Environment=PROD|Report Date=2020-05-07|Record Count=365 Symbol|Issue Name|Issue Type|Currency|Outstanding Shares|Test Symbol|Market Category|First Date Traded|IPO Flag|Expiration Date|Separation Date|When Issued Flag|When Distributed Flag|Round Lot Quantity|Notes|Financial Status ACES|ALPS Clean Energy ETF|Index Fund Shares|USD|n/a|N|Tier 1|2018-06-29|Y|||N|N|100||0 ACIO|Aptus Collared Income Opportunity ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2019-07-10|Y|||N|N|100||0 ACSI|American Customer Satisfaction ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-11-01|Y|||N|N|100||0 ACWV|iShares Edge MSCI Min Vol Global ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-08-02|N|||N|N|100||0 ADME|Aptus Drawdown Managed Equity ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2016-06-09|Y|||N|N|100||0 AESR|Anfield U.S. Equity Sector Rotation ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2019-12-17|Y|||N|N|100||0 AFIF|Anfield Universal Fixed Income ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2018-09-18|Y|||N|N|100||0 AGT|iShares MSCI Argentina and Global Exposure ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-04-27|Y|||N|N|100||0 ALFA|AlphaClone Alternative Alpha ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-12-27|N|||N|N|100||0 ALTS|ProShares Morningstar Alternatives Solution ETF|Index Fund Shares|USD|n/a|N|Tier 1|2015-12-15|N|||N|N|100||0 ARCM|Arrow Reserve Capital Management ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2017-03-31|Y|||N|N|100||0 ARKG|ARK Genomic Revolution ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2019-12-31|N|||N|N|100||0 ARKQ|ARK Autonomous Technology & Robotics ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2019-12-31|N|||N|N|100||0 ATMP|iPath Select MLP ETN|Equity Index-Linked Securities|USD|15820281|N|Tier 1|2019-05-13|N|||N|N|100||0 BAPR|Innovator S&P 500 Buffer ETF - April |Managed Fund Shares|USD|n/a|N|Tier 1|2019-04-01|Y|||N|N|100||0 BAUG|Innovator S&P 500 Buffer ETF - August|Managed Fund Shares|USD|n/a|N|Tier 1|2019-08-01|Y|||N|N|100||0 BBAX|JPMorgan BetaBuilders Developed Asia-ex Japan ETF |Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2018-08-08|Y|||N|N|100||0 BBCA|JPMorgan BetaBuilders Canada ETF |Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2018-08-08|Y|||N|N|100||0 BBEU|JPMorgan BetaBuilders Europe ETF |Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2018-06-18|Y|||N|N|100||0 BBIN|JPMorgan BetaBuilders International Equity ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2019-12-05|Y|||N|N|100||0 BBJP|JPMorgan BetaBuilders Japan ETF |Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2018-06-18|Y|||N|N|100||0 BBRE|JPMorgan BetaBuilders MSCI U.S. REIT ETF |Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2018-06-18|Y|||N|N|100||0 BBSA|JPMorgan BetaBuilders 1-5 Year U.S. Aggregate Bond ETF |Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2019-03-13|Y|||N|N|100||0 BBUS|JPMorgan BetaBuilders U.S. Equity ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2019-03-13|Y|||N|N|100||0 BDEC|Innovator S&P 500 Buffer ETF - December|Managed Fund Shares|USD|n/a|N|Tier 1|2019-12-02|Y|||N|N|100||0 BFEB|Innovator S&P 500 Buffer ETF - February|Managed Fund Shares|USD|n/a|N|Tier 1|2020-02-03|Y|||N|N|100||0 BJAN|Innovator S&P 500 Buffer ETF - January|Managed Fund Shares|USD|n/a|N|Tier 1|2019-01-02|Y|||N|N|100||0 BJUL|Innovator S&P 500 Buffer ETF - July|Managed Fund Shares|USD|n/a|N|Tier 1|2018-08-29|Y|||N|N|100||0 BJUN|Innovator S&P 500 Buffer ETF - June|Managed Fund Shares|USD|n/a|N|Tier 1|2019-06-03|Y|||N|N|100||0 BMAR|Innovator S&P 500 Buffer ETF - March|Managed Fund Shares|USD|n/a|N|Tier 1|2020-03-02|Y|||N|N|100||0 BMAY|Innovator S&P 500 Buffer ETF - May|Managed Fund Shares|USD|n/a|N|Tier 1|2020-05-01|Y|||N|N|100||0 BNOV|Innovator S&P 500 Buffer ETF - November|Managed Fund Shares|USD|n/a|N|Tier 1|2019-11-01|Y|||N|N|100||0 BOCT|Innovator S&P 500 Buffer ETF - October|Managed Fund Shares|USD|n/a|N|Tier 1|2018-10-01|Y|||N|N|100||0 BOSS|Global X Founder-Run Companies ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-02-15|Y|||N|N|100||0 BSEP|Innovator S&P 500 Buffer ETF - September|Managed Fund Shares|USD|n/a|N|Tier 1|2019-09-03|Y|||N|N|100||0 BTYS|iPath Series B US Treasury 10-year Bear ETN|Futures-Linked Securities|USD|n/a|N|Tier 1|2020-02-05|Y|||N|N|100||0 BUYZ|Franklin Disruptive Commerce ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2020-02-27|Y|||N|N|100||0 CALF|Pacer US Small Cap Cash Cows 100 ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-06-19|Y|||N|N|100||0 CBOE|Cboe Global Markets, Inc.