0001752724-19-002694.txt : 20190125
0001752724-19-002694.hdr.sgml : 20190125
20190125114606
ACCESSION NUMBER: 0001752724-19-002694
CONFORMED SUBMISSION TYPE: N-CEN/A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20180731
FILED AS OF DATE: 20190125
DATE AS OF CHANGE: 20190125
EFFECTIVENESS DATE: 20190125
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: BLACKROCK NATURAL RESOURCES TRUST
CENTRAL INDEX KEY: 0000766555
IRS NUMBER: 136857277
STATE OF INCORPORATION: MA
FISCAL YEAR END: 0731
FILING VALUES:
FORM TYPE: N-CEN/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-04282
FILM NUMBER: 19541823
BUSINESS ADDRESS:
STREET 1: 100 BELLEVUE PARKWAY
CITY: WILMINGTON
STATE: DE
ZIP: 19809
BUSINESS PHONE: 800-441-7762
MAIL ADDRESS:
STREET 1: 100 BELLEVUE PARKWAY
CITY: WILMINGTON
STATE: DE
ZIP: 19809
FORMER COMPANY:
FORMER CONFORMED NAME: MERRILL LYNCH NATURAL RESOURCES TRUST /
DATE OF NAME CHANGE: 20001031
FORMER COMPANY:
FORMER CONFORMED NAME: MERRILL LYNCH GLOBAL RESOURCES TRUST /
DATE OF NAME CHANGE: 19940325
FORMER COMPANY:
FORMER CONFORMED NAME: MERRILL LYNCH NATURAL RESOURCES TRUST
DATE OF NAME CHANGE: 19920703
N-CEN/A
1
primary_doc.xml
X0101
N-CEN/A
0001752724-18-001048
LIVE
0000766555
XXXXXXXX
811-04282
N-1A
true
BlackRock Natural Resources Trust
811-04282
0000766555
MGCZP3KOJ3GY627IHK03
100 Bellevue Parkway
Wilmington
19809
US-DE
US
800- 441 7762
BlackRock Advisors, LLC
100 Bellevue Parkway
Wilmington
19809
302-797-2000
Records related to its functions as advisor and administrator
BNY Mellon Investment Servicing (US) Inc.
301 Bellevue Parkway
Wilmington
19809
302-791-1700
Records related to its functions as transfer agent
State Street Bank and Trust Company
1 Lincoln Street
Boston
02111
617-786-3000
Records related to its functions as Custodian, Accounting agent, and Sub-Administrator
BlackRock International Limited
1 Semple Street
Edinburgh
GB
EH3 8BL
44 131 472 7200
Records related to its functions as sub-advisor
BlackRock Investments, LLC
40 East 52nd St
New York
10022
609-282-3046
Records related to its functions as distributor
Y
N
N-1A
1
Y
John F. O'Brien
000000000
N
Bruce R. Bond
000000000
N
James H. Bodurtha
000000000
N
Lena G. Goldberg
000000000
N
Honorable Stuart E. Eizenstat
000000000
N
Henry Gabbay
000000000
N
John M. Perlowski
000000000
Y
Henry R. Keizer
000000000
N
Robert M. Hernandez
000000000
N
Donald C. Opatrny
000000000
N
Robert Fairbairn
004992372
Y
Charles Park
000000000
55 East 52nd Street
New York
10055
XXXXXX
N
N
N
N
N
N
BlackRock Investments, LLC
8-48436
000038642
0000000000
Y
N
Deloitte & Touche LLP
34
0000000000
N
N
N
N
N
N
BlackRock Natural Resources Trust
S000002176
MGCZP3KOJ3GY627IHK03
Y
4
0
1
N/A
N
N
Y
N
N
BlackRock Investment Management, LLC
5493006MRTEZZ4S4CQ20
Y
N
Cash collateral reinvestment fee
Revenue sharing split
Other
Rebates paid to borrowers
3720334.00000000
26835.00000000
Rule 10f-3 (17 CFR 270.10f-3)
Rule 17a-6 (17 CFR 270.17a-6)
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 17e-1 (17 CFR 270.17e-1)
Rule 22d-1 (17 CFR 270.22d-1)
Rule 17a-7 (17 CFR 270.17a-7)
Y
Y
N
N
BlackRock Advisors, LLC
801-47710
000106614
5493001LN9MRM6A35J74
N
BlackRock International Limited
801-51087
000106843
5493008YUGP5E01IBD70
Y
GB
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
IHS Markit Ltd.
549300HLPTRASHS0E726
GB
N
Ice Data Services, Inc.
<null>
N
Standard & Poor's Financial Services LLC
549300U4VWNITEKO2881
N
Bloomberg L.P.
549300B56MD0ZC402L06
N
N
HSBC Bank (China) Company Limited
2CZOJRADNJXBLT55G526
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear PLC
54930045L3MXWBD27H71
CH
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch)
0000000000
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank International GmbH
ZMHGNT7ZPKZ3UFZ8EO46
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch)
0000000000
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch)
0000000000
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Austria AG
D1HEB8VEU6D9M8ZUXG17
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch)
0000000000
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Hungary Zrt.
Y28RT6GGYJ696PMW8T44
HU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex.
2SFFM4FUIE05S37WFU55
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (Hong Kong) Limited
X5AV1MBDXGRPX5UGMX13
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company (London, GB, Branch)
0000000000
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Handlowy w Warszawie Spolka Akcyjna
XLEZHWWOI4HFQDGL4793
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken A/S
0000000000
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch)
0000000000
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (Thai) Public Company Limited
549300O1LQYCQ7G1IM57
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Trust Company Canada
549300L71XG2CTQ2V827
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Jakarta, Jakarta, ID, Branch)
0000000000
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank del Peru S.A.
MYTK5NHHP1G8TVFGT193
PE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank (Malaysia) Berhad
529900DLWFR8HK7DR278
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch)
RB0PEZSDGCO3JS6CEU02
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch)
0000000000
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Makati City, Metro Manila, PH, Branch)
0000000000
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Standard Bank of South Africa Limited
QFC8ZCW3Q5PRXU1XTM60
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Hapoalim B.M.
