PSX Information Circulars 2011

The NASDAQ Stock Market, NASDAQ BX and PSX

Overview

The NASDAQ Stock Market, NASDAQ BX (BX), and PSX will be providing additional information about trading certain structured products, which present special characteristics and risks associated with their trading.

This additional information for both exchanges is being presented in Information Circulars, whose purpose is to describe some of the characteristics and risks of these securities, alert members to possible prospectus delivery requirements and remind them of NASDAQ Rule 2310, BX Rule 2310 and PSX Rule763 which require members to determine the suitability of investments recommended to customers.

 

AdvisorShares Trust
Circular Date Structured Product Symbol(s)
10.05.11 Trim Tabs Float Shrink ETF TTFS
06.23.11 Meidell Tactical Advantage ETF MATH
06.21.11 Madrona Forward Domestic ETF
Madrona Forward International ETF
Madrona Forward Global Bond ETF
FWDD
FWDI
FWDB
01.27.11 AdvisorShares Active Bear ETF HDGE
Barclays Bank PLC
Circular Date Structured Product Symbol(s)
09.19.11 iPath Inverse S&P 500 VIX Short-Term Futures ETN IVOP
08.18.11 iPath S&P 500 Dynamic VIX ETN XVZ
07.12.11 iPath US Treasury 5-year Bull ETN DFVL
07.12.11 iPath US Treasury 5-year Bear ETN DFVS
07.11.11 iPath Long Enhanced S&P 500 VIX Mid-Term Futures ETN VZZB
04.21.11 iPath Pure Beta Broad Commodity ETN
iPath Pure Beta S&P GSCI-Weighted ETN
iPath Pure Beta Cocoa ETN
iPath Pure Beta Coffee ETN
iPath Pure Beta Cotton ETN
iPath Pure Beta Sugar ETN
iPath Pure Beta Aluminum ETN
iPath Pure Beta Copper ETN
iPath Pure Beta Lead ETN
iPath Pure Beta Nickel ETN
iPath Pure Beta Crude Oil ETN
iPath Seasonal Natural Gas ETN
iPath Pure Beta Agriculture ETN
iPath Pure Beta Grains ETN
iPath Pure Beta Softs ETN
iPath Pure Beta Industrial Metals ETN
iPath Pure Beta Energy ETN
iPath Pure Beta Livestock ETN
iPath Pure Beta Precious Metals ETN
BCM
SBV
CHOC
CAF´┐Ż
CTNN
SGAR
FOIL
CUPM
LEDD
NINI
OLEM
DCNG
DIRT
WEET
GRWN
HEVY
ONG
LSTK
BLNG
01.14.11 iPath Inverse January 2021 S&P 500 VIX Short-Term Futures ETN IVO
Claymore Funds
Circular Date Structured Product Symbol(s)
09.22.11 Guggenheim Yuan Bond ETF RMB
06.08.11 Guggenheim ABC High Dividend ETF ABCS
01.25.11 Guggenheim BulletShares 2012 High Yield Corporate Bond ETF
Guggenheim BulletShares 2013 High Yield Corporate Bond ETF
Guggenheim BulletShares 2014 High Yield Corporate Bond ETF
Guggenheim BulletShares 2015 High Yield Corporate Bond ETF
BSJC
BSJD
BSJE
BSJF
Credit Suisse AG
Circular Date Structured Product Symbol(s)
10.17.11 VelocityShares 3x Long Gold ETN linked to the S&P GSCI Gold Index
VelocityShares 3x Long Silver ETN linked to the S&P GSCI Silver Index
VelocityShares 2x Long Platinum ETN linked to the S&P GSCI Platinum Index
VelocityShares 2x Long Palladium ETN linked to the S&P GSCI Palladium Index
VelocityShares 3x Inverse Gold ETN linked to the S&P GSCI Gold Index
VelocityShares 3x Inverse Silver ETN linked to the S&P GSCI Silver Index
