APPENDIX B: SECURITY CODE MATRIX, MINOR PRODUCT ...

PERSHING STANDARD FILE LAYOUTSAPPENDIX B: SECURITY CODE MATRIX, MINOR PRODUCT CODES and ASSETTYPESSecurity Code MatrixUSED IN THE FOLLOWING STANDARD FILES: CAPS/CAPT, CONF, DESC,GACT, GCUS, GTDE, ISCA, PPES, TRDE/TRDS, INTRADAY TRDETYPE MODIFIER CALCULATION PRODUCT DESCRIPTION USER/MIN PRODUCT CODE0 0 0 Mutual Funds Open-End Nontaxable (MUT FND) Not Used0 0 1 Mutual Funds Open-End Taxable (MUT FND) Not Used0 1 0 Precious Metals Nontaxable (FIX INC) 000-0ZZ0 1 1 Precious Metals Taxable (FIX INC) 000-0ZZ0 1 2 Precious Metals Gold Coins (FIX INC) 000-0ZZ0 1 3 Precious Metals Gold Bars (FIX INC) 000-0ZZ0 1 4 Precious Metals Silver Bars (FIX INC) 000-0ZZ0 2 0 Unit Investment Trust Closed-End 000-0ZZ0 2 1 Unit Investment Trust Closed-End Taxable 000-0ZZ0 3 0 Mutual Funds No-Load Nontaxable (MUT FND) 000-0ZZ0 3 1 Mutual Funds No-Load Taxable (MUT FND) 000-0ZZ0 4 Null Limited Partnership (MUT FND) 000-0ZZ0 5 1 Insurance Single Premium Deferred 000-0ZZ0 5 2 Insurance Single Premium Immediate 000-0ZZ0 5 3 Insurance Single Premium Life 000-0ZZ0 5 5 Insurance Variable Life 000-0ZZ0 6 Null Annuity 000-0ZZ0 5 4 Insurance Variable Annuity 000-0ZZ1 0 Null Common Stock (EQUITY) Not Used1 0 A Common Stock American Depository (EQUITY) Not Used2 0 Null Preferred Stock Convertible (EQUITY) Not Used2 0 A Preferred Stock Convertible American (EQUITY) Not Used2 1 A Preferred Stock American Depository (EQUITY) Not Used2 1 Null Preferred Stock (EQUITY) Not Used3 0 Null Rights (EQUITY) Not Used3 0 A Rights American Depository Receipt (EQUITY) Not Used3 1 Null Warrants (EQUITY) Not Used3 1 A Warrants American Depository Receipt (EQUITY) Not Used4 0 0 When, As, and If Issued Equity (EQUITY) Not Used4 0 1 When Issued, Equity (EQUITY) Not UsedAppendix BPage 1Appendix B – Security Code Matrix,Minor Product Codes, and Asset Types 11/09

PERSHING STANDARD FILE LAYOUTSTYPE MODIFIER CALCULATION PRODUCT DESCRIPTION USER/MIN PRODUCT CODE4 0 Null When Issued, Equity (EQUITY) Not Used4 1 0 When, As, and If Issued Bond (FIX INC) 400-0ZZ5 0 0 Certificate of Deposit – Long Term (FIX INC) 500-5ZZNull (with minor product code 505)5 0 0 Certificate of Deposit – Short Term (FIX INC) 500-5ZZNull (with minor product code 506)5 0 0 Certificate of Deposit – Zero Coupon (FIX INC) 500-5ZZNull (with minor product code 525)5 0 0 Corporate Bond Nonconvertible Domestic (FIX INC) 500-5ZZ5 0 1 Corporate Bond Nonconvertible Foreign (FIX INC) 500-5ZZ5 1 0 Corporate Note Nonconvertible Domestic (FIX INC) 500-5ZZ5 1 1 Corporate Note Nonconvertible Foreign (FIX INC) 500-5ZZ5 2 0 Corporate Bond/Note Convertible Domestic (FIX INC) 500-5ZZ5 2 1 Corporate Bond/Note Convertible Foreign (FIX INC) 500-5ZZ6 0 G Municipal Bond Serial (FIX INC) 600-6ZZ6 0 D Municipal Bond Dollar Term (FIX INC) 600-6ZZ6 0 S Municipal Bond Short-Term (FIX INC) 600-6ZZ6 0 R Municipal Bond (FIX INC) 600-6ZZ6 1 G Municipal Note Serial (FIX INC) 600-6ZZ6 1 D Municipal Note Dollar Term (FIX INC) 600-6ZZ6 1 S Municipal Note Short-Term (FIX INC) 600-6ZZ7 0 R US Treasury Regular Bond/Note (FIX INC) 700-7ZZ7 0 F US Treasury Future Bond/Note (FIX INC) 700-7ZZ7 1 R US Treasury Regular Bill (FIX INC) 700-7ZZ7 2 R Federal Agency Regular Bill (FIX INC) 700-7ZZ7 1 F US Treasury Future Bill (FIX INC) 700-7ZZ7 2 D Federal Agency Discount (FIX INC) 700-7ZZ7 2 P Federal Agency Pass-Through (FIX INC) 700-7ZZ8 C 0 Stock Option (OPTION) Not Used8 C 1 Debt Option Call (OPTION) Not Used8 C 2 Currency Option Call (OPTION) Not Used8 P 0 Stock Option Put (OPTION) Not Used8 C 3 Index Option Call (OPTION) Not Used8 P 1 Debt Option Put (OPTION) Not Used8 P 2 Currency Option Put (OPTION) Not Used8 P 3 Index Option Put (OPTION) Not Used8 E 0 Stock Option Escrow Receipt (OPTION) Not Used8 E 1 Debt Option Escrow Receipt (OPTION) Not Used8 E 2 Currency Option Escrow Receipt (OPTION) Not Used8 E 3 Index Option Escrow Receipt (OPTION) Not UsedAppendix BPage 2Appendix B – Security Code Matrix,Minor Product Codes, and Asset Types 11/09

PERSHING STANDARD FILE LAYOUTSTYPE MODIFIER CALCULATION PRODUCT DESCRIPTION USER/MIN PRODUCT CODE8 B 0 Stock Option Bank Pledge Call (OPTION) Not Used8 B 1 Debt Option Bank Pledge Call (OPTION) Not Used8 B 2 Currency Option Bank Pledge Call (OPTION) Not Used8 B 3 Index Option Bank Pledge Call (OPTION) Not Used8 D 0 Stock Option Bank Pledge Put (OPTION) Not Used8 D 1 Debt Option Bank Pledge Put (OPTION) Not Used8 D 2 Currency Option Bank Pledge Put (OPTION) Not Used8 D 3 Index Option Bank Pledge Put (OPTION) Not Used8 L 0 Stock Option Letter of Guaranty Call (OPTION) Not Used8 L 1 Debt Option Bank Letter of Guaranty Call (OPTION) Not Used8 L 2 Currency Option Bank Letter of Guaranty (OPTION) Not Used8 L 3 Index Option Bank Letter of Guaranty Call (OPTION) Not Used8 M 0 Stock Option Bank Letter of Guaranty Put (OPTION) Not Used8 M 1 Debt Option Bank Letter of Guaranty Put (OPTION) Not Used8 M 2 Currency Option Bank Letter of Guaranty (OPTION) Not Used8 M 3 Index Option Bank Letter of Guaranty Put (OPTION) Not Used8 S 0 Stock Option Certificate Call (OPTION) Not Used8 S 1 Debt Option Certificate Call (OPTION) Not Used8 S 2 Currency Option Certificate Call (OPTION) Not Used8 S 3 Index Option Certificate Call (OPTION) Not Used8 T 0 Stock Option Certificate Put (OPTION) Not Used8 T 1 Debt Option Certificate Put (OPTION) Not Used8 T 2 Currency Option Certificate Put (OPTION) Not Used8 T 3 Index Option Certificate Put (OPTION) Not Used9 0 0 Corporate Units Equity (EQUITY) Not Used9 1 0 Corporate Units Bonds (FIX