|Primary Equity|USD|109720335|N|Tier 1|2018-09-17|N|||N|N|100||0 CEFS|Saba Closed-End Funds ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2017-03-21|Y|||N|N|100||0 CEMB|iShares J.P Morgan EM Corporate Bond ETF|Index Fund Shares|USD|n/a|N|Tier 1|2012-04-19|Y|||N|N|100||0 CNYA|iShares MSCI China A ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-06-15|Y|||N|N|100||0 COWZ|Pacer US Cash Cows 100 ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-12-19|Y|||N|N|100||0 CSM|ProShares Large Cap Core Plus|Index Fund Shares|USD|n/a|N|Tier 1|2015-12-15|N|||N|N|100||0 DALT|Anfield Capital Diversified Alternatives ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2017-09-29|Y|||N|N|100||0 DAUG|FT Cboe Vest U.S. Equity Deep Buffer ETF - August|Managed Fund Shares|USD|n/a|N|Tier 1|2019-11-07|Y|||N|N|100||0 DDLS|WisdomTree Dynamic Currency Hedged International SmallCap Equity Fund|Index Fund Shares|USD|n/a|N|Tier 1|2016-01-07|Y|||N|N|100||0 DDWM|WisdomTree Dynamic Currency Hedged International Equity Fund|Index Fund Shares|USD|n/a|N|Tier 1|2016-01-07|Y|||N|N|100||0 DEFA|iShares Adaptive Currency Hedged MSCI EAFE ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-01-07|Y|||N|N|100||0 DFEB|FT Cboe Vest U.S. Equity Deep Buffer ETF - February|Managed Fund Shares|USD|n/a|N|Tier 1|2020-02-24|Y|||N|N|100||0 DFND|Reality Shares DIVCON Dividend Defender ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-01-14|Y|||N|N|100||0 DFVL|iPath US Treasury 5-year Bull ETN|Futures-Linked Securities|USD|n/a|N|Tier 1|2019-05-13|N|||N|N|100||0 DFVS|iPath US Treasury 5-year Bear ETN|Futures-Linked Securities|USD|n/a|N|Tier 1|2019-05-13|N|||N|N|100||0 DIVB|iShares U.S. Dividend and Buyback ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-11-09|Y|||N|N|100||0 DNOV|FT Cboe Vest U.S. Equity Deep Buffer ETF - November|Managed Fund Shares|USD|n/a|N|Tier 1|2019-11-18|Y|||N|N|100||0 DRSK|Aptus Defined Risk ETF |Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2018-08-08|Y|||N|N|100||0 DTEC|ALPS Disruptive Technologies ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-12-29|Y|||N|N|100||0 DTUL|iPath US Treasury 2-year Bull ETN|Futures-Linked Securities|USD|n/a|N|Tier 1|2019-05-13|N|||N|N|100||0 DTUS|iPath US Treasury 2-year Bear ETN|Futures-Linked Securities|USD|n/a|N|Tier 1|2019-05-13|N|||N|N|100||0 DTYL|iPath US Treasury 10-year Bull ETN|Futures-Linked Securities|USD|n/a|N|Tier 1|2019-05-13|N|||N|N|100||0 DURA|VanEck Vectors Morningstar Durable Dividend ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2019-12-11|N|||N|N|100||0 DYLS|WisdomTree Dynamic Long/Short U.S. Equity Fund|Index Fund Shares|USD|n/a|N|Tier 1|2015-12-23|Y|||N|N|100||0 ECH|iShares MSCI Chile ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-08-02|N|||N|N|100||0 EDEN|iShares MSCI Denmark ETF|Index Fund Shares|USD|n/a|N|Tier 1|2012-01-26|Y|||N|N|100||0 EEMV|iShares Edge MSCI Min Vol Emerging Markets ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-08-02|N|||N|N|100||0 EFAD|ProShares MSCI EAFE Dividend Growers ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-12-29|N|||N|N|100||0 EFAV|iShares Edge MSCI Min Vol EAFE ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-08-02|N|||N|N|100||0 EFG|iShares MSCI EAFE Growth ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-08-02|N|||N|N|100||0 EFNL|iShares MSCI Finland ETF|Index Fund Shares|USD|n/a|N|Tier 1|2012-01-26|Y|||N|N|100||0 EFV|iShares MSCI EAFE Value ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-08-02|N|||N|N|100||0 EMDV|ProShares MSCI Emerging Markets Dividend Growers ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-01-27|Y|||N|N|100||0 EMGF|iShares Edge MSCI Multifactor Emerging Markets ETF|Index Fund Shares|USD|n/a|N|Tier 1|2015-12-10|Y|||N|N|100||0 EMHY|iShares J.P. Morgan EM High Yield Bond ETF|Index Fund Shares|USD|n/a|N|Tier 1|2012-04-03|Y|||N|N|100||0 EMIH|Xtrackers Emerging Markets Bond - Interest Rate Hedged ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-06-09|N|||N|N|100||0 EMSH|ProShares Short Term USD Emerging Markets Bond ETF|Index Fund Shares|USD|n/a|N|Tier 1|2013-11-21|Y|||N|N|100||0 EMTL|SPDR DoubleLine Emerging Markets Fixed Income ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2016-04-14|Y|||N|N|100||0 ENOR|iShares MSCI Norway ETF|Index Fund Shares|USD|n/a|N|Tier 1|2012-01-24|Y|||N|N|100||0 EPRF|Innovator S&P Investment Grade Preferred ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-05-24|Y|||N|N|100||0 ESG|FlexShares STOXX US ESG Impact Index Fund|Index Fund Shares|USD|n/a|N|Tier 1|2018-12-28|N|||N|N|100||0 ESGG|FlexShares STOXX Global ESG Impact Index Fund|Index Fund Shares|USD|n/a|N|Tier 1|2019-10-09|N|||N|N|100||0 ESGV|Vanguard ESG U.S. Stock ETF|Index Fund Shares|USD|n/a|N|Tier 1|2018-09-20|Y|||N|N|100||0 ESML|iShares MSCI USA Small-Cap ESG Optimized ETF |Index Fund Shares|USD|n/a|N|Tier 1|2018-04-12|Y|||N|N|100||0 EUDV|ProShares MSCI Europe Dividend Growers ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-12-29|N|||N|N|100||0 EUMF|WisdomTree Europe Multifactor Fund|Managed Fund Shares|USD|n/a|N|Tier 1|2016-01-07|Y|||N|N|100||0 EURZ|Xtrackers Eurozone Equity ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-01-06|N|||N|N|100||0 EWGS|iShares MSCI Germany Small-Cap ETF|Index Fund Shares|USD|n/a|N|Tier 1|2012-01-26|Y|||N|N|100||0 EWUS|iShares MSCI United Kingdom Small-Cap ETF|Index Fund Shares|USD|n/a|N|Tier 1|2012-01-26|Y|||N|N|100||0 EYLD|Cambria Emerging Shareholder Yield ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-07-14|Y|||N|N|100||0 EZU|iShares MSCI Eurozone ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-02-02|N|||N|N|100||0 FAUG|FT Cboe Vest U.S. Equity Buffer ETF - August|Managed