B6ARUI4946ST4S7WOU88
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Credit Suisse Funds AG
549300UY5YPGQ600JV78
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch)
0000000000
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Societa per Azioni
529900SS7ZWCX82U3W60
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch)
0000000000
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
FirstRand Bank Limited
0000000000
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Singapore, SG, Branch)
0000000000
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citigroup Global Markets Inc.
MBNUM2BPBDO7JBLYG310
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8NAV47T0Y26Q87Y0QP81
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Barclays Capital Inc.
AC28XWWI3WIBK2824319
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Morgan Stanley & Co. LLC
9R7GPTSO7KV3UQJZQ078
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Goldman Sachs & Co. LLC
FOR8UP27PHTHYVLBNG30
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Credit Suisse Securities (USA) LLC
1V8Y6QCX6YMJ2OELII46
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
N
Weller, Anderson & Co., Ltd.
8-40685
SEC #
N
N
S.A. Stone Wealth Management
8-36638
SEC #
N
N
Client One Securities LLC
8-68494
SEC #
N
N
Univest Investments, Inc.
8-14145
SEC #
N
N
Summit Brokerage Services, Inc.
8-46310
SEC #
N
N
SECU Brokerage Services
8-37927
SEC #
N
N
Triad Advisors, Inc.
8-42007
SEC #
N
N
Lucia Securities, LLC
8-47643
SEC #
N
N
InvestShares (Legal name: IMA Securities LLC)
8-68365
SEC #
N
N
Smith, Moore & Co.
8-27480
SEC #
N
N
Nationwide Financial Services, Inc.
5493001H7AZNDS6BKJ36
N
Y
Santander Securities LLC
8-49571
SEC #
N
N
RDM Investment Services, Inc.
8-52728
SEC #
N
N
Slavic Investment Corporation
8-40024
SEC #
N
N
N.I.S. Financial Services, Inc.
8-15919
SEC #
N
N
Fidelity Investments Institutional Operations Company, Inc.
8-35097
SEC #
N
Y
Securities Service Network, Inc.
8-28980
SEC #
N
N
Marsco Investment Corporation
8-36754
SEC #
N
N
American Enterprise Investment Services, Inc.
8-42582
SEC #
N
N
Lincoln Investment Planning, Inc.
8-14354
SEC #
N
N
J.W. Cole Financial, Inc.
8-65698
SEC #
N
N
Liberty Group, LLC
8-52994
SEC #
N
N
Saturna Brokerage Services, Inc.
8-36558
SEC #
N
N
ViewTrade Securities, Inc.
8-51605
SEC #
N
N
Intercontinental Asset Management Group, Ltd.
8-39706
SEC #
N
N
Folger Nolan Fleming Douglas Incorporated
8-03335
SEC #
N
N
TransAm Securities, Inc.
8-37065
SEC #
N
N
Wells Fargo Clearing Services, LLC
8-37180
SEC #
N
Y
TCM Securities, Inc.
8-50313
SEC #
N
N
Gregory J. Schwartz & Co., Inc.
8-20955
SEC #
N
N
Callaway Financial Services, Inc.
8-52474
SEC #
N
N
RNR Securities, L.L.C.
8-50366
SEC #
N
N
World Capital Brokerage, Inc.
8-06805
SEC #
N
N
Digital Retirement Solutions, Inc.
N/A
N
Y
Financial Planning Consultants, Inc.
8-25384
SEC #
N
N
Lantern Investments, Inc.
8-45285
SEC #
N
N
Mora WM Securities, LLC
8-68910
SEC #
N
N
First Republic Securities Company, LLC
8-52973
SEC #
N
N
Citizens Securities, Inc.
8-48744
SEC #
N
N
R.M. Stark & Co., Inc.
8-22543
SEC #
N
N
William C. Burnside & Company, Inc.
8-21242
SEC #
N
N
ADCAP Securities
8-51285
SEC #
N
N
Voya Retirement Insurance and Annuity Company
OK3MKCDYPD4NN6QDGK18
N
Y
Kovitz Securities, LLC
8-66267
SEC #
N
N
Companion Life Insurance Company
549300576JWB8808D393
N
Y
First Heartland Capital, Inc.
8-46008
SEC #
N
N
Thurston, Springer, Miller, Herd & Titak, Inc.
8-25452
SEC #
N
N
Stannard Financial Services, LLC
8-50654
SEC #
N
N
FCG Advisors, LLC
8-49104
SEC #
N
N
Oscar Gruss & Son Incorporated
8-22371
SEC #
N
N
Mutual Funds Associates, Inc.
8-13026
SEC #
N
N
Arlington Securities, Inc.
8-38098
SEC #
N
N
Cetera Advisor Networks LLC
8-29577
SEC #
N
N
BC Securities, Inc. (Somerset Securities, Inc. )
8-11539
SEC #
N
N
The Leaders Group, Inc.
8-47639
SEC #
N
N
Moloney Securities Co., Inc.
8-48326
SEC #
N
N
GFA Securities
8-66154
SEC #
N
N
John Hancock Life Insurance Company
QQ0OZ8J9C4B5QT1XDG31
CA
N
Y
Raymond James Financial Services, Inc.
8-17983
SEC #
N
N
Massachusetts Mutual Life Insurance Company
R6ZXK5P01NP6HXSY1S07
N
Y
Farmers Financial Solutions, LLC
8-52361
SEC #
N
N
K. W. Chambers & CO.
8-10533
SEC #
N
N
PFS Investments Inc.
8-26486
SEC #
N
N
Uhlmann Price Securities, LLC
8-50041
SEC #
N
N
Girard Securities
8-36920
SEC #
N
N
Westco Investment Corp.
8-38452
SEC #
N
N
Gill Capital Partners, LLC
8-30563
SEC #
N
N
Southeast Investments, N.C., Inc.
8-50127
SEC #
N
N
PWA Securities, Inc.
8-67700
SEC #
N
N
MHA Financial Corp.
8-21836
SEC #
N
N
Investors Brokerage of Texas, Ltd.
8-28644
SEC #
N
N
Fidelity Brokerage Services LLC
8-23292
SEC #
N
Y
Moors & Cabot, Inc.
8-23060
SEC #
N
N
PNC Capital Markets LLC
8-32493
SEC #
Y
N
Watermark Securities, Inc.
8-43902
SEC #
N
N
Alexander Capital, L.P.
8-48957
SEC #
N
N
TIAA-CREF Individual & Institutional Services, LLC
8-44454
SEC #
N
N
BTS Securities Corporation
8-26818
SEC #
N
N
Westport Resources Investment Services, Inc.
8-40904
SEC #
N
N
Capital Institutional Services, Inc.
8-22273
SEC #
N
N
Signal Securities, Inc.
8-32948
SEC #
N
N
Spencer Trask Ventures, Inc.
8-43665
SEC #
N
N
LaBrunerie Financial Services, Inc.
8-47830
SEC #
N
N
Keel Point Capital, LLC
8-22990
SEC #
N
N
Stifel, Nicolaus & Company, Incorporated
8-01447
SEC #
N
Y
TD Ameritrade Trust Company
028-15163
SEC #
N
N
JHW Financial Services Inc.
8-45304
SEC #
N
N
National Planning Corp.
8-44435
SEC #
N
N
Fiduciary Trust International
N1YKEWO2IYPRS4742F57
SEC #
N
N
Michigan Securities, Inc.
8-52094
SEC #
N
N
Coordinated Capital Securities, Inc.
8-31173
SEC #
N
N
Spire Securities, LLC
8-67635
SEC #
N
N
Alight Financial Solutions LLC
8-47344
SEC #
N
N
FNBB Capital Markets, LLC
8-66553
SEC #
N
N
G.F. Investment Services, LLC
8-66659
SEC #
N
N
Freimark Blair & Company, Inc.
8-28646
SEC #
N
N
Lexington Investment Company, Inc.
8-43085
SEC #
N
N
FMSBonds, Inc.
8-23280
SEC #
N
N
Infinity Securities, Inc.
8-67647
SEC #
N
N
Janney Montgomery Scott LLC
8-00462
SEC #
N
N
T. Rowe Price Investment Services, Inc.
8-25130
SEC #
N
N
ING Financial Markets LLC
8-43978
SEC #
N
N
Coker & Palmer, Inc.
8-44129
SEC #
N
N
Mercer HR Services, LLC
N/A
N
Y
Broker Dealer Financial Services Corp.
8-24220
SEC #
N
N
CUNA Brokerage Services, Inc.
8-30027
SEC #
N
N
Thoroughbred Financial Services, LLC
8-51944
SEC #
N
N
Waddell & Reed, Inc.
8-27030
SEC #
N
N
Variable Investment Advisors, Inc.
8-50699
SEC #
N
N
First Command Financial Planning, Inc.
8-07072
SEC #
N
N
Avalon Investment & Securities Group, Inc.
8-17078
SEC #
N
N
Money Concepts Capital Corp.
8-29671
SEC #
N
N
First Financial Securities of America, Inc.
8-29565
SEC #
N
N
CSSC Brokerage Services, Inc.
8-67401
SEC #
N
N
Harbour Investments, Inc.
8-37373
SEC #
N
N
Davinci Capital Management Inc.
8-51580
SEC #
N
N
Brooklight Place Securities, Inc.
8-32673
SEC #
N
N
Investment Planners, Inc.
8-35642
SEC #
N
N
Place Trade Financial, Inc.
8-65915
SEC #
N
N
WFG Investments, Inc.
8-39928
SEC #
N
N
Omega Securities, Inc.
8-20225
SEC #
N
N
J. Alden Associates, Inc.
8-48938
SEC #
N
N
Financial Services International Corp.
8-48032
SEC #
N
N
Herbert J. Sims & Co. Inc.
8-03315
SEC #
N
N
Bley Investments Group, Inc.
8-42701
SEC #
N
N
Center Street Securities, Inc.
8-42786
SEC #
N
N
Kestra Investment Services, LLC
8-49672
SEC #
N
N
Quest Capital Strategies, Inc.
8-34532
SEC #
N
N
Shareholders Service Group, Inc.
8-65778
SEC #
N
N
Bristol Financial Services, Inc.
8-67140
SEC #
N
N
First Financial Equity Corporation
8-34082
SEC #
N
N
N.E. Private Client Advisors, Ltd.
8-66968
SEC #
N
N
Commerce Brokerage Services, Inc.
8-35096
SEC #
N
N
Crews & Associates, Inc.
8-24075
SEC #
N
N
Cascade Investment Group, Inc.
8-46943
SEC #
N
N
Hancock Bank Corporation
549300GRNBWY8HIICT41
N
N
CapFinancial Securities, LLC
8-65870
SEC #
N
N
FSB Warner Financial, Inc.
8-44865
SEC #
N
N
American Equity Investment Corporation
8-49078
SEC #
N
N
Independent Financial Group, LLC
8-22870
SEC #
N
N
RJJ Pasadena Securities, Inc.
8-25324
SEC #
N
N
Scottrade, Inc.
8-24760
SEC #
N
N
Bolton Securities Corp.
8-68187
SEC #
N
N
First Honolulu Securities, Inc.
8-23919
SEC #
N
N
Diversified Resources, LLC
8-45497
SEC #
N
N
Allen C Ewing & Co.
8-42393
SEC #
N
N
Petersen Investments, Inc.
8-48306
SEC #
N
N
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8-07221
SEC #
N
N
Wesbanco Securities, Inc.
8-50220
SEC #
N
N
Primerica Shareholder Services, Inc.
084-01499
SEC #
N
Y
Sycamore Financial Group
8-30302
SEC #
N
N
Securian Financial Services, Inc.
8-31955
SEC #
N
N
Roberts & Ryan Investments Inc.
8-37469
SEC #
N
N
Woodlands Securities Corporation
8-39700
SEC #
N
N
Harvest Financial Corporation
8-26037
SEC #
N
N
Benjamin F. Edwards & Company, Inc.
8-68023
SEC #
N
N
Excel Securities & Associates, Inc.
8-34261
SEC #
N
N
SagePoint Financial, Inc.
