FundVest ETF Participating Funds As of 10/9/17 (subject to change without prior notice) FundVest ETF, available from BNY Mellon s Pershing, is a no-transaction-fee (NTF) exchange-traded fund (ETF) platform featuring a broad range of strategies with more than 160 funds to choose from. Key benefits include: No transaction fees and no purchase minimums or holding period. 1 Direxion All Cap Insider Sentiment Shares KNOW Mid-Cap Value Direxion Auspice Broad Commodity Strategy ETF COM Commodities General Funds Direxion NASDAQ-100 Equal Weighted Index Shares QQQE Multi-Cap Growth Direxion Zacks MLP High Income Index Shares ZMLP Energy MLP Funds First Trust Dorsey Wright Focus 5 ETF FV Specialty/Miscellaneous First Trust Dorsey Wright International Focus 5 ETF IFV Specialty/Miscellaneous First Trust Dow 30 Equal Weight ETF EDOW Large-Cap Growth First Trust Dow Jones Internet Index Fund FDN Science & Technology First Trust Emerging Markets AlphaDEX Fund FEM Emerging Markets First Trust Emerging Markets Local Currency Bond ETF FEMB Emerging Markets Local Currency Debt Fds First Trust Enhanced Short Maturity ETF FTSM Short-Intermediate Investment Grade Debt First Trust Europe AlphaDEX Fund FEP European Region First Trust Japan AlphaDEX Fund FJP Japanese First Trust Large Cap Growth AlphaDEX Fund FTC Multi-Cap Growth First Trust Large Cap Value AlphaDEX Fund FTA Multi-Cap Value First Trust Long/Short Equity ETF FTLS Alternative Long/Short Equity Funds First Trust Low Duration Opportunities ETF LMBS US Mortgage First Trust Morningstar Managed Futures Strategy Fund FMF Alternative Managed Futures Funds First Trust Nasdaq Bank ETF FTXO Financial Services First Trust NASDAQ Technology Dividend Index Fund TDIV Global Science/Technology Funds First Trust North American Energy Infrastructure Fund EMLP Natural Resources First Trust NYSE Arca Biotechnology Index Fund FBT Health/Biotechnology First Trust Preferred Securities and Income ETF FPE Flexible Income First Trust RBA Quality Income ETF QINC Equity Income First Trust Rising Dividend Achievers ETF RDVY Equity Income First Trust RiverFront Dynamic Asia Pacific ETF RFAP Pacific Region First Trust RiverFront Dynamic Developed International ETF RFDI International Multi-Cap Core First Trust RiverFront Dynamic Emerging Markets ETF RFEM Emerging Markets First Trust RiverFront Dynamic Europe ETF RFEU European Region 1 Before a sale takes place, transactions must first settle in the account in order to qualify for no transaction fee.
First Trust Senior Loan Fund FTSL Loan Participation First Trust Small Cap Core AlphaDEX Fund FYX Small-Cap Core First Trust SSI Strategic Convertible Securities ETF FCVT Convertible Securities First Trust STOXX European Select Dividend Index Fund FDD International Equity Income Funds First Trust Tactical High Yield ETF HYLS High Yield Funds First Trust TCW Opportunistic Fixed Income ETF FIXD Multi-Sector Income First Trust Technology AlphaDEX Fund FXL Science & Technology First Trust US Equity Opportunities ETF FPX Multi-Cap Growth First Trust Value Line Dividend Index Fund FVD Multi-Cap Value Guggenheim BulletShares 2018 Corporate Bond ETF BSCI Short Investment Grade Debt Funds Guggenheim BulletShares 2018 High Yield Corporate Bond ETF BSJI High Yield Funds Guggenheim BulletShares 2019 Corporate Bond ETF BSCJ Short-Intermediate Investment Grade Debt Guggenheim BulletShares 2019 High Yield Corporate Bond ETF BSJJ High Yield Funds Guggenheim BulletShares 2020 Corporate Bond ETF BSCK Short-Intermediate Investment Grade Debt Guggenheim BulletShares 2020 High Yield Corporate Bond ETF BSJK High Yield Funds Guggenheim BulletShares 2021 Corporate Bond ETF BSCL Corporate Debt Funds BBB-Rated Guggenheim BulletShares 2021 High Yield Corporate Bond ETF BSJL High Yield Funds Guggenheim BulletShares 2022 Corporate Bond ETF BSCM Corporate Debt Funds BBB-Rated Guggenheim BulletShares 2022 High Yield Corporate Bond ETF BSJM High Yield Funds Guggenheim BulletShares 2023 Corporate Bond ETF BSCN Corporate Debt Funds BBB-Rated Guggenheim BulletShares 2023 High Yield Corporate Bond ETF BSJN High Yield Funds Guggenheim BulletShares 2024 Corporate Bond ETF BSCO Corporate Debt Funds BBB-Rated Guggenheim BulletShares 2024 