Fund Shares|USD|n/a|N|Tier 1|2019-11-07|Y|||N|N|100||0 FCPI|Fidelity Stocks for Inflation ETF |Index Fund Shares|USD|n/a|N|Tier 1|2019-11-07|Y|||N|N|100||0 FCTR|First Trust Lunt U.S. Factor Rotation ETF|Index Fund Shares|USD|n/a|N|Tier 1|2018-07-26|Y|||N|N|100||0 FDEM|Fidelity Targeted Emerging Markets Factor ETF|Index Fund Shares|USD|n/a|N|Tier 1|2019-02-28|Y|||N|N|100||0 FDEV|Fidelity Targeted International Factor ETF|Index Fund Shares|USD|n/a|N|Tier 1|2019-02-28|Y|||N|N|100||0 FDG|American Century Focused Dynamic Growth ETF|Managed Portfolio Shares|USD|n/a|N|Tier 1|2020-04-02|Y|||N|N|100||0 FFEB|FT Cboe Vest U.S. Equity Buffer ETF - February|Managed Fund Shares|USD|n/a|N|Tier 1|2020-02-24|Y|||N|N|100||0 FFHG|Formula Folios Hedged Growth ETF |Managed Fund Shares|USD|n/a|N|Tier 1|2017-06-06|Y|||N|N|100||0 FFSG|FormulaFolios Smart Growth ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2017-11-01|Y|||N|N|100||0 FFTG|FormulaFolios Tactical Growth ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2017-11-01|Y|||N|N|100||0 FFTI|FormulaFolios Tactical Income ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2017-06-06|Y|||N|N|100||0 FIBR|iShares Edge U.S. Fixed Income Balanced Risk ETF|Index Fund Shares|USD|n/a|N|Tier 1|2015-02-26|Y|||N|N|100||0 FLAT|iPath US Treasury Flattener ETN|Futures-Linked Securities|USD|n/a|N|Tier 1|2019-05-13|N|||N|N|100||0 FLBL|Franklin Liberty Senior Loan ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2018-06-01|Y|||N|N|100||0 FLDR|Fidelity Low Duration Bond Factor ETF|Index Fund Shares|USD|n/a|N|Tier 1|2018-06-14|Y|||N|N|100||0 FLHY|Franklin Liberty High Yield Corporate ETF |Managed Fund Shares|USD|n/a|N|Tier 1|2018-06-01|Y|||N|N|100||0 FLIA|Franklin Liberty International Aggregate Bond ETF |Managed Fund Shares|USD|n/a|N|Tier 1|2018-06-01|Y|||N|N|100||0 FLOT|iShares Floating Rate Bond ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-08-02|N|||N|N|100||0 FLQL|Franklin LibertyQ U.S. Equity ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-04-28|Y|||N|N|100||0 FLQM|Franklin LibertyQ U.S. Mid Cap Equity ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-04-28|Y|||N|N|100||0 FLQS|Franklin LibertyQ U.S. Small Cap Equity ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-04-28|Y|||N|N|100||0 FLV|American Century Focused Large Cap Value ETF|Managed Portfolio Shares|USD|n/a|N|Tier 1|2020-04-02|Y|||N|N|100||0 FNOV|FT Cboe Vest U.S. Equity Buffer ETF - November|Managed Fund Shares|USD|n/a|N|Tier 1|2019-11-18|Y|||N|N|100||0 FRDM|Freedom 100 Emerging Markets ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2019-05-23|Y|||N|N|100||0 FUT|ProShares Managed Futures Strategy ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2016-02-18|Y|||N|N|100||0 FYLD|Cambria Foreign Shareholder Yield ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-12-29|N|||N|N|100||0 GAA|Cambria Global Asset Allocation ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2016-12-29|N|||N|N|100||0 GCOW|Pacer Global Cash Cows Dividend ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-02-23|Y|||N|N|100||0 GDVD|Principal Active Global Dividend Income ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2017-05-10|Y|||N|N|100||0 GHYG|iShares US & Intl High Yield Corp Bond ETF|Index Fund Shares|USD|n/a|N|Tier 1|2012-04-05|Y|||N|N|100||0 GMOM|Cambria Global Momentum ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2018-12-17|N|||N|N|100||0 GOAT|VanEck Vectors Morningstar Global Wide Moat ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2019-12-11|N|||N|N|100||0 GOVT|iShares U.S. Treasury Bond ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-08-02|N|||N|N|100||0 GSEW|Goldman Sachs Equal Weight U.S. Large Cap Equity ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-09-14|Y|||N|N|100||0 GSST|Goldman Sachs Access Ultra Short Bond ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2019-04-17|Y|||N|N|100||0 GTIP| Goldman Sachs Access Inflation Protected USD Bond ETF|Index Fund Shares|USD|n/a|N|Tier 1|2018-10-04|Y|||N|N|100||0 GVAL|Cambria Global Value ETF|Index Fund Shares|USD|n/a|N|Tier 1|2018-12-17|N|||N|N|100||0 GVI|iShares Intermediate Government/Credit Bond ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-08-02|N|||N|N|100||0 HCRB|Hartford Core Bond ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2020-02-20|Y|||N|N|100||0 HEEM|iShares Currency Hedged MSCI Emerging Markets ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-08-02|N|||N|N|100||0 HEFA|iShares Currency Hedged MSCI EAFE ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-08-02|N|||N|N|100||0 HELX|Franklin Genomic Advancements ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2020-02-27|Y|||N|N|100||0 HSRT|Hartford Short Duration ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2018-05-31|Y|||N|N|100||0 HYD|VanEck Vectors High-Yield Municipal Index ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2018-12-28|N|||N|N|100||0 HYDB|iShares Edge High Yield Defensive Bond ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-07-13|Y|||N|N|100||0 HYHG|ProShares High Yield-Interest Rate Hedged ETF|Index Fund Shares|USD|n/a|N|Tier 1|2013-05-23|Y|||N|N|100||0 