# Finance Reference

| NASDAQ-Listed Securities                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| ---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- |
| File Name:                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             | nasdaqlisted.txt                                                                                                                                                                                                                                                                                                                                                                                                                                                                   |
| FTP Directory:                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                         | [ftp://ftp.nasdaqtrader.com/symboldirectory](ftp://ftp.nasdaqtrader.com/symboldirectory/)                                                                                                                                                                                                                                                                                                                                                                                          |
|                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| Field Name                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             | Definition                                                                                                                                                                                                                                                                                                                                                                                                                                                                         |
| Symbol                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 | The one to four or five character identifier for each NASDAQ-listed security.                                                                                                                                                                                                                                                                                                                                                                                                      |
| Security Name                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          | Company issuing the security.                                                                                                                                                                                                                                                                                                                                                                                                                                                      |
| Market Category                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        | The category assigned to the issue by NASDAQ based on Listing Requirements. Values:                                                                                                                                                                                                                                                                                                                                                                                                |
| Q = NASDAQ Global Select MarketSM                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| G = NASDAQ Global MarketSM                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| S = NASDAQ Capital Market                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                              |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
|                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| Test Issue                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             | Indicates whether or not the security is a test security. Values: Y = yes, it is a test issue. N = no, it is not a test issue.                                                                                                                                                                                                                                                                                                                                                     |
| Financial Status                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                       | Indicates when an issuer has failed to submit its regulatory filings on a timely basis, has failed to meet NASDAQ's continuing listing standards, and/or has filed for bankruptcy. Values include:                                                                                                                                                                                                                                                                                 |
| D = Deficient: Issuer Failed to Meet NASDAQ Continued Listing Requirements                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| E = Delinquent: Issuer Missed Regulatory Filing Deadline                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| Q = Bankrupt: Issuer Has Filed for Bankruptcy                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| N = Normal (Default): Issuer Is NOT Deficient, Delinquent, or Bankrupt.                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| G = Deficient and Bankrupt                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| H = Deficient and Delinquent                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| J = Delinquent and Bankrupt                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                            |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| K = Deficient, Delinquent, and Bankrupt                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| Round Lot                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                              | Indicates the number of shares that make up a round lot for the given security.                                                                                                                                                                                                                                                                                                                                                                                                    |
| File Creation Time:                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    | The last row of each Symbol Directory text file contains a timestamp that reports the File Creation Time. The file creation time is based on when NASDAQ Trader generates the file and can be used to determine the timeliness of the associated data. The row contains the words File Creation Time followed by mmddyyyyhhmm as the first field, followed by all delimiters to round out the row. An example: File Creation Time: 1217200717:03\|\|\|\|\|                         |
| Other Exchange-Listed Securities                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                       |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| File Name:                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             | otherlisted.txt                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| FTP Directory:                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                         | [ftp://ftp.nasdaqtrader.com/symboldirectory](ftp://ftp.nasdaqtrader.com/symboldirectory/)                                                                                                                                                                                                                                                                                                                                                                                          |
|                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| Field Name                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             | Definition                                                                                                                                                                                                                                                                                                                                                                                                                                                                         |
| ACT Symbol                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             | Identifier for each security used in ACT and CTCI connectivity protocol. Typical identifiers have 1-5 character root symbol and then 1-3 characters for suffixes. Allow up to 14 characters.                                                                                                                                                                                                                                                                                       |
| Field Name Change effective 2/12/2010                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  | [More information regarding the symbology convention can be found on this website.](http://www.nasdaqtrader.com/trader.aspx?id=CQSsymbolconvention)                                                                                                                                                                                                                                                                                                                                |
| Security Name                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          | The name of the security including additional information, if applicable. Examples are security type (common stock, preferred stock, etc.) or class (class A or B, etc.). Allow up to 255 characters.                                                                                                                                                                                                                                                                              |
| Exchange                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               | The listing stock exchange or market of a security.                                                                                                                                                                                                                                                                                                                                                                                                                                |
| Allowed values are:                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| A = NYSE MKT                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| N = New York Stock Exchange (NYSE)                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                     |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| P = NYSE ARCA                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| Z = BATS Global Markets (BATS)                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                         |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| V = Investors' Exchange, LLC (IEXG)                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| CQS Symbol                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             | Identifier of the security used to disseminate data via the SIAC Consolidated Quotation System (CQS) and Consolidated Tape System (CTS) data feeds. Typical identifiers have 1-5 character root symbol and then 1-3 characters for suffixes. Allow up to 14 characters.                                                                                                                                                                                                            |