High Yield Corporate Bond ETF BSJO High Yield Funds Guggenheim BulletShares 2025 Corporate Bond ETF BSCP Corporate Debt Funds BBB-Rated Guggenheim BulletShares 2026 Corporate Bond ETF BSCQ Corporate Debt Funds BBB-Rated Guggenheim Dow Jones Industrial Average Dividend ETF DJD Equity Income Guggenheim MSCI Emerging Markets Equal Country Weight ETF EWEM Emerging Markets Guggenheim S&P 100 Equal Weight ETF OEW Large-Cap Core Guggenheim S&P 500 Equal Weight Consumer Discretionary ETF RCD Consumer Services Funds Guggenheim S&P 500 Equal Weight Consumer Staples ETF RHS Consumer Goods Funds Guggenheim S&P 500 Equal Weight Energy ETF RYE Natural Resources Guggenheim S&P 500 Equal Weight ETF RSP Multi-Cap Core Guggenheim S&P 500 Equal Weight Financial ETF RYF Financial Services Guggenheim S&P 500 Equal Weight Health Care ETF RYH Health/Biotechnology Guggenheim S&P 500 Equal Weight Industrials ETF RGI Industrials Funds Guggenheim S&P 500 Equal Weight Materials ETF RTM Basic Materials Funds Guggenheim S&P 500 Equal Weight Real Estate ETF EWRE Real Estate Guggenheim S&P 500 Equal Weight Technology ETF RYT Science & Technology Guggenheim S&P 500 Equal Weight Utilities ETF RYU Utility Guggenheim S&P 500 Pure Growth ETF RPG Multi-Cap Growth Guggenheim S&P 500 Pure Value ETF RPV Multi-Cap Value Guggenheim S&P High Income Infrastructure ETF GHII Global Infrastrucure Funds Guggenheim S&P MidCap 400 Equal Weight ETF EWMC Small-Cap Core
Guggenheim S&P MidCap 400 Pure Growth ETF RFG Small-Cap Growth Guggenheim S&P MidCap 400 Pure Value ETF RFV Small-Cap Value Guggenheim S&P SmallCap 600 Equal Weight ETF EWSC Small-Cap Core Guggenheim Total Return Bond ETF GTO Core Bond Funds Guggenheim Ultra Short Duration ETF GSY Ultra-Short Obligation Oppenheimer Large Cap Revenue ETF RWL Large-Cap Value Oppenheimer Mid Cap Revenue ETF RWK Small-Cap Core Oppenheimer Small Cap Revenue ETF RWJ Small-Cap Value Oppenheimer Ultra Dividend Revenue ETF RDIV Equity Income PIMCO Active Bond Exchange-Traded Fund BOND N/A PIMCO Intermediate Municipal Bond Active Exchange-Traded Fund MUNI Intermediate Municipal Debt PIMCO Low Duration Active Exchange-Traded Fund LDUR Short Investment Grade Debt Funds PIMCO Short Term Municipal Bond Active Exchange-Traded Fund SMMU Short Municipal Debt PowerShares 1-30 Laddered Treasury Portfolio PLW General US Treasury PowerShares Balanced Multi-Asset Allocation Portfolio PSMB Mixed-Asset Target Allocation Growth PowerShares Conservative Multi-Asset Allocation Portfolio PSMC Mixed-Asset Target Allocation Conservative PowerShares Dynamic Large Cap Growth Portfolio PWB Large-Cap Growth PowerShares Dynamic Large Cap Value Portfolio PWV Large-Cap Value PowerShares Emerging Markets Sovereign Debt Portfolio PCY Emerging Mrkts Hard Currency Debt Funds PowerShares FTSE RAFI Developed Markets ex-u.s. Portfolio PXF International Multi-Cap Value PowerShares FTSE RAFI Emerging Markets Portfolio PXH Emerging Markets PowerShares FTSE RAFI US 1000 Portfolio PRF Multi-Cap Value PowerShares FTSE RAFI US 1500 Small-Mid Portfolio PRFZ Small-Cap Core PowerShares Fundamental High Yield Corporate Bond Portfolio PHB High Yield Funds PowerShares Fundamental Investment Grade Corporate Bond Portfolio PFIG Corporate Debt Funds BBB-Rated PowerShares Growth Multi-Asset Allocation Portfolio PSMG Mixed-Asset Target Allocation Growth PowerShares LadderRite 0-5 Year Corporate Bond Portfolio LDRI Short-Intermediate Investment Grade Debt PowerShares Moderately Conservative Multi-Asset Allocation Portfolio PSMM Mixed-Asset Target Allocation Conservative PowerShares National AMT-Free Municipal Bond Portfolio PZA General & Insured Municipal Debt Funds PowerShares Optimum Yield Diversified Commodity Strategy No K-1 Portfolio PDBC Commodities General Funds PowerShares Preferred Portfolio PGX Flexible Income PowerShares Russell 1000 Equal Weight Portfolio EQAL Multi-Cap Core PowerShares Russell Top 200 Pure Growth Portfolio PXLG Large-Cap Growth PowerShares S&P 500 Enhanced Value Portfolio SPVU Large-Cap Value PowerShares S&P 500 High Beta Portfolio SPHB Multi-Cap Core PowerShares S&P 500 Low Volatility Portfolio SPLV Multi-Cap Core PowerShares S&P 500 Momentum Portfolio SPMO Large-Cap Core PowerShares S&P 500 Value With Momentum Portfolio SPVM Large-Cap Value PowerShares S&P 500 High Dividend Low Volatility Portfolio SPHD Equity Income PowerShares S&P 500 Quality Portfolio SPHQ Large-Cap Core PowerShares S&P Emerging Markets Low Volatility Portfolio EELV Emerging Markets PowerShares S&P Emerging Markets Momentum Portfolio EEMO Emerging Markets