HYIH|Xtrackers High Yield Corporate Bond - Interest Rate Hedged ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-06-09|N|||N|N|100||0 HYXU|iShares International High Yield Bond ETF|Index Fund Shares|USD|n/a|N|Tier 1|2012-04-03|Y|||N|N|100||0 IAGG|iShares Core International Aggregate Bond Fund|Index Fund Shares|USD|n/a|N|Tier 1|2015-11-12|Y|||N|N|100||0 IAUF|iShares Gold Strategy ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2018-06-08|Y|||N|N|100||0 IBHA|iShares iBonds 2021 Term High Yield and Income ETF|Index Fund Shares|USD|n/a|N|Tier 1|2019-05-09|Y|||N|N|100||0 IBHB|iShares iBonds 2022 Term High Yield and Income ETF|Index Fund Shares|USD|n/a|N|Tier 1|2019-05-09|Y|||N|N|100||0 IBHC|iShares iBonds 2023 Term High Yield and Income ETF|Index Fund Shares|USD|n/a|N|Tier 1|2019-05-09|Y|||N|N|100||0 IBHD|iShares iBonds 2024 Term High Yield and Income ETF|Index Fund Shares|USD|n/a|N|Tier 1|2019-05-09|Y|||N|N|100||0 IBHE|iShares iBonds 2025 Term High Yield and Income ETF|Index Fund Shares|USD|n/a|N|Tier 1|2019-05-09|Y|||N|N|100||0 IBML|iShares iBonds Dec 2023 Term Muni Bond ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-04-13|Y|||N|N|100||0 IBMM|iShares iBonds Dec 2024 Term Muni Bond ETF|Index Fund Shares|USD|n/a|N|Tier 1|2018-03-22|Y|||N|N|100||0 IBMN|iShares iBonds Dec 2025 Term Muni Bond ETF|Index Fund Shares|USD|n/a|N|Tier 1|2018-11-15|Y|||N|N|100||0 IBMO|iShares iBonds Dec 2026 Term Muni Bond ETF|Index Fund Shares|USD|n/a|N|Tier 1|2019-04-04|Y|||N|N|100||0 IBMP|iShares iBonds Dec 2027 Term Muni Bond ETF|Index Fund Shares|USD|n/a|N|Tier 1|2019-04-11|Y|||N|N|100||0 IBMQ|iShares iBonds Dec 2028 Term Muni Bond ETF|Index Fund Shares|USD|n/a|N|Tier 1|2019-04-18|Y|||N|N|100||0 ICF|iShares Cohen & Steers REIT ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-08-02|N|||N|N|100||0 ICOW|Pacer Developed Markets International Cash Cows 100 ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-06-19|Y|||N|N|100||0 ICSH|iShares Ultra Short-Term Bond ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2013-12-13|Y|||N|N|100||0 ICVT|iShares Convertible Bond ETF|Index Fund Shares|USD|n/a|N|Tier 1|2015-06-04|Y|||N|N|100||0 IDHD|Invesco S&P International Developed High Dividend Low Volatility ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-12-01|Y|||N|N|100||0 IDV|iShares International Select Dividend ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-08-02|N|||N|N|100||0 IECS|iShares Evolved U.S. Consumer Staples ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2018-03-23|Y|||N|N|100||0 IEDI|iShares Evolved U.S. Discretionary Spending ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2018-03-23|Y|||N|N|100||0 IEFA|iShares Core MSCI EAFE ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-08-02|N|||N|N|100||0 IEFN|iShares Evolved U.S. Financials ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2018-03-23|Y|||N|N|100||0 IEHS|iShares Evolved U.S. Healthcare Staples ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2018-03-23|Y|||N|N|100||0 IEIH|iShares Evolved U.S. Innovative Healthcare ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2018-03-23|Y|||N|N|100||0 IEME|iShares Evolved U.S. Media and Entertainment ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2018-03-23|Y|||N|N|100||0 IEO|iShares U.S. Oil & Gas Exploration & Production ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-08-02|N|||N|N|100||0 IETC|iShares Evolved U.S. Technology ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2018-03-23|Y|||N|N|100||0 IFRA|iShares U.S. Infrastructure ETF|Index Fund Shares|USD|n/a|N|Tier 1|2018-04-05|Y|||N|N|100||0 IGE|iShares North American Natural Resources ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-08-02|N|||N|N|100||0 IGEB|iShares Edge Investment Grade Enhanced Bond ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-07-13|Y|||N|N|100||0 IGHG|ProShares Investment Grade-Interest Rate Hedged|Index Fund Shares|USD|n/a|N|Tier 1|2013-11-07|Y|||N|N|100||0 IGIH|Xtrackers Investment Grade Bond - Interest Rate Hedged ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-06-09|N|||N|N|100||0 IGRO|iShares International Dividend Growth ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-05-19|Y|||N|N|100||0 IGV|iShares Expanded Tech-Software Sector ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-08-02|N|||N|N|100||0 IMLP|iPath S&P MLP ETN|Equity Index-Linked Securities|USD|1321937|N|Tier 1|2019-05-13|N|||N|N|100||0 IMOM|Alpha Architect International Quantitative Momentum ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2015-12-23|Y|||N|N|100||0 INDA|iShares MSCI India ETF|Index Fund Shares|USD|n/a|N|Tier 1|2012-02-03|Y|||N|N|100||0 IPFF|iShares International Preferred Stock ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-08-02|N|||N|N|100||0 IQDG|WisdomTree International Quality Dividend Growth Fund|Index Fund Shares|USD|n/a|N|Tier 1|2016-04-07|Y|||N|N|100||0 IQM|Franklin Intelligent Machines ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2020-02-27|Y|||N|N|100||0 ITA|iShares U.S. Aerospace & Defense ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-08-02|N|||N|N|100||0 ITB|iShares U.S. Home Construction ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-08-02|N|||N|N|100||0 ITM|VanEck Vectors AMT-Free Intermediate Municipal Index ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2018-12-28|N|||N|N|100||0 IVAL|Alpha Architect International Quantitative Value ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2014-12-17|Y|||N|N|100||0 IYJ|iShares U.S. Industrials ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-08-02|N|||N|N|100||0 IYLD|iShares Morningstar Multi-Asset Income ETF|Index Fund Shares|USD|n/a|N|Tier 1|2012-04-05|Y|||N|N|100||0 IYT|iShares Transportation Average ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-08-02|N|||N|N|100||0 IYZ|iShares U.S. Telecommunications ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-08-02|N|||N|N|100||0 IZRL|ARK Israel Innovative Technology ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-12-05|Y|||N|N|100||0 JCPB|JPMorgan Core Plus Bond ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2019-01-30|Y|||N|N|100||0 JMST|JPMorgan Ultra-Short Municipal Income ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2018-10-18|Y|||N|N|100||0 JMUB|JPMorgan Municipal ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2018-10-31|Y|||N|N|100||0 JNMF|WisdomTree Japan Multifactor Fund|Managed Fund Shares|USD|n/a|N|Tier 1|2016-01-07|Y|||N|N|100||0 JPGB|JPMorgan Global Bond Opportunities ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2017-04-07|Y|||N|N|100||0 JPHY|JPMorgan High Yield Research Enhanced ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2016-09-15|Y|||N|N|100||0 JPST|JPMorgan Ultra-Short Income ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2017-05-19|Y|||N|N|100||0 KAPR|Innovator Russell 2000 Power Buffer ETF -April|Managed Fund Shares|USD|n/a|N|Tier 1|2020-04-01|Y|||N|N|100||0 KJAN|Innovator Russell 2000 Power Buffer ETF - January|Managed Fund Shares|USD|n/a|N|Tier 1|2020-01-02|Y|||N|N|100||0 KNG|Cboe Vest S&P 500 Dividend Aristocrats Target Income ETF|Index Fund Shares|USD|n/a|N|Tier 1|2018-03-27|Y|||N|N|100||0 KOCT|Innovator Russell 2000 Power Buffer ETF - October|Managed Fund Shares|USD|n/a|N|Tier 1|2019-10-01|Y|||N|N|100||0 LEAD|Reality Shares DIVCON Leaders Dividend ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-01-06|Y|||N|N|100||0 LKOR|FlexShares Credit-Scored US Long Corporate Bond Index Fund|Index Fund Shares|USD|n/a|N|Tier 1|2019-10-09|N|||N|N|100||0 LQDI|iShares Inflation Hedged Corporate Bond ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2018-05-10|Y|||N|N|100||0 LSLT|Salt Low truBeta US Market ETF|Index Fund Shares|USD|n/a|N|Tier 1|2019-03-13|Y|||N|N|100||0 LVHB|Innovator Lunt Low Vol/High Beta Tactical ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-10-20|Y|||N|N|100||0 LVHE|Legg Mason Emerging Markets Low Volatility High Dividend ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-11-18|Y|||N|N|100||8 LVHI|Legg Mason International Low Volatility High Dividend ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-07-28|Y|||N|N|100||0 LVUS|Hartford Multifactor Low Volatility US Equity ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-05-11|Y|||N|N|100||0 MAAX|VanEck Vectors Municipal Allocation ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2019-05-16|Y|||N|N|100||0 MAGA|Point Bridge GOP Stock Tracker ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-09-07|Y|||N|N|100||0 MEAR|iShares Short Maturity Municipal Bond ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2015-03-05|Y|||N|N|100||0 MFMS|MFAM Small-Cap Growth ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2018-10-30|Y|||N|N|100||0 MLN|VanEck Vectors AMT-Free Long Municipal Index ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2018-12-28|N|||N|N|100||0 MOAT|VanEck Vectors Morningstar Wide Moat ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2019-12-11|N|||N|N|100||0 MOTI|VanEck Vectors Morningstar International Moat ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2019-12-11|N|||N|N|100||0 MRGR|ProShares Merger ETF|Index Fund Shares|USD|n/a|N|Tier 1|2012-12-13|Y|||N|N|100||0 MSUS|LHA Market State U.S. Tactical ETF |Managed Fund Shares|USD|n/a|N|Tier 1|2018-04-04|Y|||N|N|100||0 MTUM|iShares Edge MSCI USA Momentum Factor ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-08-02|N|||N|N|100||0 NAPR|Innovator Nasdaq-100 Power Buffer ETF - April|Managed Fund Shares|USD|n/a|N|Tier 1|2020-04-01|Y|||N|N|100||0 NEAR|iShares Short Maturity Bond ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2013-09-26|Y|||N|N|100||0 NJAN|Innovator Nasdaq-100 Power Buffer ETF - January|Managed Fund Shares|USD|n/a|N|Tier 1|2020-01-02|Y|||N|N|100||0 NOBL|ProShares S&P 500 Dividend Aristocrats ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-12-29|N|||N|N|100||0 NOCT|Innovator Nasdaq-100 Power Buffer ETF- October|Managed Fund Shares|USD|n/a|N|Tier 1|2019-10-01|Y|||N|N|100||0 NUDM|Nuveen ESG International Developed Markets Equity ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-06-07|Y|||N|N|100||0 NUEM|Nuveen ESG Emerging Markets Equity ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-06-07|Y|||N|N|100||0 NULC|Nuveen ESG Large-Cap