| [More information regarding the symbology convention can be found on this website.](http://www.nasdaqtrader.com/trader.aspx?id=CQSsymbolconvention)                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| ETF                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    | Identifies whether the security is an exchange traded fund (ETF). Possible values:                                                                                                                                                                                                                                                                                                                                                                                                 |
| Y = Yes, security is an ETF                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                            |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| N = No, security is not an ETF                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                         |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| For new ETFs added to the file, the ETF field for the record will be updated to a value of "Y".                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| Round Lot Size                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                         | Indicates the number of shares that make up a round lot for the given security. Allow up to 6 digits.                                                                                                                                                                                                                                                                                                                                                                              |
| Test Issue                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             | Indicates whether the security is a test security.                                                                                                                                                                                                                                                                                                                                                                                                                                 |
| Y = Yes, it is a test issue.                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| N = No, it is not a test issue.                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| NASDAQ Symbol                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          | Identifier of the security used to in various NASDAQ connectivity protocols and NASDAQ market data feeds. Typical identifiers have 1-5 character root symbol and then 1-3 characters for suffixes. Allow up to 14 characters.                                                                                                                                                                                                                                                      |
| New field effective 2/12/2010                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          | [More information regarding the symbology convention can be found on this website](http://www.nasdaqtrader.com/trader.aspx?id=CQSsymbolconvention)                                                                                                                                                                                                                                                                                                                                 |
|                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| File Creation Time:                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    | The last row of each Symbol Directory text file contains a timestamp that reports the File Creation Time. The file creation time is based on when NASDAQ Trader generates the file and can be used to determine the timeliness of the associated data. The row contains the words File Creation Time followed by mmddyyyyhhmm as the first field, followed by all delimiters to round out the row. An example: File Creation Time: File Creation Time: 1217200717:03\|\|\|\|\|\|   |
| Market Participants                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| File Name:                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             | mpidlist.txt                                                                                                                                                                                                                                                                                                                                                                                                                                                                       |
| FTP Directory:                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                         | [ftp://ftp.nasdaqtrader.com/symboldirectory](ftp://ftp.nasdaqtrader.com/symboldirectory/)                                                                                                                                                                                                                                                                                                                                                                                          |
|                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| Field Name                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             | Definition                                                                                                                                                                                                                                                                                                                                                                                                                                                                         |
| MPID                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   | The identifier for each market participant. In cases where a Market-Making firm trades a security from a location other than its main trading location, a fifth-letter may be appended to the Market Makers identifier for that security. Each Market Maker is free to use any letter to designate a specific branch location as desired.                                                                                                                                          |
| MP Type                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                | There are several types of NASDAQ participants. Listed below are the characters used with its corresponding market participant type.                                                                                                                                                                                                                                                                                                                                               |
| A = Agency Quote                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                       |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| C = Electronic Communications Network (ECN)                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                            |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| E = Exchange                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| M = Market Maker                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                       |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| N = Miscellaneous                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| O = Order Entry Firm                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| P = NASDAQ Participant                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| Q = Query Only Firm                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| S = Specialist                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                         |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| Name                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   | The firm name of the Market Participant.                                                                                                                                                                                                                                                                                                                                                                                                                                           |
| Location                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               | The geographic location or the trading desk(s) name of the firm.                                                                                                                                                                                                                                                                                                                                                                                                                   |
| Phone Number                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           | The telephone number of the geographic location or trading desk of the firm.                                                                                                                                                                                                                                                                                                                                                                                                       |
| NASDAQ Member                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          | Indicates whether a Market Participant is a member of the NASDAQ Exchange. Possible values are:                                                                                                                                                                                                                                                                                                                                                                                    |
| Y = Yes, MP is a NASDAQ exchange member                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| N = No, MP is not a NASDAQ exchange member                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| FINRA Member                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           | Indicates whether a Market Participant is a member of the Financial Regulatory Authority (FINRA)                                                                                                                                                                                                                                                                                                                                                                                   |
| Y = Yes, MP is a FINRA member                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| N = No, MP is not a FINRA member                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                       |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| NASDAQ BX Member \*                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    | Indicates whether a Market Participant is currently a member of the Boston Stock Exchange (BSE) or a market participant on the former BSE equity trading platform. It is expected that such Market Participants will continue to have trading rights on a NASDAQ BX equity trading platform.                                                                                                                                                                                       |