PowerShares S&P International Developed High Dividend Low Volatility Portfolio IDHD Equity Income PowerShares S&P International Developed Low Volatility Portfolio IDLV International Multi-Cap Core PowerShares S&P International Developed Momentum Portfolio IDMO International Multi-Cap Growth PowerShares S&P International Developed Quality Portfolio IDHQ International Multi-Cap Growth PowerShares S&P MidCap Low Volatility Portfolio XMLV Mid-Cap Core PowerShares S&P SmallCap High Dividend Low Volatility Portfolio XSHD Equity Income PowerShares S&P SmallCap Low Volatility Portfolio XSLV Small-Cap Core PowerShares S&P SmallCap Quality Portfolio XSHQ Small-Cap Growth PowerShares Senior Loan Portfolio BKLN Loan Participation PowerShares Variable Rate Investment Grade Portfolio VRIG Short Investment Grade Debt Funds PowerShares Variable Rate Preferred Portfolio VRP Equity Income Reality Shares DIVS ETF DIVY Alternative Multi-Strategy Funds SPDR Blackstone / GSO Senior Loan ETF SRLN Loan Participation SPDR Bloomberg Barclays Convertible Securities ETF CWB Convertible Securities SPDR Bloomberg Barclays High Yield Bond ETF JNK High Yield Funds SPDR Bloomberg Barclays Investment Grade Floating Rate ETF FLRN Short Investment Grade Debt Funds SPDR Bloomberg Barclays Short Term High Yield Bond ETF SJNK High Yield Funds SPDR Dorsey Wright Fixed Income Allocation ETF DWFI Multi-Sector Income SPDR DoubleLine Total Return Tactical ETF TOTL Multi-Sector Income SPDR DoubleLine Emerging Markets Fixed Income ETF EMTL Emerging Mrkts Hard Currency Debt Funds SPDR DoubleLine Short Term Total Return Tactical ETF STOT Short-Intermediate US Government SPDR Dow Jones Global Real Estate ETF RWO Global Real Estate Funds SPDR Dow Jones International Real Estate ETF RWX International Real Estate Funds SPDR Dow Jones REIT ETF RWR Real Estate SPDR MSCI EAFE StrategicFactors ETF QEFA International Multi-Cap Growth SPDR MSCI Emerging Markets StrategicFactors ETF QEMM Emerging Markets SPDR MSCI USA StrategicFactors ETF QUS Large-Cap Core SPDR MSCI World StrategicFactors ETF QWLD Global Large-Cap Growth SPDR Nuveen Bloomberg Barclays Municipal Bond ETF TFI General & Insured Municipal Debt Funds SPDR Nuveen Bloomberg Barclays Short Term Municipal Bond ETF SHM Short Municipal Debt SPDR Nuveen S&P High Yield Municipal Bond ETF HYMB High Yield Municipal Debt SPDR Portfolio Emerging Markets ETF SPEM Emerging Markets SPDR Portfolio Intermediate Term Corporate Bond ETF SPIB Corporate Debt Funds BBB-Rated SPDR Portfolio Large Cap ETF SPLG Large-Cap Core SPDR Portfolio Long Term Corporate Bond ETF SPLB General Bond SPDR Portfolio S&P 500 Growth ETF SPYG Large-Cap Growth SPDR Portfolio S&P 500 Value ETF SPYV Large-Cap Value SPDR Portfolio Short Term Corporate Bond ETF SPSB Short Investment Grade Debt Funds SPDR Portfolio Small Cap ETF SPSM Small-Cap Core SPDR Portfolio Total Stock Market ETF SPTM Multi-Cap Core SPDR Portfolio World ex-us ETF SPDW International Multi-Cap Core SPDR S&P 400 Mid Cap Growth ETF MDYG Mid-Cap Growth
SPDR S&P 400 Mid Cap Value ETF MDYV Small-Cap Value SPDR S&P 600 Small Cap Growth ETF SLYG Small-Cap Growth SPDR S&P 600 Small Cap Value ETF SLYV Small-Cap Value SPDR S&P Dividend ETF SDY Equity Income SPDR S&P Global Natural Resources ETF GNR Global Natural Resources Funds SPDR SSGA Gender Diversity Index ETF SHE Specialty/Miscellaneous SPDR Wells Fargo Preferred Stock ETF PSK Flexible Income Note: Fund classification provided by Lipper. Learn more about the NTF-ETFs in FundVest ETF For Direxion funds, visit: direxioninvestments.com For First Trust funds, visit: http://www.ftportfolios.com/retail/etf/etflist.aspx For Guggenheim funds, visit: guggenheiminvestments.com/products/etf For PIMCO funds, visit: pimcoetfs.com For PowerShares funds, visit: invescopowershares.com For Oppenheimer funds, visit: https://www.oppenheimerfunds.com/registered-investmentadvisors/funds/etf