ETF|Index Fund Shares|USD|n/a|N|Tier 1|2019-06-04|Y|||N|N|100||0 NULG|Nuveen ESG Large-Cap Growth ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-12-14|Y|||N|N|100||0 NULV|Nuveen ESG Large-Cap Value ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-12-14|Y|||N|N|100||0 NUMG|Nuveen ESG Mid-Cap Growth ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-12-14|Y|||N|N|100||0 NUMV|Nuveen ESG Mid-Cap Value ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-12-14|Y|||N|N|100||0 NURE|Nuveen Short-Term REIT ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-12-20|Y|||N|N|100||0 NUSC|Nuveen ESG Small-Cap ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-12-14|Y|||N|N|100||0 OILK|ProShares K-1 Free Crude Oil Strategy ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2016-09-28|Y|||N|N|100||0 OMFL|Invesco Russell 1000 Dynamic Multifactor ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-11-10|Y|||N|N|100||0 OMFS|Invesco Russell 2000 Dynamic Multifactor ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-11-10|Y|||N|N|100||0 PAPR|Innovator S&P 500 Power Buffer ETF - April|Managed Fund Shares|USD|n/a|N|Tier 1|2019-04-01|Y|||N|N|100||0 PAUG|Innovator S&P 500 Power Buffer ETF - August|Managed Fund Shares|USD|n/a|N|Tier 1|2019-08-01|Y|||N|N|100||0 PAVE|Global X U.S. Infrastructure Development ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-03-08|Y|||N|N|100||0 PAWZ|ProShares Pet Care ETF|Index Fund Shares|USD|n/a|N|Tier 1|2018-11-06|Y|||N|N|100||0 PBDM|Invesco PureBeta FTSE Developed ex-North America ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-09-22|Y|||N|N|100||0 PBEE|Invesco PureBeta FTSE Emerging Markets ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-09-22|Y|||N|N|100||0 PBND|Invesco PureBeta US Aggregate Bond ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-09-29|Y|||N|N|100||0 PBSM|Invesco PureBeta MSCI USA Small Cap ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-09-22|Y|||N|N|100||0 PBTP|Invesco PureBeta 0-5 Yr US TIPS ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-09-22|Y|||N|N|100||0 PBUS|Invesco PureBeta MSCI USA ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-09-22|Y|||N|N|100||0 PDEC|Innovator S&P 500 Power Buffer ETF - December|Managed Fund Shares|USD|n/a|N|Tier 1|2019-12-02|Y|||N|N|100||0 PEX|ProShares Global Listed Private Equity ETF|Index Fund Shares|USD|n/a|N|Tier 1|2013-02-28|Y|||N|N|100||0 PFEB|Innovator S&P 500 Power Buffer ETF - February|Managed Fund Shares|USD|n/a|N|Tier 1|2020-02-03|Y|||N|N|100||0 PICK|iShares MSCI Global Metals & Mining Producers ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-08-02|N|||N|N|100||0 PJAN|Innovator S&P 500 Power Buffer ETF - January|Managed Fund Shares|USD|n/a|N|Tier 1|2019-01-02|Y|||N|N|100||0 PJUL|Innovator S&P 500 Power Buffer ETF - July|Managed Fund Shares|USD|n/a|N|Tier 1|2018-08-08|Y|||N|N|100||0 PJUN|Innovator S&P 500 Power Buffer ETF - June|Managed Fund Shares|USD|n/a|N|Tier 1|2019-06-03|Y|||N|N|100||0 PLCY|EventShares U.S. Legislative Opportunities ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2017-10-17|Y|||N|N|100||0 PMAR|Innovator S&P 500 Power Buffer ETF - March|Managed Fund Shares|USD|n/a|N|Tier 1|2020-03-02|Y|||N|N|100||0 PMAY|Innovator S&P 500 Power Buffer ETF - May|Managed Fund Shares|USD|n/a|N|Tier 1|2020-05-01|Y|||N|N|100||0 PNOV|Innovator S&P 500 Power Buffer ETF - November|Managed Fund Shares|USD|n/a|N|Tier 1|2019-11-01|Y|||N|N|100||0 POCT|Innovator S&P 500 Power Buffer ETF - October|Managed Fund Shares|USD|n/a|N|Tier 1|2018-10-01|Y|||N|N|100||0 PREF|Principal Spectrum Preferred Securities Active ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2017-07-11|Y|||N|N|100||0 PRNT|The 3D Printing ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-07-19|Y|||N|N|100||0 PSEP|Innovator S&P 500 Power Buffer ETF - September|Managed Fund Shares|USD|n/a|N|Tier 1|2019-09-03|Y|||N|N|100||0 PSMB|Invesco Balanced Multi-Asset Allocation ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2017-02-23|Y|||N|N|100||0 PSMC|Invesco Conservative Multi-Asset Allocation ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2017-02-23|Y|||N|N|100||0 PSMG|Invesco Growth Multi-Asset Allocation ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2017-02-23|Y|||N|N|100||0 PSMM|Invesco Moderately Conservative Multi-Asset Allocation ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2017-02-23|Y|||N|N|100||0 PTEU|Pacer TrendpilotTM European Index ETF|Index Fund Shares|USD|n/a|N|Tier 1|2015-12-15|Y|||N|N|100||0 PTLC|Pacer Trendpilot US Large Cap ETF|Index Fund Shares|USD|n/a|N|Tier 1|2015-06-12|Y|||N|N|100||0 PTMC|Pacer Trendpilot US Mid Cap ETF|Index Fund Shares|USD|n/a|N|Tier 1|2015-06-12|Y|||N|N|100||0 PTNQ|Pacer Trendpilot 100 ETF|Index Fund Shares|USD|n/a|N|Tier 1|2015-06-12|Y|||N|N|100||0 PWS|Pacer WealthShield ETF |Index Fund Shares|USD|n/a|N|Tier 1|2017-12-12|Y|||N|N|100||0 QLC|FlexShares US Quality Large Cap Index Fund|Index Fund Shares|USD|n/a|N|Tier 1|2019-10-09|N|||N|N|100||0 QMOM|Alpha Architect U.S. Quantitative Momentum ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2015-12-02|Y|||N|N|100||0 QUAL|iShares Edge MSCI USA Quality