8-66771
SEC #
N
N
Guardian Insurance & Annuity Company, Inc., The
TGIU5N0SIMULU6I57R64
N
Y
Queens Road Securities, LLC
8-52737
SEC #
N
N
Key Investment Services LLC
8-66999
SEC #
N
N
VALIC Retirement Services Company
84-06057
SEC #
N
N
Trustmont Financial Group, Inc.
8-36439
SEC #
N
N
LaSalle St. Securities, L.L.C.
8-18860
SEC #
N
N
Saxony Securities, Inc.
8-53490
SEC #
N
N
Old National Trust Company
028-00344
SEC #
N
N
Capital Guardian, LLC
8-67133
SEC #
N
N
PTI Securities & Futures L.P.
8-44412
SEC #
N
N
Vaughan & Co Securities, LLC
8-36916
SEC #
N
N
Coburn & Meredith, Inc.
8-02474
SEC #
N
N
Wunderlich Securities, Inc.
8-31206
SEC #
N
N
National Financial Services, LLC
8-26740
SEC #
N
Y
BancWest Investment Services, Inc.
8-44261
SEC #
N
N
Essex Securities LLC
8-51472
SEC #
N
N
BB&T Securities, LLC
8-67486
SEC #
N
N
Inverness Securities, LLC
8-66278
SEC #
N
N
TRG Advisors, Inc.
8-50449
SEC #
N
N
MGO Securities Corp.
8-47814
SEC #
N
N
Coastal Equities, Inc.
8-40822
SEC #
N
N
Infinex Investments, Inc.
8-46661
SEC #
N
N
Dorsey & Company, Inc.
8-07541
SEC #
N
N
T.R. Winston & Company, LLC
8-27519
SEC #
N
N
Global Brokerage Services, Inc.
8-47763
SEC #
N
N
First Asset Financial, Inc.
8-67191
SEC #
N
N
The Windmill Group, Inc.
8-25280
SEC #
N
N
BMO Harris Bank
3Y4U8VZURTYWI1W2K376
N
N
Regal Securities, Inc.
8-21765
SEC #
N
N
MBSC Securities Corporation
8-13801
SEC #
N
N
Hazlett, Burt & Watson, Inc.
8-17737
SEC #
N
N
Signator Investors, Inc.
8-13995
SEC #
N
N
G.L.S. & Associates, Inc.
8-51808
SEC #
N
N
Benchmark Investments, Inc.
8-52280
SEC #
N
N
Loria Financial Group, LLC
8-52128
SEC #
N
N
BOSC, Inc.
8-35381
SEC #
N
N
Chauner Securities, Inc.
8-33980
SEC #
N
N
Beaconsfield Financial Services, Inc.
8-30993
SEC #
N
N
Questar Capital Corporation
8-50174
SEC #
N
N
J.P. Morgan Securities LLC
8-35008
SEC #
N
N
Parkland Securities, LLC
8-53482
SEC #
N
N
International Assets Advisory, LLC
8-27736
SEC #
N
N
FinTrust Brokerage Services, LLC
8-49514
SEC #
N
N
Gerwin Group, Inc.
8-40282
SEC #
N
N
The Lawrence D. Vitez Corp. DBA Consolidated Securities
8-48642
SEC #
N
N
Berthel, Fisher & Company Financial Services, Inc.
8-29426
SEC #
N
N
E. E. Powell & Company Inc.
8-01893
SEC #
N
N
McDonald Partners LLC
8-66985
SEC #
N
N
Wood (Arthur W.) Company, Inc.
8-03368
SEC #
N
N
Northland Securities, Inc.
8-48994
SEC #
N
N
Mountain River Securities, Inc.
8-47565
SEC #
N
N
VALIC Financial Advisors, Inc.
8-50018
SEC #
N
N
PNC Bank, N.A.
AD6GFRVSDT01YPT1CS68
Y
N
Gradient Securities, LLC
8-66032
SEC #
N
N
Planmember Securities Corporation
8-25065
SEC #
N
N
Carl M. Hennig, Inc.
8-14509
SEC #
N
N
MMC Securities Corp.
8-52349
SEC #
N
N
Regions Bank
EQTWLK1G7ODGC2MGLV11
N
N
BCG Securities, Inc.
8-12680
SEC #
N
N
Smith, Brown & Groover, Inc.
8-13079
SEC #
N
N
Charles Schwab & Co., Inc.
8-16514
SEC #
N
Y
Duncan-Williams, Inc.
8-18971
SEC #
N
N
Halliday Financial, LLC
8-45529
SEC #
N
N
Proequities, Inc.
8-32590
SEC #
N
N
Corinthian Partners, L.L.C.
8-48461
SEC #
N
N
Rogan & Associates, Inc.
8-49995
SEC #
N
N
TIAA-CREF Tuition Financing, Inc.
801-56817
SEC #
N
Y
USA Financial Securities Corporation
8-52342
SEC #
N
N
Cary Street Partners LLC
8-66085
SEC #
N
N
Tocqueville Securities L.P.
8-42223
SEC #
N
N
FolioFN Investments, Inc.
8-52009
SEC #
N
N
Multiple Financial Services, Inc.
8-52017
SEC #
N
N
Dinosaur Securities, L.L.C.
8-52908
SEC #
N
N
RBC Capital Markets, LLC
8-45411
SEC #
N
Y
TrustFirst, Inc.
8-48509
SEC #
N
N
Landolt Securities, Inc.
8-43645
SEC #
N
N
Thompson Davis & Co., Inc.
8-49386
SEC #
N
N
Woodbury Financial Services, Inc.
8-13846
SEC #
N
N
TimeCapital Securities Corporation
8-18248
SEC #
N
N
Lincoln Financial Distributors, Inc.
8-13431
SEC #
N
N
Dorn & Co., Inc.
8-08707
SEC #
N
N
SKA Securities, Inc.
8-53366
SEC #
N
N
Citizens Bank
DRMSV1Q0EKMEXLAU1P80
N
N
Abacus International Capital Corp.
8-46418
SEC #
N
N
UMB Financial Services, Inc.
8-34999
SEC #
N
N
Woodstock Financial Group, Inc.