For Reality Shares funds, visit: http://www.realityshares.com For SPDR funds, visit: spdrs.com/product To learn more about FundVest ETF, talk with a representative of your financial organization. The funds listed above are offered to you by your financial organization and made available through Pershing. List subject to change without prior notice. Please note that shares purchased on the FundVest ETF platform may not be immediately marginable. Investments are not FDIC-insured, nor are they deposits of or guaranteed by a bank or any other entity, so they may lose value. Consult with an advisor before investing in or sending money. Performance may be affected by risks associated with nondiversification, including investments in specific countries or sectors. Additional risks may also include, but are not limited to, investments in foreign securities, especially emerging markets, real estate investment trusts (REITS), fixed income, small-capitalization securities and commodities. Each individual investor should consider these risks carefully before investing in a particular security or strategy. Investors should consider carefully information contained in the prospectus, including investment objectives, risks, charges and expenses. You can obtain a prospectus from your financial professional, your financial organization or directly from the fund provider. Please read the prospectus carefully before investing. Please note that ETFs are subject to market fluctuation and the risks of their underlying investment. ETFs and even no transaction fee ETFs are subject to management fees and other expenses. Unlike mutual funds, ETFs are bought and sold at market price, which may be higher or lower than their net asset value (NAV), and are not individually redeemed from the fund. Exchange-traded products (ETPs) are subject to market volatility and the risks of their underlying securities, which may include the risks associated with investing in smaller companies, foreign securities, commodities, and fixed income investments. Foreign securities are subject to interest rate, currency exchange rate, economic and political risks, all of which are magnified in emerging markets. ETPs that target a small universe of securities, such as a specific region or market sector, are generally subject to greater market volatility, as well as to the specific risks associated with that sector, region, or other focus. ETPs that use derivatives, leverage or complex investment strategies are subject to additional risks. The return of an index ETP is usually different from that of the index it tracks because of fees, expenses, and tracking
error. An ETP may trade at a premium or discount to its NAV (or indicative value in the case of exchange-traded notes). The degree of liquidity can vary significantly from one ETP to another and losses may be magnified if no liquid market exists for the ETP s shares when attempting to sell them. Each ETP has a unique risk profile, detailed in its prospectus, offering circular or similar material, which should be considered carefully when making investment decisions. Pershing may receive compensation from third parties or their affiliates for marketing, educational training programs, back office accounting, the development and maintenance of technology platforms and reporting systems, and certain other services (Services) related to its securities trading platform (the Platform). Pershing is entitled to receive payments in connection with such Services. The payment for such Services may create incentives for Pershing to encourage customers to transact through the Platform and as a result Pershing may make decisions about which investment options it makes available or the level of Services it provides to its customers based on the payments or other financial incentives it is eligible to receive. Additional information about the sources, amounts, and terms of compensation is in the fund s prospectus and related documents. 2017 Pershing LLC. Pershing LLC, member FINRA, NYSE, SIPC, is a wholly owned subsidiary of The Bank of New York Mellon Corporation (BNY Mellon). Trademark(s) belong to their respective owners. REF-FVETF-PER-10-17