| Y = Yes, MP is a NASDAQ BX member                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| N = No, MP is not a NASDAQ BX member                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| [Please refer to the General Notice 2008-10 for more information about this field.](http://www.nasdaqtrader.com/TraderNews.aspx?id=GN2008-010)                                                                                                                                                                                                                                                                                                                                                                                                                                                                         |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| PSX Participant                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        | Indicates whether a MP is currently a member of NASDAQ PHLXSM (PHLX00ae) and eligible to trade on PSX..                                                                                                                                                                                                                                                                                                                                                                            |
| Y = Yes, MP is a PHLX member, eligible to trade on PSX                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| N = No, MP is not eligible to trade PSX                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| Initially, this field will be populated with the value of 201cN201d. Additional notification may occur when this field will begin populating with the value of 201cY201d.                                                                                                                                                                                                                                                                                                                                                                                                                                              |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| [Please refer to the General Notice 2010-02 for more information about this field.](http://www.nasdaqtrader.com/TraderNews.aspx?id=GN2010-002)                                                                                                                                                                                                                                                                                                                                                                                                                                                                         |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| File Creation Time:                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    | The last row of each Symbol Directory text file contains a timestamp that reports the File Creation Time. The file creation time is based on when NASDAQ Trader generates the file and can be used to determine the timeliness of the associated data. The row contains the words File Creation Time followed by mmddyyyyhhmm as the first field, followed by all delimiters to round out the row. An example: File Creation Time: File Creation Time: 1217200717:03\|\|\|\|\|\| . |
| Mutual Funds                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| File Name:                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             | mfundslist.txt                                                                                                                                                                                                                                                                                                                                                                                                                                                                     |
| FTP Directory:                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                         | [ftp://ftp.nasdaqtrader.com/symboldirectory](ftp://ftp.nasdaqtrader.com/symboldirectory/)                                                                                                                                                                                                                                                                                                                                                                                          |
|                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| Data Field                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             | Definition                                                                                                                                                                                                                                                                                                                                                                                                                                                                         |
| Fund Symbol                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                            | The identifier for each mutual fund or money market.                                                                                                                                                                                                                                                                                                                                                                                                                               |
| Fund Name                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                              | The name of each mutual fund or money market.                                                                                                                                                                                                                                                                                                                                                                                                                                      |
| Fund Family Name                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                       | The Name of the Fund Company that is responsible for the fund.                                                                                                                                                                                                                                                                                                                                                                                                                     |
| Type                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   | A code used to provide the type of fund.                                                                                                                                                                                                                                                                                                                                                                                                                                           |
| The allowed values are:                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| AN = Annuities                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                         |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| MF = Mutual Fund                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                       |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| MS = Supplemantal Mutual Fund                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| \$$ = Money Market Fund                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| $S = Supplemental Money Market Fund                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| SP = Structured Products                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| US = UIT Supplemental List                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| UT = UIT News Media List                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| Category                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               | The subcategory of the fund type.                                                                                                                                                                                                                                                                                                                                                                                                                                                  |
| The allowed values are:                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| For Annuities (AN):                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| M = Variable                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| N = Equity Indexed                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                     |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| For Mutual Fund (MF)                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| O = Open-end                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| C = Closed-end                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                         |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| For Money Fund (MS)                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| A = General Purpose                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| G = Govt. Securities                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| X = Tax-Exempt                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                         |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| For Structured Products (SP)                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| R = Access Transaction                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| S = Tax Driven Structure                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| T = Buffered Note                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| U = Principal Protected Note                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| V = Levered Note                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                       |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| W = Enhanced Income Note                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| For Unit Investment Trust (US or UT)                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| E = Equity                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| F = Not Used/Reserved                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| D = Fixed Income                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                       |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| Pricing Agent                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          | The firm responsible for the pricing of the fund.                                                                                                                                                                                                                                                                                                                                                                                                                                  |
| File Creation Time                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                     | The last row of each Symbol Directory text file contains a timestamp that reports the File Creation time for the corresponding file. This timestamp can be used to determine the timeliness of the associated data. The row contains the words File Creation Time followed by mmddyyyyhhmm as the first field, followed by all delimiters to round out the row. An example: File Creation Time: File Creation Time: 1217200717:03\|\|\|\|\|.                                       |
| PBOT Futures                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| File Name:                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             | pbot.csv                                                                                                                                                                                                                                                                                                                                                                                                                                                                           |
| FTP Directory:                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                         | [ftp://ftp.nasdaqtrader.com/SymbolDirectory/pbot.csv](ftp://ftp.nasdaqtrader.com/SymbolDirectory/pbot.csv)                                                                                                                                                                                                                                                                                                                                                                         |
|                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| Field Name                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             | Definition                                                                                                                                                                                                                                                                                                                                                                                                                                                                         |
| Commodity ID                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           | 3-character symbol identifying given product, common for all series of this product.                                                                                                                                                                                                                                                                                                                                                                                               |
| PBOT Product Symbol                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    | The identifier for this particular series of the product, consists of the 3-character commodity ID + 2-character code identifying expiration date for the given series.                                                                                                                                                                                                                                                                                                            |
| PBOT Product Description                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               | The name of the given PBOT Product.                                                                                                                                                                                                                                                                                                                                                                                                                                                |
| Last Trade Date                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        | The last business day on which trading can occur for the given series, in yyyymmdd format. Depending on the product type, this day may be the same as the expiration day or the last business day before the expiration day.                                                                                                                                                                                                                                                       |
| Expiration Date                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        | The date on which the given series for the PBOT product and the right to exercise it cease to exist, in yyyymmdd format.                                                                                                                                                                                                                                                                                                                                                           |
| NASDAQ Options Market                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| File Name:                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             | options.txt                                                                                                                                                                                                                                                                                                                                                                                                                                                                        |
| FTP Directory:                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                         | [ftp://ftp.nasdaqtrader.com/symboldirectory/](ftp://ftp.nasdaqtrader.com/symboldirectory/)                                                                                                                                                                                                                                                                                                                                                                                         |
|                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| [Please Note: The NASDAQ Options Market plans to support a real time directory message on its Options data feeds. This message is intended to provide data recipients with the directory of eligible options available on The NASDAQ Options Market at the start of each trading day. This directory message will be disseminated each morning and will also support intraday additions. NASDAQ considers the data feed delivery of this information as the gold source of option classes eligible for the current trading day on The NASDAQ Options Market.](http://www.nasdaqtrader.com/Trader.aspx?id=OptionsFeeds) |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| The list includes options traded on the NASDAQ Options Market.                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                         |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
|                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| Data Field                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             | Definition                                                                                                                                                                                                                                                                                                                                                                                                                                                                         |
| Root Symbol                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                            | Root 1-6 character identifier for options with the same underlying security.                                                                                                                                                                                                                                                                                                                                                                                                       |
| Options Closing Type                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   | Allowed Values:                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| N - Normal Hours                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                       |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| L - Late Hours                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                         |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| Options Type                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           | Allowed Values:                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| P - Put                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| C - Call                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| Expiration Date                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        | Format – mm/dd/yyyy                                                                                                                                                                                                                                                                                                                                                                                                                                                                |
| Explicit Strike Price                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  | The specific price which the contract may be exercised, or acted on.                                                                                                                                                                                                                                                                                                                                                                                                               |
| Underlying Symbol                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      | Denotes the unique symbol assigned to the underlying security within NASDAQ Options Market System                                                                                                                                                                                                                                                                                                                                                                                  |
| Underlying Issue Name                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  | The Company Name of the Issuer. In many cases, this field contains a description of the Issue, such as the Class or the Annual Percentage Rate of an Issue.                                                                                                                                                                                                                                                                                                                        |
| Pending                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                | Indicates whether the options is currently trading on the NASDAQ Options Market or is in a pending state and will begin trading on the next trading day.                                                                                                                                                                                                                                                                                                                           |
| Y - Pending Status, the specific option will be added for trading prior to system startup on the next trading day.                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                     |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| N - Currently trading on the NASDAQ Options Market                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                     |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| File Creation Time                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                     | The last row of each Symbol Directory text file contains a timestamp that reports the File Creation time for the corresponding file. This timestamp can be used to determine the timeliness of the associated data. The row contains the words File Creation Time followed by mmddyyyyhhmm as the first field, followed by all delimiters to round out the row. An example: File Creation Time: File Creation Time: 1217200717:03\|\|\|\| .                                        |
| NASDAQ PHLX Equity Options                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| File Name:                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             | phlxoptions.csv                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| FTP Directory:                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                         | [ftp://ftp.nasdaqtrader.com/SymbolDirectory/phlxoptions.csv](ftp://ftp.nasdaqtrader.com/SymbolDirectory/phlxoptions.csv)                                                                                                                                                                                                                                                                                                                                                           |
|                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| Field Name                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             | Definition                                                                                                                                                                                                                                                                                                                                                                                                                                                                         |
| Company                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                | Name of company issuing the security.                                                                                                                                                                                                                                                                                                                                                                                                                                              |
| Cycle                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  | This is one of the existing expiration cycles for equity options. All Equity Options products are divided into three expiration cycles where the new far-off expiration dates are picked from the first, second or third months of a quarter, called JAN, FEB and MAR, respectively. For all non-equity Options (Indexes, ETFs etc.), the OTH ("Other") expiration cycle is assigned.                                                                                              |
| Option Symbol                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          | Root 1-6 character identifier for options with the same underlying security.                                                                                                                                                                                                                                                                                                                                                                                                       |
| Stock Symbol                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           | The identifier for each security (such as Equity, Index, ETF, etc) to which the given options security is based on. Identifiers are typically 1-5 characters.                                                                                                                                                                                                                                                                                                                      |
| Specialist Unit                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        | Name of the trading company acting as the Specialist for this product at NASDAQ PHLX                                                                                                                                                                                                                                                                                                                                                                                               |
| NASDAQ PHLX Options Strike Prices                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| File Name:                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             | phlxstrikes.zip                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| FTP Directory:                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                         | [ftp://ftp.nasdaqtrader.com/symboldirectory/phlxstrikes.zip](ftp://ftp.nasdaqtrader.com/symboldirectory/phlxstrikes.zip)                                                                                                                                                                                                                                                                                                                                                           |
|                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| Field Name                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             | Definition                                                                                                                                                                                                                                                                                                                                                                                                                                                                         |
| Symbol                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 | Root symbol of the option.                                                                                                                                                                                                                                                                                                                                                                                                                                                         |
| Equity Underlying                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      | Stock symbol of the primary security that underlies the option.                                                                                                                                                                                                                                                                                                                                                                                                                    |
| Phlx Underlying                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        | PHLX symbol of the security that underlies the option.                                                                                                                                                                                                                                                                                                                                                                                                                             |
| Maturity Year                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          | Year portion of the option's expiration/maturity date.                                                                                                                                                                                                                                                                                                                                                                                                                             |
| Maturity Month                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                         | Month portion of the option's expiration/maturity date.                                                                                                                                                                                                                                                                                                                                                                                                                            |
| Maturity Day                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           | Day portion of the option's expiration/maturity date.                                                                                                                                                                                                                                                                                                                                                                                                                              |
| CFI Code                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               | Financial instrument code.                                                                                                                                                                                                                                                                                                                                                                                                                                                         |
| Values:                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| OC = Call                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                              |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| OP=Put                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| Strike Price Dollar                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    | Dollar portion of the option's strike price.                                                                                                                                                                                                                                                                                                                                                                                                                                       |
| Strike Price Decimal                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   | Decimal portion of the option's strike price.                                                                                                                                                                                                                                                                                                                                                                                                                                      |
| Put Or Call                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                            | Identifies whether the option is a put or call. Values:                                                                                                                                                                                                                                                                                                                                                                                                                            |
| C = Call                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| P = Put                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| Month Code                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             | OPRA Code for the option's expiration                                                                                                                                                                                                                                                                                                                                                                                                                                              |
| Field will be removed effective 2/15/2010.                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
| Strike Code                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                            | OPRA code for the option's expiration price.                                                                                                                                                                                                                                                                                                                                                                                                                                       |
| Field will be removed effective 2/15/2010.                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |
