Supplemental List. Since the electronic media2 does not have the same space considerations as the print media, NASDAQ OMX provides a second level of funds for the smaller investment companies. The eligibility requirements for the Supplemental List are as follows: Fund Type Initial Eligibility Criteria Maintenance Certification Criteria Supplemental List – Mutual Funds (Open and Closed End), Money Market Funds, UITs, structured products and annuities Instrument Level: • SEC registration of the fund Subscriber Level: • $10 million of total assets under management AND • Completion of one full year of operation • Not applicable 2 The Electronic media, such as market data vendors, display prices for funds on both the news media and supplemental lists. Attachment B – MFQS Data Formats Mutual Fund Quotation Service (MFQS) Access Agreement As of March 2, 2009, the MFQS system supports the following data fields on its real-time data products: Mutual Funds, Structured Products, and Variable Annuities Daily price data: ▪ Net Asset Value (NAV) ▪ Offer or Market Price ▪ Total Net Assets ▪ Footnotes Dividend data: ▪ Cash dividend amount ▪ Stock dividend amount ▪ Ex-Date ▪ Record Date ▪ Payment Date Other data: ▪ Capital Gains (Short Term, Long Term, Other) ▪ Unallocated Distributions Money Market Funds ▪ Average Maturity ▪ Seven Day Yield ▪ Effective Annualized Seven Day Yield ▪ Total Net Assets ▪ Footnotes Unit Investment Trusts (UITs) Daily price data for all UITs: ▪ Redemption Net Asset Values (NAV) ▪ Offer Price ▪ Wrap Price ▪ Footnotes Daily price data for debt UITs only: ▪ Current Yield ▪ Estimated Long Term Return ▪ Accrued Interest ▪ Par Value Per Unit Other data for all UITs: ▪ Income Distribution ▪ Capital Distribution ▪ Record Date ▪ Payment Date MFQS Access Agreement In addition, MFQS provides the following listing information to the market data community: All MFQS Supported Instruments Fund Type Fund Code Fund Symbol Fund Name Fund Family / Trust Name CUISIP Pricing Agent Newspaper Heading / Newspaper Symbol (for News Media Lists only) For Unit Investment Trusts only Deposit Date Termination Date Distribution Frequency (Monthly, Quarterly, Semi-Annually, Annually, Other) Distribution Type (Cash, Reinvest, Wrap, Wrap Cash, Wrap Reinvest) Mutual Fund Quotation Service (MFQS) Access Agreement Subscriber’s List of Affiliates This List of Affiliates is for the Mutual Fund Quotation Service Access Agreement and/or other relevant NASDAQ OMX agreements.
Supplemental List. Since the electronic media does not have the same space considerations as the print media, Nasdaq allows mutual funds and money market funds that do not meet the financial eligibility requirement listed above to use the NFN system for price reporting purposes with a “Supplemental List” designation. Unit investment trusts (UITs), variable annuities, structured products, alternative investment products, NextShares, collective investment trusts (CITs), managed accounts, separate accounts, hedge funds, and demand deposit accounts, also may use the NFN system under the “Supplemental List”. To be eligible for the Supplemental List, the instrument must:
