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1 TABLE OF CONTENTS INTRODUCTION... 1 HIGHLIGHTS/COMPENSATION SUMMARY... 2 NATIONAL DATA ACCOUNTING (101) Accountant (Junior) (102) Accountant (Intermediate) (103) Accountant (Senior) (104) Accountant, Tax (Intermediate) (105) Accountant, Tax (Senior) (106) Reports Supervisor... * (107) General Accounting Supervisor (108) General Accounting Manager (109) Financial Reporting Manager (110) Payroll and/or Commissions Manager (111) Payroll Manager (112) Commissions Specialist (113) Commissions Manager (114) Commissions Management Associate (115) Accounts Payable Manager (116) Assistant Controller (117) Controller (118) Portfolio Account Administrator (Brokerage Accounting) (119) Regulatory Accounting Manager ADMINISTRATION (201) Travel Manager (202) Meeting Planner (Junior) (203) Meeting Planner (Intermediate) (204) Meeting Planning Manager (205) Facilities Department Manager (206) Office/Corporate Services Manager (207) Office Services (Supervisor) (208) Office Services (Group/Section Manager) (209) Office Services (Department Manager) (210) Branch Administration Manager (211) Regional Branch Administrator (212) Branch Operations Supervisor (Junior) (213) Branch Operations Supervisor (Intermediate) (214) Branch Operations Supervisor (Senior) (215) Branch Office Administrator (Junior) (216) Branch Office Administrator (Intermediate) (217) Branch Office Administrator (Senior) i

2 (218) Managed Account Administrator (219) Buyer (220) Desktop Publishing/Graphics Designer (221) Chief Security Officer Corporate Security/Facilities BUSINESS CONTINUITY PLANNING (301) Business Continuity Coordinator (302) Business Continuity Manager (303) IT Security & Business Continuity Manager COMPLIANCE (401) Compliance Advisor (Junior) (402) Compliance Advisor (Intermediate) (403) Compliance Advisor (Senior) (404) Compliance Specialist (Junior) (405) Compliance Specialist (Intermediate) (406) Compliance Specialist (Senior) (407) Compliance Examiner (Junior) (408) Compliance Examiner (Intermediate) (409) Compliance Examiner (Senior) (410) Registration Supervisor (411) Surveillance Officer (412) Compliance Manager (413) Chief Compliance Officer (Mutual Funds/Investment Advisory Services) (414) Assistant Compliance Director (415) Director of Compliance (416) Anti-Money Laundering Officer (417) Chief Privacy Officer... * CUSTOMER SERVICE (501) Customer Service Representative - External (502) Customer Service Supervisor (503) Customer Service Manager FINANCE (601) Business Analyst (Junior) (602) Business Analyst (Intermediate) (603) Business Analyst (Senior) (604) Treasury/Cash Management Manager (Junior) (605) Treasury/Cash Management Manager (Intermediate) (606) Treasury/Cash Management Manager (Senior) (607) Trust Administrator (608) Associate Trust Officer (609) Trust Officer (610) Director of Business Analysis ii

3 FLOOR/TRADING (701) Floor Brokers (AMEX)... * (702) Floor Brokers (Regional)... * (703) General Trader (Intermediate) (704) Block Trader (Junior) (705) Block Trader (Intermediate) (706) Block Trader (Senior) (707) Corporate Bond Trader (Junior) (708) Corporate Bond Trader (Intermediate) (709) Corporate Bond Trader (Senior) (710) Government Securities Trader (Junior)... * (711) Government Securities Trader (Intermediate) (712) Government Securities Trader (Senior) (713) Retail Municipal Bond Trader (714) Institutional Municipal Bond Trader (715) Options Trader (Junior) (716) Options Trader (Intermediate) (717) Options Trader (Senior) (718) OTC Agency Trader (Junior)... * (719) OTC Agency Trader (Intermediate/Senior) (720) OTC Principal Trader (Junior) (721) OTC Principal Trader (Intermediate) (722) OTC Principal Trader (Senior) (723) U.S. Equity Trader (724) U.S. Equity Sales Trader (725) Assistant Sales Trader, Fixed Income (726) Sales Trader, Fixed Income (727) Senior Sales Trader, Fixed Income (728) Trading Principal HUMAN RESOURCES MANAGEMENT (801) Human Resources Representative (Generalist, Junior) (802) Human Resources Representative (Generalist, Senior) (803) Benefits Analyst (804) Benefits Administrator (805) Benefits Manager (806) HRIS Manager (807) Compensation Analyst (808) Compensation Manager (809) Recruiter (810) RR Recruiter (811) Sales Recruiting Manager (812) Recruiting/Employment Manager (813) Sales Trainer (Junior)... * (814) Sales Trainer (Senior) (815) Sales Training Manager (816) Trainer (Non-Technical) (817) Trainer (Non-Technical, Senior) iii

4 (818) Technical Trainer (819) Technical Trainer (Senior) (820) Supervisor or Assistant Manager, Home Office Training (821) Training Manager (822) Employee Relations Manager (823) Organization Development Consultant (Senior) (824) Assessment Manager... * (825) Director/Manager of Diversity... * (826) Director of Human Resources INTERNAL AUDIT (901) Internal Auditor (Junior) (902) Internal Auditor (Intermediate) (903) Internal Auditor (Senior) (904) EDP Auditor (Junior) (905) EDP Auditor (Senior) (906) Manager, Internal Audit INVESTMENT MANAGEMENT (1001) Internal Wholesaler (1002) Internal Wholesaler (Senior) (1003) External Wholesaler (1004) External Wholesaler (Senior)... * (1005) Financial Planning Consultant (Junior) (1006) Financial Planning Consultant (Intermediate) (1007) Financial Planning Consultant (Senior) (1008) Retirement Plan Consultant (Junior) (1009) Retirement Plan Consultant (Senior) (1010) Corporate Finance Quantitative Analyst (1011) Corporate Finance Quantitative Analyst (Senior) (1012) Corporate Finance Associate (Junior) (1013) Corporate Finance Associate (Intermediate) (1014) Corporate Finance Associate (Senior) (1015) Public Finance Quantitative Analyst (1016) Public Finance Quantitative Analyst (Senior) (1017) Public Finance Associate (Junior) (1018) Public Finance Associate (Intermediate) (1019) Public Finance Associate (Senior) (1020) Tax-Exempt Fixed Income Analyst... * (1021) Tax-Exempt Fixed Income Analyst (Senior)... * (1022) Taxable Fixed Income Analyst (1023) Taxable Fixed Income Analyst (Senior) (1024) Administrative Manager (1025) Portfolio Manager (Intermediate) (1026) Portfolio Manager (Senior) (1027) Trust Portfolio Manager (1028) Trust Portfolio Manager II iv

5 (1029) Syndicate Manager (1030) Project Manager (1031) Director Project Management Office... * LEGAL (1101) Paralegal (1102) Attorney (1103) Compliance Attorney (1104) Assistant/Associate General Counsel (1105) Deputy General Counsel (1106) Estate Settlement Officer... * (1107) Trust and Estate Planner MARKETING/CORPORATE COMMUNICATIONS (1201) Product Analyst (1202) Product Analyst (Senior) (1203) Equity Research Liaison (1204) Equity Research Liaison (Senior) (1205) Media Relations Specialist (1206) Corporate Communications Manager (1207) Internet Marketing Manager (1208) Marketing Coordinator (1209) Product Marketer Mutual Funds (1210) Product Marketer Insurance (1211) Product Marketer Retirement (1212) Product Marketer Estate Planning (1213) Product Marketer Wrap Accounts... * (1214) Product Marketer Unit Investment Trusts (UIT)... * (1215) Web Site Marketing Specialist (1216) Marketing Manager (1217) Marketing Manager (Senior) (1218) Marketing Director OPERATIONS (1301) Operations Specialist (1302) Operations Supervisor (Junior) (1303) Operations Supervisor (Intermediate) (1304) Operations Supervisor (Senior) (1305) Operations Manager (Junior) (1306) Operations Manager (Intermediate) (1307) Operations Manager (Senior) (1308) Operations Project Management Associate (OPMA)... * (1309) ACATS/TOA (Transfer of Assets) Supervisor (1310) Margin Supervisor (1311) New Accounts Supervisor (1312) New Accounts Principal (1313) Cashering Supervisor v

6 (1314) Cashier-Department Head (1315) IRA Services Supervisor (1316) Stock Loan Manager (Junior) (1317) Stock Loan Manager (Intermediate) (1318) Stock Loan Manager (Senior) (1319) Tax Reporting Analyst (1320) Tax Reporting Analyst (Senior) (1321) Branch Liaison RESEARCH (1401) Editor (1402) Senior Editor (1403) Supervisory Research Analyst (1404) Equity Research Associate (1405) Equity Research Associate (Senior) (1406) Equity Research Analyst (Junior) (1407) Equity Research Analyst (Intermediate) (1408) Equity Research Analyst (Senior) (1409) Fixed Income Research Associate... * (1410) Fixed Income Research Associate (Senior) (1411) Fixed Income Research Analyst (Junior) (1412) Fixed Income Research Analyst (Intermediate) (1413) Fixed Income Research Analyst (Senior) (1414) Mutual Fund Research Analyst... * (1415) Mutual Fund Research Analyst (Senior)... * RISK MANAGEMENT (1501) Credit Risk Analyst (Senior) (1502) Risk Management Specialist (1503) Risk Management Specialist (Senior) SYSTEMS/TECHNOLOGY (1601) Computer Operations (Supervisor) (1602) Computer Operations (Group/Section Manager) (1603) Computer Operations (Department Manager) (1604) Programmer (1605) Programmer (Senior) (1606) Programmer Analyst (1607) Programmer Analyst (Senior) (1608) Web Publishing Coordinator (1609) Web Product Manager (1610) Webmaster (1611) Systems Analyst (1612) Systems Analyst (Senior) (1613) Client/Server & Networking Administrator (1614) Telecom Manager (1615) Senior Database Administrator vi

7 WEALTH MANAGEMENT (1701) Internal Wealth Management Consultant (1702) Internal Wealth Management Consultant (Senior) (1703) External Wealth Management Consultant SEGMENTS & TERMS PARTICIPANTS POSITION DESCRIPTIONS PRICE LIST vii

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