VelocityShares 2x Inverse Platinum ETN linked to the S&P GSCI Platinum Index
VelocityShares 2x Inverse Palladium ETN linked to the S&P GSCI Palladium Index
UGLD
USLV
LPLT
LPAL
DGLD
DSLV
DPLT
DPAL
09.21.11 Credit Suisse Market Neutral Equity ETN Linked to the HS Market Neutral Index Powered by HOLT due September 22, 2031 CSMN
03.08.11 Credit Suisse 2X Monthly Leveraged Credit Suisse Merger Arbitrage Liquid Index (Net) ETN CSMB
CurrencyShares
Circular Date Structured Product Symbol(s)
10.04.11 CurrencyShares Chinese Renminbi Trust FXCH
DBX ETFs
Circular Date Structured Product Symbol(s)
06.09.11 DBX MSCI Emerging Markets Currency-Hedged Equity Fund
DBX MSCI EAFE Currency-Hedged Equity Fund
DBX MSCI Brazil Currency-Hedged Equity Fund
DBX MSCI Canada Currency-Hedged Equity Fund
DBX MSCI Japan Currency-Hedged Equity Fund
DBEM
DBEF
DBBR
DBCN
DBJP
Deutsche Bank AG
Circular Date Structured Product Symbol(s)
12.06.11 PowerShares DB US Inflation ETNs
PowerShares DB US Deflation ETNs
INFL
DEFL
11.09.11 PowerShares DB Inverse Japanese Govt Bond Futures ETNs
PowerShares DB 3X Inverse Japanese Govt Bond Futures ETNs
JGBS
JGBD
05.24.11 PowerShares DB 3X Long US Dollar Index Futures ETNs
PowerShares DB 3X Short US Dollar Index Futures ETNs
UUPT
UDNT
03.23.11 PowerShares DB German Bund Futures ETNs
PowerShares DB 3X German Bund Futures ETNs
PowerShares DB Japanese Government Bond Futures ETNs
PowerShares DB 3X Japanese Government Bond Futures ETNs
PowerShares DB Italian Treasury Bond Futures ETNs
PowerShares DB 3X Italian Treasury Bond Futures ETNs
BUNL
BUNT
JGBL
JGBT
ITLY
ITLT
Direxion Shares
Circular Date Structured Product Symbol(s)
12.08.11 Direxion Large Cap Insider Sentiment Shares
Direxion All Cap Insider Sentiment Shares
INSD
KNOW
06.15.11 Direxion Daily Basic Materials Bull 3X Shares
Direxion Daily Basic Materials Bear 3X Shares
Direxion Daily Healthcare Bull 3X Shares
Direxion Daily Healthcare Bear 3X Shares
Direxion Daily Total Market Bear 1X Shares
MATL
MATS
CURE
SICK
TOTS
05.25.11 Direxion Daily Russia Bull 3X Shares
Direxion Daily Russia Bear 3X Shares
Direxion Daily Agribusiness Bull 3X Shares
Direxion Daily Agribusiness Bear 3X Shares
RUSL
RUSS
COWL
COWS
03.22.11 Direxion Daily 20+ Year Treasury Bear 1X Shares
Direxion Daily 7-10 Year Treasury Bear 1X Shares
Direxion Daily Total Bond Market Bear 1X Shares
TYBS
TYNS
SAGG
EGShares
Circular Date Structured Product Symbol(s)
08.10.11 EGShares India Consumer ETF INCO
08.04.11 EGShares Emerging Markets High Income Low Beta ETF HILO
06.23.11 EGShares Basic Materials GEMS ETF
EGShares Health Care GEMS ETF
EGShares Industrials GEMS ETF
EGShares Consumer Goods GEMS ETF
EGShares Consumer Services GEMS ETF
EGShares Technology GEMS ETF
EGShares Telecom GEMS ETF
EGShares Utilities GEMS ETF
LGEM
HGEM
IGEM
GGEM
VGEM
QGEM
TGEM
UGEM
ETFS Asian Gold Trust
Circular Date Structured Product Symbol(s)
01.14.11 ETFS Physical Asian Gold Shares AGOL
FactorShares
Circular Date Structured Product Symbol(s)
02.24.11 FactorShares 2X: Gold Bull/S&P500 Bear Fund
