Q2. CUSIP
E.g. CUSIP=ABCD1234

Q3. If no CUSIP, explanation

• Explain why the product does not have a CUSIP - for example, is it an OTC product, one that is not cleared or settled, or other exempt offering?
• Include a generally accepted, standard identifier that can be used in Bloomberg, such as ISIN or SEDOL, if possible

Q4. Product name
Official product name

Q5. Product Description (including investment objective)

• Include a brief description of the product and summarize its registration and regulatory jurisdiction (e.g., including information such as "the product is a medium-term structured note linked to the performance of a basket of assets including currencies, rates, and equities, and it is registered with SEC under the 1933 Act," or, "the product is an exchange-traded commodity pool investing in futures contracts on natural gas and is registered with SEC under the 1933 Act and with CFTC")
• Also include a description of the purpose or objective of the product.

Q6. Product Type
Please select the most appropriate category for the product. If you are unsure what category a product fits into, please contact Sherell Fuller: [email protected] (e) 202-728-8472 (p)

Exchange-traded product (e.g., ETFs, ETNs)

• Exchange traded funds and similar products (not traditional exchange-listed equities or bonds)
  • Commodity (e.g., U.S. Oil Fund, Greenhaven Continuous Commodity Index Fund)
  • Currency (e.g., CurrencyShares Euro Trust)
  • Equity (e.g., SPDR S&P 500 ETF Trust)
  • Fixed income (e.g., iShares iBoxx High Yield Corp Bond Fund)
• Exchange traded notes (all types-commodity, currency, equity, fixed income)

Structured retail product (e.g., equity-linked notes)

• Reverse exchangeable securities/reverse convertibles
• Structured certificates of deposit/market-linked CDs
• Principal protected notes

Private placement (e.g., 144A securities)

• Direct participation program
• Tenancy in common
• 144A Securities
• Placement of private REITS, private company securities, etc.

Insurance product (e.g., equity indexed annuities)

• Variable insurance products
• Life settlements
• Fixed-rate annuities
• Equity-indexed annuities

Debt (e.g., ABS)

• Municipal debt
• Auction rate municipal securities
• Investment grade corporate debt
• High yield corporate debt
• Auction rate corporate securities
• Commercial paper
• U.S. Treasury securities
• Government agency
• Asset-backed securities
• Collateralized mortgage obligations
• Unsecured debentures
• Promissory notes
• Money market
• Regular Certificates of deposit
• Collateralized loan obligations
• Variable rate demand notes

Equity (e.g., preferred shares, mutual funds)

• Listed equities
• OTC equities
• Mutual funds
• Unit investment trusts
• Closed end funds
• Real estate investment trusts
• Preferred shares

Service or Platform

• Offering securities lending service
• New platform to be an Authorized Participant
• New trading platform

Other (e.g., derivatives)

• Hedge funds
• 529 Plans
• Listed options
• OTC options
• Credit default swaps
• Commodities
• Futures products
• Retail FOREX
• Derivatives

Q7. Why is the product new or "novel"?
Explain why this product is considered:

• New - The firm is offering it for the very first time OR
• Novel - Explain if it is an existing product that has gone through a significant or novel modification; describe the new features

Q8. Actual sales volume/projected sales volume (annual)
Include the actual sales volume year-to-date and the projected annual sales volume

Q9. Targeted customer description (if different from manufacturer recommendation, explain why)
Description of who the customers are, or are expected to be: For example, QIBs, small hedge funds, pension funds, municipalities, accredited investors, retail, seniors, clients with investible assets of $500,000 or more. If the targeted customers are different from those recommended by the product manufacturers, explain why.

Q10. Customer Restrictions
Description of any restrictions on customers

• If applicable, include the profile of any customers for whom sales of the product are restricted (e.g. Product is not suitable for non-accredited investors)

Q11. Minimum Investment Required
Minimum=$XXX,XXX,XXX or Minimum=N/A

Q12. Fees/commission structure(if different from manufacturer recommendation, explain why)
Description of fees and commissions associated with the product, such as loads, commissions, non-cash, management or placement fees. If the fees and/or commissions paid to reps are different from that recommended by the manufacturer, explain why.

Q13. Exclusive Selling Agreement
Is the firm the only entity licensed to sell the product?

Q14. Any customer complaints?
Has the firm received any customer complaints associated with this product? Please enter Yes or No. This question does not apply to pipeline products.

Documents (Required for unlisted /OTC products)
Attach electronic copies of product offering documents and risk disclosures given to wholesalers or customers

• For example, prospectus, offering memorandum, term sheet, marketing material, risk disclosure documents.