8-48080
SEC #
N
N
TD Private Client Wealth LLC
8-69105
SEC #
N
N
Camden Financial Services
8-37303
SEC #
N
N
Geoffrey Richards Securities Corp.
8-65251
SEC #
N
N
Hartford Funds Management Company, LLC
801-77209
SEC #
N
Y
ValMark Securities, Inc.
8-45463
SEC #
N
N
Essex Financial Services, Inc.
8-66015
SEC #
N
N
Donegal Securities, Inc.
8-66137
SEC #
N
N
TFS Securities, Inc.
8-38377
SEC #
N
N
Country Capital Management Company
8-12645
SEC #
N
N
Cosse International Securities
8-17106
SEC #
N
N
Bolton Global Capital
8-33222
SEC #
N
N
ARCA Capital Investments, Inc.
8-53110
SEC #
N
N
Woodmen Financial Services, Inc.
8-53592
SEC #
N
N
1st Discount Brokerage, Inc.
8-48557
SEC #
N
N
USI Securities, Inc.
8-50429
SEC #
N
N
Western International Securities, Inc.
8-48572
SEC #
N
N
L. B. Fisher & Company
8-21023
SEC #
N
N
Equable Securities
8-21641
SEC #
N
N
VOYA Financial Advisors, LLC
8-46451
SEC #
N
N
Apex Clearing Corporation
8-23522
SEC #
N
N
Maxim Group LLC
8-65337
SEC #
N
N
INVEST Financial Corp
8-27691
SEC #
N
N
W.R. Hambrecht + Co., LLC
8-50935
SEC #
N
N
Rodgers Brothers, Inc.
8-33475
SEC #
N
N
Investment Network Inc.
8-66036
SEC #
N
N
SunTrust Bank
IYDOJBGJWY9T8XKCSX06
N
N
Ascensus, Inc.
549300K5MHNFPEU2RK82
N
Y
Devenir, LLC
8-65837
SEC #
N
N
United Planners' Financial Services of America A Limited Partner
8-38485
SEC #
N
N
Feltl & Company
8-18435
SEC #
N
N
Lieblong & Associates, Inc.
8-49880
SEC #
N
N
TrustCore Investments, Inc.
8-32152
SEC #
N
N
Patapsco Securities, Inc.
8-43485
SEC #
N
N
Investment Professionals, Inc.
8-44786
SEC #
N
N
KMS Financial Services, Inc.
8-15433
SEC #
N
N
David Lerner Associates, Inc.
8-20746
SEC #
N
N
John Hancock Life Insurance Company of New York
5493007RYG4GXIKSQI18
CA
N
Y
USAA Investment Management Company
8-41241
SEC #
N
N
CoreCap Investments, Inc.
8-47783
SEC #
N
N
Investment Centers of America
8-33983
SEC #
N
N
Perryman Securities, Inc.
8-53546
SEC #
N
N
Cuso Financial Services, L.P.
8-49711
SEC #
N
N
Samuel A Ramirez & Co., Inc.
8-19014
SEC #
N
N
RF Lafferty & Co
8-25581
SEC #
N
N
David A. Noyes & Company
8-22752
SEC #
N
N
Reliance Trust Company
549300NV8FSQRNOUQO50
N
Y
Classic LLC
8-68981
SEC #
N
N
Comprehensive Asset Management and Servicing, Inc.
8-50433
SEC #
N
N
VOYA Investments Distributors, LLC
8-48020
SEC #
N
N
Allianz Life Financial Services, LLC
8-13630
SEC #
N
N
Financial America Securities, Inc.
8-15719
SEC #
N
N
United States Life Insurance Company in the City of New York
549300C1JQGJ0MNUMG79
N
Y
Saturna Trust Company
N/A
N
Y
Fairport Capital, Inc.
8-32162
SEC #
N
N
NYLife Securities LLC
8-15517
SEC #
N
N
OFG Financial Services, Inc.
8-40770
SEC #
N
N
Leumi Investment Services Inc.
8-52993
SEC #
N
N
MidWestern Securities Trading Company, LLC
8-52074
SEC #
N
N
CFS Securities, Inc.
8-51330
SEC #
N
N
Eastern Point Securities, Inc.
8-39398
SEC #
N
N
The Garbacz Group Inc.
8-42366
SEC #
N
N
Voya Financial Partners, LLC
8-13987
SEC #
N
N
Bankoh Investment Services, Inc.
8-44201
SEC #
N
N
McLaughlin Ryder Investments, Inc.
8-67911
SEC #
N
N
Hantz Financial Services, Inc.
8-51291
SEC #
N
N
Interactive Brokers LLC
8-47257
SEC #
N
N
First Bankers' Banc Securities, Inc.
8-31584
SEC #
N
N
Clary Investment and Insurance Planning Corp.
8-48346
SEC #
N
N
Mid-Atlantic Securities, Inc.
8-36997
SEC #
N
N
Invex, Inc.
8-44695
SEC #
N
N
Allen & Company of Florida, Inc.
8-09877
SEC #
N
N
Rothschild Investment Corporation
8-16429
SEC #
N
N
Healthcare Community Securities Corporation
8-46981
SEC #
N
N
Axiom Capital Management, Inc.
8-42638
SEC #
N
N
The Oak Ridge Financial Services Group, Inc.
8-50082
SEC #
N
N
CBIZ Financial Solutions, Inc.
8-34205
SEC #
N
N
Lara, May & Associates, LLC
8-67776
SEC #
N
N
AssetMark Trust Company
N/A
N
N
Monex Securities, Inc.
8-44874
SEC #
N
N
Planners Financial Services, Inc.
8-18027
SEC #
N
N
Northeast Securities, Inc.
8-42227
SEC #
N
N
Keystone Capital Corporation
8-28032
SEC #
N
N
P. R. Herzig & Co. Inc.
8-22589
SEC #
N
N
Worth Financial Group Inc.
8-29827
SEC #
N
N
Glen Eagle Advisors LLC
8-65678
SEC #
N
N
Reliance Worldwide Investments, LLC
8-67575
SEC #
N
N
Lincoln Financial Advisors Corporation
8-14685
SEC #
N
N
Podesta & Co.