FactorShares 2X: Oil Bull/S&P500 Bear Fund
FactorShares 2X: TBond Bull/S&P500 Bear Fund
FactorShares 2X: S&P 500 Bull/TBond Bear Fund
FactorShares 2X: S&P 500 Bull/USD Bear Fund
FSG
FOL
FSA
FSE
FSU
First Trust Exchange-Traded Funds
Circular Date Structured Product Symbol(s)
05.12.11 First Trust Mega Cap AlphaDEX Fund FMK
05.10.11 First Trust NASDAQ Global Auto Index Fund CARZ
04.19.11 First Trust Mid Cap Value AlphaDEX Fund
First Trust Mid Cap Growth AlphaDEX Fund
First Trust Small Cap Value AlphaDEX Fund
First Trust Small Cap Growth AlphaDEX Fund
First Trust Developed Markets ex-US AlphaDEX Fund
First Trust Emerging Markets AlphaDEX Fund
First Trust Europe AlphaDEX Fund
First Trust Latin America AlphaDEX Fund
First Trust Asia Pacific ex-Japan AlphaDEX Fund
First Trust Brazil AlphaDEX Fund
First Trust China AlphaDEX Fund
First Trust South Korea AlphaDEX Fund
First Trust Japan AlphaDEX Fund
FNK
FNY
FYT
FYC
FDT
FEM
FEP
FLN
FPA
FBZ
FCA
FKO
FJP
02.18.11 First Trust NASDAQ CEA Smartphone Index Fund FONE
FlexShares
Circular Date Structured Product Symbol(s)
09.22.11 FlexShares Morningstar US Market Factors Tilt Index Fund
FlexShares Global Upstream Natural Resources Index Fund
FlexShares iBoxx 3-Year Target Duration TIPS Index Fund
FlexShares iBoxx 5-Year Target Duration TIPS Index Fund
TILT
GUNR
TDTT
TDTF
FocusShares
Circular Date Structured Product Symbol(s)
03.30.11 Focus Morningstar US Market Index ETF
Focus Morningstar Large Cap Index ETF
Focus Morningstar Mid Cap Index ETF
Focus Morningstar Small Cap Index ETF
Focus Morningstar Basic Materials Index ETF
Focus Morningstar Communication Services Index ETF
Focus Morningstar Consumer Cyclical Index ETF
Focus Morningstar Consumer Defensive Index ETF
Focus Morningstar Energy Index ETF
Focus Morningstar Financial Services Index ETF
Focus Morningstar Health Care Index ETF
Focus Morningstar Industrials Index ETF
Focus Morningstar Real Estate Index ETF
Focus Morningstar Technology Index ETF
Focus Morningstar Utilities Index ETF
FMU
FLG
FMM
FOS
FBM
FCQ
FCL
FCD
FEG
FFL
FHC
FIL
FRL
FTQ
FUI
Global X Funds
Circular Date Structured Product Symbol(s)
12.13.11 Global X Nasdaq China Technology Index ETF QQQC
12.08.11 Global X FTSE Greece 20 ETF GREK
12.06.11 Global X NASDAQ 400 Mid Cap ETF
Global X NASDAQ 500 ETF
QQQM
QQQV
11.15.11 Global X Social Media Index ETF SOCL
06.09.11 Global X SuperDividend ETF SDIV
06.02.11 Global X Farming ETF BARN
05.26.11 Global X Fertilizers/Potash ETF SOIL
05.24.11 Global X Canada Preferred ETF CNPF
05.19.11 Global X Auto ETF VROM
05.05.11 Global X Mexico Small-Cap ETF MEXS
05.04.11 Global X Fishing Industry ETF FISN
05.03.11 Global X Food ETF EATX
04.13.11 Global X Waste Management ETF WSTE
03.17.11 Global X S&P/TSX Venture 30 Canada ETF TSXV
03.15.11 Global X Pure Gold Miners ETF
Global X Oil Equities ETF
GGGG
XOIL
03.03.11 Global X FTSE Argentina 20 ETF ARGT
02.17.11 Global X FTSE ASEAN 40 ETF ASEA
02.03.11 Global X FTSE Andean 40 ETF AND