INC) 900-9ZZB 0 0 Banker’s Acceptance Note (FIX INC) B00-BZZB 1 0 Banker’s Acceptance Bond (FIX INC) B00-BZZP 0 1 Commercial Paper Regular Interest Bearing (FIX INC) P00-PZZP 0 F Commercial Paper Regular Flat Discount (FIX INC) P00-PZZP 1 1 Commercial Paper Repurchase Agreement (FIX INC) P00-PZZP 1 F Commercial Paper Repurchase Agreement (FIX INC) P00-PZZS 0 Null Sub Product Variable AnnuitiesAppendix BPage 3Appendix B – Security Code Matrix,Minor Product Codes, and Asset Types 11/09

PERSHING STANDARD FILE LAYOUTSProduct Code Product Code Name792 Treasury Inflation Program Security Notes793 Treasury Inflation Program Security Stripped(Principal)794 Treasury Inflation Program Security Stripped(Coupon)800 Options900 Units Equity Component901 Corporate Units With BondsAppendix BPage 7Appendix B – Security Code Matrix,Minor Product Codes, and Asset Types 11/09

PERSHING STANDARD FILE LAYOUTSAsset TypesUSED IN THE FOLLOWING STANDARD FILES: GOTX, GTDE, ISCA, PCFDSECURITYSECURITY SUBSECURITY SUB-SUBTYPETYPETYPEDESCRIPTIONASSTBACK ABSTRIP ABSTRPIO STRIP - INTEREST PORTIONASSTBACK ABSTRIP ABSTRPIP STRIP - INTEREST AND PRINCIPALASSTBACK ABSTRIP ABSTRPPO STRIP - PRINCIPAL PORTIONASSTBACK CMO CMOACCR CMO - ACCRETIONASSTBACK CMO CMONACCR CMO - NON-ACCRETIONASSTBACK FHLMC FHARM FHLMC - GENERAL PASS THRU ARMASSTBACK FHLMC FHGPC FHLMC GENERAL PASS THRU CERTIFICATEASSTBACK FHLMCGLD FHLMCGLD FHLMC GOLDASSTBACK FNMA FNARM FNMA ADJUSTABLE RATE MORTGAGEASSTBACK FNMA FNGPC FNMA GENERAL PASS THRU CERTIFICATEASSTBACK GNMA1 GNMA1 GNMA1 PASS THROUGH CERTIFICATEASSTBACK GNMA2 GN2ARM GNMA2 ADJUSTABLE RATE MORTGAGEASSTBACK GNMA2 GN2GPC GNMA2 PASS THROUGH CERTIFICATEASSTBACK PRGNMA PRGNMA PUERTO RICO SERIAL GNMAASSTBACK RECBACK QRPLOAN QUALIFIED RETIREMENT PLAN LOANASSTBACK RECBACK RECBCKTE TAX EXEMPT REC. BACKED SECURITYASSTBACK RECBACK RECBCKTX TAXABLE RECEIVABLES BACKED SECURITYASSTBACK REMIC REMACCR ACCRETION REMICASSTBACK REMIC REMNACCR NON-ACCRETION REMICASSTBACK SBA SBA SMALL BUSINESS ADMINISTRATIONASSTBACK TBA TBA TO BE ANNOUNCEDCORPDEBT CB CBIIS CORP BOND INFLATION INDEX SECURITYCORPDEBT CB CBSCPIIS CORP STRIP CPN INFLTN INDEX SECURITYCORPDEBT CB CBSTPIIS CORP STRIP INFLATION INDEX SECURITYCORPDEBT CB INDLKCRP INDEX LINK CORPORATE BONDCORPDEBT CBCPN CBCPN COUPON BEARING BONDCORPDEBT CBDISC CBDISC DISCOUNT BONDCORPDEBT CBFLTIX CBFLTCV FLOATING RATE CONVERTIBLE BONDCORPDEBT CBFLTIX CBFLTNCV FLOATING RATE BONDCORPDEBT CBIAM CBIAM INTEREST AT MATURITYCORPDEBT CBPER CBPER PERPETUAL FLOATING RATE BONDCORPDEBT CBSTEP CBSTKWN STEPPED RATE - SCHEDULE KNOWNCORPDEBT CBSTEP CBSTTBD STEPPED RATE - SCHEDULE TBDAppendix BPage 7Appendix B – Security Code Matrix,Minor Product Codes, and Asset Types 11/09