8-28860
SEC #
N
N
Beard Financial Services, Inc.
8-53374
SEC #
N
N
Ceros Financial Services, Inc.
8-47955
SEC #
N
N
Dougherty & Company LLC
8-21937
SEC #
N
N
Princor Financial Services Corporation
8-13975
SEC #
N
N
The GMS Group, LLC
8-23936
SEC #
N
N
Transamerica Advisors Life Insurance Company
F1PLTWZ8OU4HQGZQAP31
N
N
Visun Securities Corporation
8-31907
SEC #
N
N
Wiley Bros.-Aintree Capital, LLC
8-03774
SEC #
N
N
Nestlerode & Loy, Inc.
8-12629
SEC #
N
N
The Tavenner Company
8-41206
SEC #
N
N
Investment Security Corporation
8-51832
SEC #
N
N
McNally Financial Services Corporation
8-65388
SEC #
N
N
HBW Securities LLC
8-67056
SEC #
N
N
Liberty Partners Financial Services, LLC
8-66335
SEC #
N
N
Pershing Advisor Solutions, LLC
8-47425
SEC #
N
N
Nicol Investors Corporation
8-65566
SEC #
N
N
Wells Fargo Bank, N.A.
KB1H1DSPRFMYMCUFXT09
N
N
Integral Financial LLC
8-65284
SEC #
N
N
VectorGlobal WMG
8-45715
SEC #
N
N
Allstate Financial Services, LLC
8-36365
SEC #
N
N
Hornor, Townsend & Kent, Inc.
8-14715
SEC #
N
N
Aon Benfield Securities, Inc.
8-14953
SEC #
N
N
Hancock Investment Services, Inc.
8-49106
SEC #
N
N
Empire Asset Management Company
8-67520
SEC #
N
N
United Brokerage Services, Inc.
8-48685
SEC #
N
N
Robinson & Robinson, Inc.
8-17109
SEC #
N
N
Sanders Morris Harris Inc.
8-38325
SEC #
N
N
First Kentucky Securities Corporation
8-22224
SEC #
N
N
Cambridge Investment Research, Inc.
8-48740
SEC #
N
N
Wells Fargo Securities, LLC
8-65876
SEC #
N
N
Darwood Associates Incorporated
8-16560
SEC #
N
N
Investacorp, Inc.
8-22598
SEC #
N
N
Gardner Financial Services, Inc.
8-38631
SEC #
N
N
Summit Equities, Inc.
8-27556
SEC #
N
N
Morgan Stanley Smith Barney LLC
8-68191
SEC #
N
N
IBN Financial Services, Inc.
8-49815
SEC #
N
N
Pyramid Funds Corporation
8-12769
SEC #
N
N
Tradition Asiel Securities Inc.
8-43559
SEC #
N
N
AxA Advisors, LLC
8-17883
SEC #
N
N
Great Pacific Securities
8-44398
SEC #
N
N
Diamant Investment Corp.
8-18284
SEC #
N
N
Blakeslee and Blakeslee Inc.
8-32071
SEC #
N
N
Trust Company of America
N/A
N
Y
Regulus Advisors, LLC
8-68275
SEC #
N
N
Brighton Securities Corp.
8-14599
SEC #
N
N
Investment Architects, Inc.
8-35724
SEC #
N
N
Federated Securities, Inc.
8-15644
SEC #
N
N
GWN Securities Inc.
8-66185
SEC #
N
N
BD4RIA, Inc.
8-70022
SEC #
N
N
T. Rowe Price Retirement Plan Services, Inc.
084-06219
SEC #
N
Y
Cadaret, Grant & Co., Inc.
8-27844
SEC #
N
N
Piper Jaffray & Co.
8-15204
SEC #
N
N
American Heritage Securities, Inc.
8-44466
SEC #
N
N
American Independent Securities Group, LLC
8-66905
SEC #
N
N
Northwest Investment Advisors, Inc.
8-65282
SEC #
N
N
Kercheville & Company, Inc.
8-32795
SEC #
N
N
Wheelhouse Securities Corporation
8-68105
SEC #
N
N
G.A. Repple & Company
8-35315
SEC #
N
N
First Mercantile Trust Company
028-10498
SEC #
N
Y
American Trust Investment Services, Inc.
8-14394
SEC #
N
N
Planned Financial Programs, Inc.
8-05727
SEC #
N
N
Actinver Securities, Inc.
8-49311
SEC #
N
N
Century Securities Associates, Inc.
8-43514
SEC #
N
N
Portsmouth Financial Services
8-30097
SEC #
N
N
VCA Securities, L.P.
8-66393
SEC #
N
N
Sabadell Securities USA, Inc.
8-67975
SEC #
N
N
Ladenburg Thalman & Co. Inc.
8-17230
SEC #
N
N
Etico Partners, LLC
8-65500
SEC #
N
N
John Hancock Trust Company
549300W205WZCFZS6R51
N
Y
S.L. Reed & Company
8-49178
SEC #
N
N
Saperston Asset Management, Inc.
8-50658
SEC #
N
N
Park Avenue Securities LLC
8-51324
SEC #
N
N
Commonwealth Equity Services, Inc.
8-24040
SEC #
N
N
JPMorgan Chase Bank, N.A.
7H6GLYDRUGQFU57RNE97
N
N
Pension Dynamics Securities Corporation
8-52535
SEC #
N
N
Purshe Kaplan Sterling Investments
8-46844
SEC #
N
N
Detwiler Fenton & Co.
8-16324
SEC #
N
N
Cetera Advisors LLC
8-26892
SEC #
N
N
Mutual of Omaha Investor Services, Inc.
8-47290
SEC #
N
N
Raymond James & Associates, Inc.
8-10999
SEC #
N
N
Sterne Agee & Leach, Inc.
8-11754
SEC #
N
N
Sisung Securities Corporation
8-42121
SEC #
N
N
Finance 500, Inc.
8-28302
SEC #
N
N
Carter, Terry & Company, Inc.
8-33797
SEC #
N
N
H. Beck, Inc.
8-31165
SEC #
N
N
Kovack Securities Inc.
8-50847
SEC #
N
N
North Ridge Securities Corp.
8-42879
SEC #
N
N
Polar Investment Counsel, Inc.
8-50039
SEC #
N
N
Deutsche Bank Securities Inc.
8-17822
SEC #
N
N
Silber Bennett Financial, Inc.
8-68795
SEC #
N
N
Cetera Financial Specialists LLC
8-27082
SEC #
N
N
Bernard Herold & Co., Inc.
8-17005
SEC #
N
N
Ameritas Investment Corp.
8-31296
SEC #
N
N
Access Investments, Inc.
8-49750
SEC #
N
N
FTB Advisors, Inc.
8-35061
SEC #
N
N
Arvest Investments, Inc.
8-49677
SEC #
N
N
MML Investors Services, LLC
8-27250
SEC #
N
N
Bankers Life Securities, Inc.
8-69562
SEC #
N
N
BPU Investment Management, Inc.
8-34979
SEC #
N
N
Alliant Securities, Inc. Turner, Nord, Kienbaum
8-23305
SEC #
N
N
Prospera Financial Services, Inc.
8-28164
SEC #
N
N
Repex & Co., Inc.
8-26431
SEC #
N
N
Barclays Capital Inc.
8-41342
SEC #
N
N
Harold W. Dance Inc.
8-12160
SEC #
N
N
Capitol Securities Management, Inc.
8-30353
SEC #
N
N
Securities Equity Group
8-51706
SEC #
N
N
Abacus Investments, Inc.
8-46571
SEC #
N
N
Madison Avenue Securities, Inc.
8-40426
SEC #
N
N
Benefit Trust Company
N/A
N
Y
Sorsby Financial Corp.
8-48718
SEC #
N
N
M. S. Howells & Co.
8-52558
SEC #
N
N
Capital Synergy Partners, Inc.
8-68060
SEC #
N
N
Principal Life Insurance Company
SDCMU2LVKGV2AF1KWP64
N
Y
Sammons Retirement Solutions, Inc.
N/A
N
Y
Financial Northeastern Securities, Inc.
8-34883
SEC #
N
N
Umpqua Investments, Inc.
8-02915
SEC #
N
N
PTS Brokerage, LLC
8-65173
SEC #
N
N
American Municipal Securities, Inc.
8-25338
SEC #
N
N
Benefit Plans Administrative Services, Inc.
N/A
N
Y
Superior Financial Services, Inc.
8-52618
SEC #
N
N
SFA Financial, LLC
8-68156
SEC #
N
N
United of Omaha Life Insurance Company
3EGIZNNORU5LRN6W7742
N
Y
General Securities Corp.
8-31654
SEC #
N
N
PNC Investments, LLC
8-66195
SEC #
Y
N
Genworth Life Insurance Company of New York
E5VAS7I8GX5B0SDBX010
N
Y
James I. Black & Company
8-12077
SEC #
N
N
Fifth Third Securities, Inc.
8-02428
SEC #
N
N
Loring Ward Securities Inc.
8-51381
SEC #
N
N
Mack Investment Securities, Inc.
8-35536
SEC #
N
N
Maplewood Investment Advisors, Inc.
8-52221
SEC #
N
N
Crown Capital Securities, L.P.
8-17264
SEC #
N
N
G. W. & Wade Asset Management Company, LLC
8-42013
SEC #
N
N
IDB Capital Corp.
8-53000
SEC #
N
N
Arete Wealth Management, LLC
8-50854
SEC #
N
N
International Money Management Group, Inc.
8-30417
SEC #
N
N
Calton & Associates, Inc.
8-38635
SEC #
N
N
M Holdings Securities, Inc.
8-50214
SEC #
N
N
World Equity Group, Inc.
8-44088
SEC #
N
N
Founders Financial Securities LLC
8-67137
SEC #
N
N
Lion Street Financial, LLC
8-69183
SEC #
N
N
Rhodes Securities, Inc.
8-37689
SEC #
N
N
Riversource Distributors, Inc.
8-67196
SEC #
N
N
Equity Services, Inc.
8-14286
SEC #
N
N
Signature Securities Group Corporation
8-52697
SEC #
N
N
Lincoln Douglas Investments LLC
8-68728
SEC #
N
N
Teachers Insurance and Annuity Association of America
O06YD7BJ4EPYNABVFN69
N
Y
DFPG Investments, Inc.
8-68730
SEC #
N
N
Conover Securities Corporation
8-35085
SEC #
N
N
Buckman, Buckman & Reid, Inc.
8-40413
SEC #
N
N
Capital One Investing LLC
8-51160
SEC #
N
N
Consolidated Financial Investments, Inc.
8-37004
SEC #
N
N
Ross, Sinclaire & Associates, LLC
8-41740
SEC #
N
N
Fidelity Investments Life
54930024AKTQGTIV1P93
N
N
Wayne Hummer Investments, LLC
8-00484
SEC #
N
N
MV Securities Group, Inc.
8-47827
SEC #
N
N
First Allied Securities, Inc.
8-46167
SEC #
N
N
ZIV Investment Center
8-18119
SEC #
N
N
Portfolio Resources Group, Inc.
8-45380
SEC #
N
N
Andbanc Brokerage, LLC
8-68759
SEC #
N
N
Next Financial Group, Inc.
8-51356
SEC #
N
N
St. Bernard Financial Services, Inc.
8-47566
SEC #
N
N
Mesirow Financial, Inc.
8-28816
SEC #
N
N
Vanguard Marketing Corporation
8-21570
SEC #
N
N
First State Financial Management, Inc.
8-34201
SEC #
N
N
Vision Financial Markets LLC
8-67447
SEC #
N
N
Zions Investment
8-35721
SEC #
N
N
GWFS Equities, Inc.
8-33854
SEC #
N
N
Nations Financial Group, Inc.
8-50588
SEC #
N
N
Hollencrest Securities
8-51348
SEC #
N
N
Brazos Securities, Inc.
8-39119
SEC #
N
N
Sorrento Pacific Financial, LLC
8-66046
SEC #
N
N
Associated Investment Services, Inc.