Factor ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-08-02|N|||N|N|100||0 QVAL|Alpha Architect U.S. Quantitative Value ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2014-10-22|Y|||N|N|100||0 REGL|ProShares S&P MidCap 400 Dividend Aristocrats ETF|Index Fund Shares|USD|n/a|N|Tier 1|2015-12-15|N|||N|N|100||0 REM|iShares Mortgage Real Estate ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-08-02|N|||N|N|100||0 RESD|WisdomTree International ESG Fund|Managed Fund Shares|USD|n/a|N|Tier 1|2016-11-03|Y|||N|N|100||0 RESE|WisdomTree Emerging Markets ESG Fund|Managed Fund Shares|USD|n/a|N|Tier 1|2016-04-07|Y|||N|N|100||0 RODE|Hartford Multifactor Diversified International ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-05-11|Y|||N|N|100||0 RODI|iPath Return On Disability ETN|Equity Index-Linked Securities|USD|23000|N|Tier 1|2019-05-13|N|||N|N|100||0 ROMO|Strategy Shares Newfound/ReSolve Robust Momentum ETF|Index Fund Shares|USD|n/a|N|Tier 1|2019-11-04|Y|||N|N|100||0 RSX|VanEck Vectors Russia ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2019-12-11|N|||N|N|100||0 RSXJ|VanEck Vectors Russia Small-Cap ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2019-12-11|N|||N|N|100||0 RVRS|Reverse Cap Weighted US Large Cap ETF |Index Fund Shares|USD|n/a|N|Tier 1|2017-11-01|Y|||N|N|100||0 RYLD|Global X Russell 2000 Covered Call ETF|Index Fund Shares|USD|n/a|N|Tier 1|2019-04-22|Y|||N|N|100||0 SECT|Main Sector Rotation ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2017-09-06|Y|||N|N|100||0 SFHY|WisdomTree U.S. Short Term High Yield Corporate Bond Fund|Index Fund Shares|USD|n/a|N|Tier 1|2016-04-27|Y|||N|N|100||0 SFIG|WisdomTree U.S. Short Term Corporate Bond Fund|Index Fund Shares|USD|n/a|N|Tier 1|2016-04-27|Y|||N|N|100||0 SHAG|WisdomTree Yield Enhanced U.S. Short-Term Aggregate Bond Fund|Index Fund Shares|USD|n/a|N|Tier 1|2017-05-18|Y|||N|N|100||0 SHYD|VanEck Vectors Short High-Yield Municipal Index ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2018-12-28|N|||N|N|100|"
"|0 SLT|Salt High truBeta US Market ETF|Index Fund Shares|USD|n/a|N|Tier 1|2018-05-16|Y|||N|N|100||0 SLVP|iShares MSCI Global Silver and Metals Miners ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-08-02|N|||N|N|100||0 SMB|VanEck Vectors AMT-Free Short Municipal Index ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2018-12-28|N|||N|N|100||0 SMDV|ProShares Russell 2000 Dividend Growers ETF|Index Fund Shares|USD|n/a|N|Tier 1|2015-12-15|N|||N|N|100||0 SMIN|iShares MSCI India Small-Cap ETF|Index Fund Shares|USD|n/a|N|Tier 1|2012-02-09|Y|||N|N|100||0 SMMD|iShares Russell 2500 ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-07-07|Y|||N|N|100||0 SMMV|iShares Edge MSCI Min Vol USA Small-Cap ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-09-09|Y|||N|N|100||0 SOVB|Cambria Sovereign Bond ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2016-12-29|N|||N|N|100||0 SPMV|Invesco S&P 500 Minimum Variance ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-07-13|Y|||N|N|100||0 STLC|iShares Factors US Blend Style ETF|Index Fund Shares|USD|n/a|N|Tier 1|2020-04-16|Y|||N|N|100||0 STLG|iShares Factors US Growth Style ETF|Index Fund Shares|USD|n/a|N|Tier 1|2020-01-16|Y|||N|N|100||0 STLV|iShares Factors US Value Style ETF|Index Fund Shares|USD|n/a|N|Tier 1|2020-01-16|Y|||N|N|100||0 STMB|iShares Factors US Mid Blend Style ETF|Index Fund Shares|USD|n/a|N|Tier 1|2020-04-16|Y|||N|N|100||0 STOT|SPDR DoubleLine Short Duration Total Return Tactical ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2016-04-14|Y|||N|N|100||0 STPP|iPath US Treasury Steepener ETN|Futures-Linked Securities|USD|n/a|N|Tier 1|2019-05-13|N|||N|N|100||0 STSB|iShares Factors US Small Blend Style ETF|Index Fund Shares|USD|n/a|N|Tier 1|2020-04-16|Y|||N|N|100||0 SYLD|Cambria Shareholder Yield ETF|Index Fund Shares|USD|n/a|N|Tier 1|2018-12-17|N|||N|N|100||0 TAEQ|Trend Aggregation U.S. ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2020-05-08|Y|||N|N|100||0 TAIL|Cambria Tail Risk ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2017-04-06|Y|||N|N|100||0 TAPR|iPath Inverse US Treasury Composite ETN|Futures-Linked Securities|USD|n/a|N|Tier 1|2019-05-13|N|||N|N|100||8 TBLU|Tortoise Global Water ESG Fund|Index Fund Shares|USD|n/a|N|Tier 1|2017-02-15|Y|||N|N|100||0 TCTL|Premise Capital Diversified Tactical ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-10-28|Y|||N|N|100||0 TDV|ProShares S&P Technology Dividend Aristocrats ETF|Index Fund Shares|USD|n/a|N|Tier 1|2019-11-07|Y|||N|N|100||0 TEGS|Trend Aggregation ESG ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2020-05-08|Y|||N|N|100||0 TFIV|Global X TargetIncome 5 ETF|Index Fund Shares|USD|n/a|N|Tier 1|2018-07-31|Y|||N|N|100||0 TFLT|Global X TargetIncome Plus 2 ETF|Index Fund Shares|USD|n/a|N|Tier 1|2018-07-31|Y|||N|N|100||0 TILT|FlexShares Morningstar US Market Factor Tilt Index Fund|Index Fund Shares|USD|n/a|N|Tier 1|2018-12-28|N|||N|N|100||0 TMDV|ProShares Russell US Dividend Growers ETF|Index Fund Shares|USD|n/a|N|Tier 1|2019-11-07|Y|||N|N|100||0 TMFC|Motley Fool 100 Index ETF |Index Fund Shares|USD|n/a|N|Tier 1|2018-01-30|Y|||N|N|100||0 