIARY TRUSTEE (6) PREFIX/ENTITY LINE 1; ifNAME TYPE = “I,” one of the following values using the firstfour characters of the field will be used; the second fourcharacters can be used for a suffix, and the remaining 24characters will be blank; acceptable values include:“ ”“DR ”“MDM ”“MR ”“MS ”“MRS ”“SIR ”591-622 X(32) AN BENEFICIARY TRUSTEE (6) FIRST NAME/ENTITY LINE2; if NAME TYPE = “I,” only up to the first 15 characters ofthis field will be filled for the first name; if NAME TYPE =“E,” it will be free-form text and can be blank623-654 X(32) AN BENEFICIARY TRUSTEE (6) MIDDLE INITIAL/NAME/ENTITY LINE 3; if NAME TYPE = “I,” only the firstcharacter of this field will be filled for the middle initial; ifNAME TYPE = “E,” it will be free-form text and can be blank655-686 X(32) AN BENEFICIARY TRUSTEE (6) LAST NAME/ENTITY LINE4; if NAME TYPE = “I,” only up to the first 16 characters ofthis field will be filled for the last name; if NAME TYPE =“E,” it will be free-form text and can be blank687-749 X(63) AN Not Used750-750 X(01) AN Literally “X”; indicates the end of record VACCT/ACCFPage 82 Customer Account Information 10-09

PERSHING STANDARD FILE LAYOUTSTRAILER RECORD (THIS IS A FLOATING TRAILER THAT APPEARS AT THE END OF THE LAST RECORDOF THE FILE)POSITION PICTURE TYPE DESCRIPTION001-018 X(18) AN Literally “EOF PERSHING ” (end ofPershing file)019-036 X(18) AN Literally “CUSTOMER ACCT DATA”037-046 X(10) AN Literally “ DATA OF ”047-056 X(10) AN DATE OF DATA = “MM/DD/CCYY”057-067 X(11) AN Literally “ TO REMOTE ”068-071 X(04) AN REMOTE ID = “XXXX”072-083 X(12) AN Literally “ ENDS HERE. ”084-105 X(22) AN Literally “TOTAL DETAIL RECORDS: ”106-115 9(10) N NUMBER OF DETAIL RECORDS116-118 X(03) AN Not Used119-127 X(09) AN Indicates if the file is REFRESHED/UPDATED/NOTAPPLICABLE – literally “REFRESHED”,“UPDATED ”, or “ ”128-749 X(622) AN Not Used750-750 X(01) AN Literally “Z”; indicates the end of the trailer recordACCT/ACCFPage 83 Customer Account Information 10-09