01.25.11 Global X Russell Emerging Markets Growth ETF
Global X Russell Emerging Markets Value ETF
EMGX
EMVX
01.05.11 Global X Aluminum ETF ALUM
IndexIQ Funds
Circular Date Structured Product Symbol(s)
07.13.11 IQ Emerging Markets Mid Cap ETF EMER
06.14.11 IQ U.S. Real Estate Small Cap ETF ROOF
06.02.11 IQ Japan Mid Cap ETF RSUN
05.18.11 IQ Hong Kong Small Cap ETF HKK
05.05.11 IQ Global Oil Small Cap ETF IOIL
03.22.11 IQ Global Agribusiness Small Cap ETF CROP
iShares
Circular Date Structured Product Symbol(s)
11.17.11 iShares S&P International Preferred Stock Index Fund IPFF
10.20.11 iShares Emerging Markets Local Currency Bond Fund
iShares MSCI USA Minimum Volatility Index Fund
iShares MSCI EAFE Minimum Volatility Index Fund
iShares MSCI All Country World Minimum Volatility Index Fund
iShares MSCI Emerging Markets Minimum Volatility Index Fund
LEMB
USMV
EFAV
ACWV
EEMV
08.18.11 iShares S&P Target Date 2045 Index Fund
iShares S&P Target Date 2050 Index Fund
iShares MSCI Emerging Markets Small Cap Index Fund
TWZ
TYZ
EEMS
06.17.11 iShares Floating Rate Note Fund FLOT
05.20.11 iShares Global Inflation-Linked Bond Fund
iShares International Inflation-Linked Bond Fund
GTIP
ITIP
03.31.11 iShares MSCI China Index Fund
iShares High Dividend Equity Fund
MCHI
HDV
Market Vectors Funds
Circular Date Structured Product Symbol(s)
12.21.11 Market Vectors Biotech ETF
Market Vectors Bank and Brokerage ETF
Market Vectors Oil Services ETF
Market Vectors Pharmaceutical ETF
Market Vectors Retail ETF
Market Vectors Semiconductors ETF
BBH
RKH
OIH
PPH
RTH
SMH
10.12.11 Market Vectors Renminbi Bond ETF CHLC
08.16.11 Market Vectors REIT Income ETF MORT
07.13.11 Market Vectors CEF Municipal Income ETF XMPT
05.12.11 Market Vectors LatAM Aggregate Bond ETF BONO
04.26.11 Market Vectors Investment Grade Floating Rate ETF FLTR
04.14.11 Market Vectors Russia Small-Cap ETF RSXJ
04.05.11 Market Vectors Germany Small-Cap ETF GERJ
03.15.11 Market Vectors Colombia ETF COLX
Morgan Stanley
Circular Date Structured Product Symbol(s)
06.29.11 Morgan Stanley S&P 500 Crude Oil Linked ETNs BARL
03.17.11 Morgan Stanley Cushing MLP High Income Index ETNs MLPY
Pax World Funds
Circular Date Structured Product Symbol(s)
01.27.11 Pax MSCI EAFE ESG Index ETF EAPS
PIMCO Funds
Circular Date Structured Product Symbol(s)
11.10.11 PIMCO Canada Bond Index Fund
PIMCO Germany Bond Index Fund
CAD
BUND
11.01.11 PIMCO Australia Bond Index Fund AUD
06.17.11 PIMCO 0-5 Year High Yield Corporate Bond Index Fund HYS
PowerShares Funds
Circular Date Structured Product Symbol(s)
11.01.11 PowerShares KBW Bank Portfolio
PowerShares KBW Regional Banking Portfolio
PowerShares KBW Insurance Portfolio
PowerShares KBW Capital Markets Portfolio
KBWB
KBWR
KBWI
KBWC
09.23.11 PowerShares Chinese Yuan Dim Sum Portfolio DSUM
09.15.11 PowerShares Fundamental Investment Grade Corporate Bond Portfolio PFIG
06.16.11 PowerShares Fundamental Pure Large Growth Portfolio
PowerShares Fundamental Pure Large Value Portfolio
PXLG
PXLV