TOKE|Cambria Cannabis ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2019-07-25|Y|||N|N|100||0 TPAY|Tortoise Digital Payments Infrastructure Fund|Index Fund Shares|USD|n/a|N|Tier 1|2019-02-01|Y|||N|N|100||0 TRTY|Cambria Trinity ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2018-09-12|Y|||N|N|100||0 TTAC|TrimTabs All Cap U.S. Free-Cash-Flow ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2016-09-28|Y|||N|N|100||0 TTAI|TrimTabs All Cap International Free-Cash-Flow ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2017-06-28|Y|||N|N|100||0 UAPR|Innovator S&P 500 Ultra Buffer ETF - April|Managed Fund Shares|USD|n/a|N|Tier 1|2019-04-01|Y|||N|N|100||0 UAUG|Innovator S&P 500 Ultra Buffer ETF - August |Managed Fund Shares|USD|n/a|N|Tier 1|2019-08-01|Y|||N|N|100||0 UDEC|Innovator S&P 500 Ultra Buffer ETF - December|Managed Fund Shares|USD|n/a|N|Tier 1|2019-12-02|Y|||N|N|100||0 UFEB|Innovator S&P 500 Ultra Buffer ETF - February|Managed Fund Shares|USD|n/a|N|Tier 1|2020-02-03|Y|||N|N|100||0 UJAN|Innovator S&P 500 Ultra Buffer ETF - January|Managed Fund Shares|USD|n/a|N|Tier 1|2019-01-02|Y|||N|N|100||0 UJUL|Innovator S&P 500 Ultra Buffer ETF - July|Managed Fund Shares|USD|n/a|N|Tier 1|2018-08-08|Y|||N|N|100||0 UJUN|Innovator S&P 500 Ultra Buffer ETF - June|Managed Fund Shares|USD|n/a|N|Tier 1|2019-06-03|Y|||N|N|100||0 UMAR|Innovator S&P 500 Ultra Buffer ETF - March|Managed Fund Shares|USD|n/a|N|Tier 1|2020-03-02|Y|||N|N|100||0 UMAY|Innovator S&P 500 Ultra Buffer ETF - May|Managed Fund Shares|USD|n/a|N|Tier 1|2020-05-01|Y|||N|N|100||0 UNOV|Innovator S&P 500 Ultra Buffer ETF - November|Managed Fund Shares|USD|n/a|N|Tier 1|2019-11-01|Y|||N|N|100||0 UOCT|Innovator S&P 500 Ultra Buffer ETF - October|Managed Fund Shares|USD|n/a|N|Tier 1|2018-10-01|Y|||N|N|100||0 USEP|Innovator S&P 500 Ultra Buffer ETF - September|Managed Fund Shares|USD|n/a|N|Tier 1|2019-09-03|Y|||N|N|100||0 USEQ|Invesco Russell 1000 Enhanced Equal Weight ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-07-13|Y|||N|N|100||0 USHY|iShares Broad USD High Yield Corporate Bond ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-10-26|Y|||N|N|100||0 USMF|WisdomTree U.S. Multifactor Fund|Index Fund Shares|USD|n/a|N|Tier 1|2017-06-29|Y|||N|N|100||0 USMV|iShares Edge MSCI Min Vol USA ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-08-02|N|||N|N|100||0 VAMO|Cambria Value and Momentum ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2016-12-29|N|||N|N|100||0 VFLQ|Vanguard U.S. Liquidity Factor ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2018-02-15|Y|||N|N|100||0 VFMF|Vanguard U.S. Multifactor ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2018-02-15|Y|||N|N|100||0 VFMO|Vanguard U.S. Momentum Factor ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2018-02-15|Y|||N|N|100||0 VFMV|Vanguard U.S. Minimum Volatility ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2018-02-15|Y|||N|N|100||0 VFQY|Vanguard U.S. Quality Factor ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2018-02-15|Y|||N|N|100||0 VFVA|Vanguard U.S. Value Factor ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2018-02-15|Y|||N|N|100||0 VLUE|iShares Edge MSCI USA Value Factor ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-08-02|N|||N|N|100||0 VMOT|Alpha Architect Value Momentum Trend ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2017-05-03|Y|||N|N|100||0 VNM|VanEck Vectors Vietnam ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2019-12-11|N|||N|N|100||0 VQT|iPath S&P VEQTOR ETN|Multifactor Index-Linked Securities|USD|n/a|N|Tier 1|2019-05-13|N|||N|N|100||0 VSGX|Vanguard ESG International Stock ETF|Index Fund Shares|USD|n/a|N|Tier 1|2018-09-20|Y|||N|N|100||0 VXX|iPath Series B S&P 500 VIX Short-Term Futures ETN|Futures-Linked Securities|USD|n/a|N|Tier 1|2018-01-18|Y|||N|N|100||0 VXZ|iPath Series B S&P 500 VIX Mid-Term Futures ETN|Futures-Linked Securities|USD|n/a|N|Tier 1|2018-01-18|Y|||N|N|100||0 WFHY|WisdomTree U.S. High Yield Corporate Bond Fund|Index Fund Shares|USD|n/a|N|Tier 1|2016-04-27|Y|||N|N|100||0 WFIG|WisdomTree U.S. Corporate Bond Fund|Index Fund Shares|USD|n/a|N|Tier 1|2016-04-27|Y|||N|N|100||0 WIL|iPath Women in Leadership ETN|Equity Index-Linked Securities|USD|64900|N|Tier 1|2019-05-13|N|||N|N|100||0 WLDR|Affinity World Leaders Equity ETF|Index Fund Shares|USD|n/a|N|Tier 1|2018-01-17|Y|||N|N|100||0 WUGI|Esoterica NextG Economy ETF|Managed Fund Shares|USD|n/a|N|Tier 1|2020-03-31|Y|||N|N|100||0 XMPT|VanEck Vectors CEF Municipal Income ETF|Exchange-Traded Fund Shares|USD|n/a|N|Tier 1|2018-12-28|N|||N|N|100||0 XSHD|Invesco S&P SmallCap High Dividend Low Volatility ETF|Index Fund Shares|USD|n/a|N|Tier 1|2016-12-01|Y|||N|N|100||0 XSHQ|Invesco S&P SmallCap Quality ETF|Index Fund Shares|USD|n/a|N|Tier 1|2017-04-06|Y|||N|N|100||0 XVZ|iPath S&P 500 Dynamic VIX ETN|Futures-Linked Securities|USD|n/a|N|Tier 1|2019-05-13|N|||N|N|100||0 ZBZX|BATS Listing Test|Primary Equity|USD|0|Y|Tier 1|2019-10-26|Y|||N|N|100||0 ZTEST|Cboe Test|Primary Equity|USD|0|Y|Tier 1|2018-08-22|N|||N|N|100||0 ZTST|MPS Test Symbol|Managed Portfolio Shares|USD|n/a|Y|Tier 1|2020-01-15|Y|||N|N|100||0