PERSHING STANDARD FILE LAYOUTSSECURITYSECURITY SUBSECURITY SUB-SUBTYPETYPETYPEDESCRIPTIONCORPDEBT CBSTEP CBZSTKWN ZERO STEP - RATE KNOWNCORPDEBT CBSTEP CBZSTTBD ZERO STEP - RATE TBDCORPDEBT CBSTRIP CBSTRPIO STRIP - INTEREST ONLYCORPDEBT CBSTRIP CBSTRPIP STRIP - INTEREST AND PRINCIPALCORPDEBT CBSTRIP CBSTRPPO STRIP - PRINCIPAL ONLYCORPDEBT CBZERO CBZERO ZERO COUPON BONDCORPDEBT MEDTRMNT INDLKMTN INDEX LINKED MEDIUM TERM NOTECORPDEBT MEDTRMNT MEDTRMNT MEDIUM TERM NOTECURRENCY CURRENCY CURRENCY CURRENCYEQUITY ARP ARP AUCTION RATE PREFERRED STOCK NON-TAXEQUITY ARP ARPTAX AUCTION RATE PREFERRED STOCKTAXABLEEQUITY COMSTOCK COMSTOCK COMMON STOCKEQUITY COMSTOCK CSADR COMMON STOCK ADREQUITY COMSTOCK ETF EXCHANGE TRADED FUNDSEQUITY MFCLOSE MFCLOSE MUTUAL FUND CLOSED ENDEQUITY MMP MMP MONEY MARKET PREFERRED STOCKEQUITY MMP MMPTAX MONEY MARKET PREFERRED STOCKEQUITY PRFSTOCK CAPINT INTEREST BEARING FIXED RATE CAPITALSECURITYEQUITY PRFSTOCK CAPSEC PREFERRED CAPITAL SECURITYEQUITY PRFSTOCK PSADR PREFERRED STOCK ADREQUITY PRFSTOCK PSCADR CONVERTIBLE PREFERRED ADREQUITY PRFSTOCK PSCONV CONVERTIBLE PREFERRED STOCKEQUITY PRFSTOCK PSNCONV PREFERRED STOCKEQUITY RIGHTWTS RIGHT RIGHTEQUITY RIGHTWTS RIGHTADR RIGHT - ADREQUITY RIGHTWTS WARNTADR WARRANT - ADREQUITY RIGHTWTS WARRANT WARRANTGENPAPER INSURNCE SNGLDANN SINGLE PREMIUM DEF. ANNUITYGENPAPER INSURNCE SNGLLIFE SINGLE PREMIUM LIFE INSURANCEGENPAPER INSURNCE VARANNTY VARIABLE ANNUITY INSURANCEGENPAPER INSURNCE VARLIFE VARIABLE LIFE INSURANCEGENPAPER PROMNOTE PROMNOTE PROMISSORY NOTEGENPAPER SEALENV SEALENV SEALED ENVELOPEGOVTSEC DIRUSGVT CUBES COUPON UNDER BOOK ENTRY SAFEKEEPINGGOVTSEC DIRUSGVT DIRSTREC STRIP RECEIPT - U.S.GOVTSEC DIRUSGVT DIRUSCPN COUPON BEARING - U.S.GOVTSEC DIRUSGVT DIRUSDIS DISCOUNT - U.S.GOVTSEC DIRUSGVT DIRUSSTP STRIP - U.S.GOVTSEC DIRUSGVT DIRZERO ZERO COUPON - U.S.Appendix BPage 8Appendix B – Security Code Matrix,Minor Product Codes, and Asset Types 11/09

PERSHING STANDARD FILE LAYOUTSSECURITYSECURITY SUBSECURITY SUB-SUBTYPETYPETYPEDESCRIPTIONGOVTSEC DIRUSGVT TIPSBOND TIPS BONDGOVTSEC DIRUSGVT TIPSNOTE TIPS NOTEGOVTSEC DIRUSGVT TIPSTCPN TIPS STRIP COUPONGOVTSEC DIRUSGVT TIPSTPRN TIPS STRIP PRINCIPALGOVTSEC FGNGOVT FGNDISC DISCOUNT - FOREIGNGOVTSEC FGNGOVT FGNSTRIP STRIP - FOREIGNGOVTSEC INDIRGVT AGCYCPN AGENCY COUPON BEARINGGOVTSEC INDIRGVT AGCYDISC AGENCY DISCOUNTGOVTSEC INDIRGVT AGCYIIS AGENCY INFLATION INDEXED SECURITYGOVTSEC INDIRGVT AGCYMTN AGENCY MEDIUM TERM NOTEGOVTSEC INDIRGVT AGCYSTRP AGENCY STRIPGOVTSEC INDIRGVT AGCYZERO AGENCY ZEROGOVTSEC INDIRGVT AGSCPIIS AGENCY STRIP CPN INFLATION INDEXEDSECURITYINDEX INDEX INDEX CPI INDEXLIMPART SUBLP SUBLP SUBSCRIPTION LIMITED PARTNERSHIPMONEYMKT BNKACCPT BADISC BANKER’S ACCEPTANCE - DISCOUNTMONEYMKT BNKACCPT BAIAM BANKER’S ACCEPTANCE - IAMMONEYMKT CERTDEPT CDCPN COUPON BEARING CDMONEYMKT CERTDEPT