05.26.11 PowerShares Convertible Securities Portfolio CVRT
05.05.11 PowerShares S&P 500 High Beta Portfolio
PowerShares S&P 500 Low Volatility Portfolio
SPHB
SPLV
03.03.11 PowerShares Senior Loan Portfolio BKLN
Precidian Funds
Circular Date Structured Product Symbol(s)
07.13.11 MAXIS Nikkei 225 Index Fund NKY
ProShares
Circular Date Structured Product Symbol(s)
10.06.11 ProShares Ultra DJ-UBS Natural Gas
ProShares UltraShort DJ-UBS Natural Gas
BOIL
KOLD
10.04.11 ProShares Ultra VIX Short-Term Futures ETF
ProShares Short VIX Short-Term Futures ETF
UVXY
SVXY
07.14.11 ProShares Hedge Replication ETF HDG
04.14.11 ProShares Ultra High Yield
ProShares Ultra Investment Grade Corporate
UJB
IGU
04.05.11 ProShares Short 7-10 Year Treasury
ProShares UltraShort 3-7 Year Treasury
TBX
TBZ
03.29.11 ProShares Short Investment Grade Corporate IGS
03.22.11 ProShares Short High Yield SJB
02.10.11 ProShares UltraShort TPS TPS
01.04.11 ProShares VIX Short-Term Futures ETF
ProShares VIX Mid-Term Futures ETF
VIXY
VIXM
QuantShares
Circular Date Structured Product Symbol(s)
09.13.11 QuantShares U.S. Market Neutral Value Fund
QuantShares U.S. Market Neutral Beta Fund
QuantShares U.S. Market Neutral Anti-Beta Fund
CHEP
BTAH
BTAL
09.07.11 QuantShares U.S. Market Neutral Momentum Fund
QuantShares U.S. Market Neutral Size Fund
QuantShares U.S. Market Neutral Quality Fund
QuantShares U.S. Market Neutral Anti-Momentum Fund
MOM
SIZ
QLT
NOMO
The Royal Bank of Scotland NV
Circular Date Structured Product Symbol(s)
12.13.11 RBS NASDAQ-100 Trendpilot Exchange-Traded Notes TNDQ
10.24.11 RBS Global Big Pharma Exchange-Traded Notes DRGS
09.15.11 RBS Oil Trendpilot Exchange-Traded Notes TWTI
02.22.11 RBS Gold Trendpilot Exchange-Traded Notes TBAR
01.27.11 RBS US Mid Cap Trendpilot Exchange-Traded Notes TRNM
Russell ETFs
Circular Date Structured Product Symbol(s)
11.03.11 Russell Developed ex-U.S. Low Beta ETF
Russell Developed ex-U.S. Low Volatility ETF
Russell Developed ex-U.S. High Momentum ETF
XLBT
XLVO
XHMO
10.05.11 Russell Small Cap Low P/E ETF
Russell Small Cap Aggressive Growth ETF
Russell Small Cap Consistent Growth ETF
Russell Small Cap Contrarian ETF
SCLP
SGGG
SCOG
SCTR
05.27.11 Russell 1000 Low Beta ETF
Russell 1000 High Beta ETF
Russell 1000 Low Volatility ETF
Russell 1000 High Volatility ETF
Russell 1000 High Momentum ETF
Russell 2000 Low Beta ETF
Russell 2000 High Beta ETF
Russell 2000 Low Volatility ETF
Russell 2000 High Volatility ETF
Russell 2000 High Momentum ETF
LBTA
HBTA
LVOL
HVOL
HMTM
SLBT
SHBT
SLVY
SHVY
SHMO
05.19.11 Russell Aggressive Growth ETF
Russell Consistent Growth ETF
Russell Growth at a Reasonable Price ETF
Russell Contrarian ETF
Russell Equity Income ETF
Russell Low P/E ETF
AGRG
CONG
GRPC
CNTR
EQIN
LWPE
Rydex Funds
Circular Date Structured Product Symbol(s)
08.04.11 Rydex S&P MidCap 400 Equal Weight ETF
Rydex S&P SmallCap 600 Equal Weight ETF
EWMD
EWSM
01.12.11 Rydex MSCI All Country World (ACWI) Equal Weight ETF EWAC
Schwab Strategic Trust
Circular Date Structured Product Symbol(s)