CDDISC DISCOUNT CDMONEYMKT CERTDEPT CDIAM INTEREST AT MATURITY CDMONEYMKT COMPAPER CPCPN COMMERCIAL PAPER - COUPONMONEYMKT COMPAPER CPDISC COMMERCIAL PAPER - DISCOUNTMONEYMKT TIMEDEPO TIMEDEPO TIME DEPOSITMUNIDEBT MN MNIIS MUNI BOND INFLATION INDEX SECURITYMUNIDEBT MN MNSCPIIS MUNI STRIP CPN INFLATN INDEX SECURITYMUNIDEBT MN MNSTPIIS MUNI STRIP INFLATION INDEX SECURITYMUNIDEBT MNCPN FRDO FIXED RATE DEMAND OBLIGATIONMUNIDEBT MNCPN MNCPN COUPON BEARING - FIXED RATEMUNIDEBT MNDERIV MNDERIV MUNICIPAL DERIVITIVE BONDMUNIDEBT MNFLTIX MNFLTCV FLOATING RATE - CONVERTIBLEMUNIDEBT MNFLTIX MNFLTNCV FLOATING RATE BONDMUNIDEBT MNIAM MNIAM INTEREST AT MATURITYMUNIDEBT MNPERPET MNPERPET PERPETUAL OBLIGATIONMUNIDEBT MNSTEP MNSTPKWN STEPPED RATE - SCHEDULE KNOWNMUNIDEBT MNSTEP MNSTPTBD STEPPED RATE - SCHEDULE TBDMUNIDEBT MNSTEP MNZSTKWN ZERO STEP - RATE KNOWNMUNIDEBT MNSTEP MNZSTTBD ZERO STEP - RATE TO BE DETERMINEDMUNIDEBT MNSTRIP MNSTRPIO STRIP - INTEREST PORTIONMUNIDEBT MNSTRIP MNSTRPIP STRIP - INTEREST AND PRINCIPALAppendix BPage 9Appendix B – Security Code Matrix,Minor Product Codes, and Asset Types 11/09

PERSHING STANDARD FILE LAYOUTSSECURITYSECURITY SUBSECURITY SUB-SUBTYPETYPETYPEDESCRIPTIONMUNIDEBT MNSTRIP MNSTRPPO STRIP - PRINCIPAL ONLYMUNIDEBT MNZERO MNZERO ZERO COUPON BONDMUNIDEBT MUNIADJ CNVVRDO CONVERTIBLE VARIABLE RATE DEMANDOBLIGATIONMUNIDEBT MUNIADJ CNVVRI CONVERTIBLE - VARIABLE RATEMUNIDEBT MUNIADJ MNPAPER COMMERCIAL PAPER (VARIABLE RATE)MUNIDEBT MUNIADJ VRDO VARIABLE RATE DEMAND OBLIGATIONMUNIDEBT MUNIADJ VRI VARIABLE RATE INSTRUMENTMUTFUND MFOPEN MFOPLOAD OPEN END - LOAD FUNDMUTFUND MFOPEN MFOPNO OPEN END - NO LOAD FUNDMUTFUND MFOPEN MTOPLOAD OPEN END TAXABLE LOAD FUNDMUTFUND MFOPEN MTOPNO OPEN END TAXABLE NO LOAD FUNDOPTION BANKPLDG BPEOCAL EQUITY BANK PLEDGE CALLOPTION BANKPLDG BPEOPUT EQUITY BANK PLEDGE PUTOPTION ESCRECPT ESCRCEQY EQUITY ESCROW RECEIPTOPTION ESCRECPT ESCRCIDX INDEX ESCROW RECEIPTOPTION LTRGUAR LGEOCAL EQUITY BANK LETTER OF GUARANTEE CALLOPTION LTRGUAR LGEOPUT EQUITY BANK LETTER OF GUARANTEE PUTOPTION LTRGUAR LGIOPUT INDEX BANK LETTER OF GUARANTEE PUTOPTION OPTCURR OPTCUCAL CURRENCY CALL OPTIONOPTION OPTCURR OPTCUPUT CURRENCY PUT OPTIONOPTION OPTEQTY OPTEQCAL EQUITY CALL OPTIONOPTION OPTEQTY OPTEQPUT EQUITY PUT OPTIONOPTION OPTINDEX OPTIXCAL INDEX CALL OPTIONOPTION OPTINDEX OPTIXPUT INDEX PUT OPTIONOPTION WORLDCUR WCOCAL WORLD CURRENCY CALLOPTION WORLDCUR WCOPUT WORLD CURRENCY PUTPRECMETL BAR BAR BARPRECMETL COIN COIN COINSUBPROD ANNUITY FIXED FIXED ANNUITYSUBPROD ANNUITY VARIABLE VARIABLE ANNUITYUIT UITTAX UITTAX TAXABLE UITUIT UITTE UITTE TAX EXEMPT UITUNIT BONDUNIT BONDUNIT BOND UNITUNIT STKUNIT STKUNIT STOCK UNITAppendix BPage 10Appendix B – Security Code Matrix,Minor Product Codes, and Asset Types 11/09