10.20.11 Schwab U.S. Dividend Equity ETF SCHD
07.13.11 Schwab U.S. Aggregate Bond ETF SCHZ
01.13.11 Schwab U.S. Mid-Cap ETF
Schwab U.S. REIT ETF
SCHM
SCHH
SPDR Series Trust
Circular Date Structured Product Symbol(s)
12.01.11 SPDR Barclays Capital Investment Grade Floating Rate ETF
SPDR Barclays Capital Short Term Treasury ETF
FLRN
SST
09.29.11 SPDR S&P Software & Services Equipment
SPDR S&P Health Care Services ETF
SPDR S&P Aerospace & Defense ETF
XSW
XHS
XAR
04.14.11 SPDR Nuveen S&P High Yield Municipal Bond ETF HYMB
04.07.11 SPDR Barclays Capital Issuer Scored Corporate Bond ETF CBND
02.24.11 SPDR Barclays Capital Emerging Markets ETF
SPDR S&P Emerging Markets Dividend ETF
EBND
EDIV
01.27.11 SPDR S&P Health Care Equipment ETF
SPDR S&P Transportation ETF
SPDR S&P Telecom ETF
XHE
XTN
XTL
Teucrium Commodity Trust
Circular Date Structured Product Symbol(s)
09.19.11 Teucrium Wheat Fund
Teucrium Soybean Fund
Teucrium Sugar Fund
WEAT
SOYB
CANE
02.23.11 Teucrium Crude Oil Fund CRUD
02.01.11 Teucrium Natural Gas Fund NAGS
UBS AG
Circular Date Structured Product Symbol(s)
11.30.11 ETRACS Fisher-Gartman Risk On Exchange-Traded Notes
ETRACS Fisher-Gartman Risk Off Exchange-Traded Notes
ONN
OFF
10.05.11 UBS AG ETRACS Monthly 2xLeveraged ISE Cloud Computing TR Index ETN due October 4, 2041 LSKY
09.15.11 ETRACS ISE Solid State Drive Index ETN due September 13, 2041
ETRACS Monthly 2xLeveraged ISE Solid State Drive Index ETN due September 13, 2041
SSDD
SSDL
09.08.11 ETRACS Daily Short 1-Month S&P 500 VIX Futures ETN
ETRACS Daily Short 2-Month S&P 500 VIX Futures ETN
ETRACS Daily Short 3-Month S&P 500 VIX Futures ETN
ETRACS Daily Short 4-Month S&P 500 VIX Futures ETN
ETRACS Daily Short 5-Month S&P 500 VIX Futures ETN
ETRACS Daily Short 6-Month S&P 500 VIX Futures ETN
ETRACS 1-Month S&P 500 VIX Futures ETN
ETRACS 2-Month S&P 500 VIX Futures ETN
ETRACS 3-Month S&P 500 VIX Futures ETN
ETRACS 4-Month S&P 500 VIX Futures ETN
ETRACS 5-Month S&P 500 VIX Futures ETN
ETRACS 6-Month S&P 500 VIX Futures ETN
AAVX
BBVX
CCVX
DDVX
EEVX
FFVX
VXAA
VXBB
VXCC
VXDD
VXEE
VXFF
07.21.11 ETRACS Internet IPO ETN due July 19, 2041
Monthly 2xLeveraged ETRACS Internet IPO ETN due July 19, 2041
EIPO
EIPL
06.16.11 Oil Futures Contango ETN due June 14, 2041
Natural Gas Futures Contango ETN due June 14, 2041
OILZ
GASZ
05.25.11 UBS AG 2X Leveraged Long Exchange Traded Access Securities Linked to the Wells Fargo Business Development Company Index BDCL
04.28.11 UBS AG Exchange Traded Access Securities Linked to the Wells Fargo Business Development Company Index BDCS
United States Copper Index Fund
Circular Date Structured Product Symbol(s)
11.15.11 United States Copper Index Fund CPER
Vanguard Funds
Circular Date Structured Product Symbol(s)
01.28.11 Vanguard Total International Stock ETF VXUS
WisdomTree Trust
Circular Date Structured Product Symbol(s)
07.14.11 WisdomTree Global Real Return Fund RRF
03.17.11 WisdomTree Asia Local Debt Fund ALD
01.05.11 WisdomTree Managed Futures Strategy Fund WDTI