8-00099
SEC #
N
N
Vanderbilt Securities, LLC
8-16712
SEC #
N
N
People's Securities, Inc.
8-29667
SEC #
N
N
Royal Securities Company
8-28009
SEC #
N
N
Legacy Asset Securities, Inc.
8-51871
SEC #
N
N
Vanguard Group, Inc., The
5493002789CY3L0CJP65
N
Y
City Securities Corporation
8-00975
SEC #
N
N
Oak Tree Securities, Inc.
8-36138
SEC #
N
N
First Citizens Investor Services, Inc.
8-50696
SEC #
N
N
IMS Securities
8-46722
SEC #
N
N
Hefren-Tillotson, Inc.
8-10646
SEC #
N
N
M. Griffith Investment Services, Inc.
8-02259
SEC #
N
N
Treasure Financial Corp.
8-48165
SEC #
N
N
D.M. Kelly & Company
8-48398
SEC #
N
N
Pershing, LLC
8-17574
SEC #
N
Y
SDDCO Brokerage Advisors, LLC
8-68549
SEC #
N
N
Geneos Wealth Management, Inc.
8-65357
SEC #
N
N
M&T Securities, Inc.
8-35185
SEC #
N
N
Centennial Securities Company, LLC
8-23406
SEC #
N
N
Concorde Investment Services, LLC
8-68388
SEC #
N
N
Advisory Group Equity Services, Ltd.
8-32155
SEC #
N
N
Hand Securities, Inc.
8-51001
SEC #
N
N
Nationwide Planning Associates Inc.
8-45310
SEC #
N
N
American Century Investment Services, Inc.
8-35220
SEC #
N
N
DesPain Financial Corporation
8-37056
SEC #
N
N
Edwin C. Blitz Investments, Inc.
8-22741
SEC #
N
N
Sunset Financial Services, Inc.
8-14148
SEC #
N
N
NBC Securities, Inc.
8-35870
SEC #
N
N
NYLife Distributors LLC
8-46655
SEC #
N
N
Snowden Account Services, Inc.
8-68188
SEC #
N
N
Hennion & Walsh, Inc.
8-41988
SEC #
N
N
Aventura Securities, LLC
8-67458
SEC #
N
N
Paradigm Equities, Inc.
8-45593
SEC #
N
N
Investments For You, Inc.
8-44179
SEC #
N
N
Harbor Investment Advisory, LLC
8-68334
SEC #
N
N
Kalos Capital, Inc.
8-50630
SEC #
N
N
Gladowsky Capital Management Corp.
8-51017
SEC #
N
N
Comerica Securities, Inc.
8-35001
SEC #
N
N
Sentinel Securities, Inc.
8-53142
SEC #
N
N
Cantella & Co., Inc.
8-23904
SEC #
N
N
E*Trade Savings Bank
549300DXPO50FJ75QA85
N
Y
Securities America, Inc.
8-26602
SEC #
N
N
Jefferies, LLC
8-15074
SEC #
N
N
Boenning & Scattergood, Inc.
8-15543
SEC #
N
N
Monere Investments, Inc.
8-52982
SEC #
N
N
Garden State Securities, Inc.
8-25790
SEC #
N
N
R. Seelaus & Co., Inc.
8-31475
SEC #
N
N
Ni Advisors
8-66841
SEC #
N
N
Lebenthal & Co.
8-67750
SEC #
N
N
The Jeffrey Matthews Financial Group, L.L.C.
8-49352
SEC #
N
N
Integrated Financial Planning Services
8-35120
SEC #
DE
N
N
OneAmerica Securities, Inc.
8-15009
SEC #
N
N
Transamerica Financial Advisors, Inc.
8-33429
SEC #
N
N
Wall Street Access
8-25936
SEC #
N
N
Standard Investment Chartered, Inc.
8-40468
SEC #
N
N
Winslow, Evans & Crocker, Inc.
8-44347
SEC #
N
N
HSBC Securities (USA), Inc.
8-41562
SEC #
N
N
Cabot Lodge Securities, LLC
8-69009
SEC #
N
N
Prudential Insurance Company of America
Y574KRZ6V5A7UBU45C31
N
Y
Mid-Atlantic Clearing & Settlement Corp.
8-47758
SEC #
N
N
T.S. Phillips Investments, Inc.
8-65661
SEC #
N
N
Intervest International Equities Corporation
8-38156
SEC #
N
N
Colorado Financial Service Corporation
8-52817
SEC #
N
N
Access Financial Group, Inc.
8-46065
SEC #
N
N
TD Ameritrade Clearing, Inc.
8-16335
SEC #
N
Y
Neidiger, Tucker, Bruner, Inc.
8-21884
SEC #
N
N
Buckram Securities LTD
8-65939
SEC #
N
N
Charles Schwab Bank
549300INFJ8TYNZ1G568
N
Y
Herndon Plant Oakley, LTD
8-50912
SEC #
N
N
Syndicated Capital, Inc.
8-44162
SEC #
N
N
Gilbert, Doniger & Co., Inc.
8-22326
SEC #
N
N
Gold Coast Securities, Inc.
8-53148
SEC #
N
N
Schlitt Investor Services, Inc.
8-34202
SEC #
N
N
Anovest Financial Services, Inc.
8-66742
SEC #
N
N
C. R. Davis & Company
8-859
SEC #
N
N
First Western Advisors
8-28729
SEC #
N
N
Valley National Investments, Inc.
8-34427
SEC #
N
N
FMN Capital Corporation
8-48082
SEC #
N
N
KW Securities Corporation
8-24792
SEC #
N
N
Logan Group Securities
8-48995
SEC #
N
N
Broadridge Business Process Outsourcing, LLC
8-53412
SEC #
N
Y
Pacific Financial Associates, Inc.
8-40712
SEC #
N
N
Silver Oak Securities, Incorporated
8-51601
SEC #
N
N
Ace Diversified Capital, Inc.
8-49555
SEC #
N
N
Laidlaw & Company (UK) Ltd.
8-53731
SEC #
GB
N
N
EK Riley Investments, LLC
8-65369
SEC #
N
N
Sterling Monroe Securities, LLC
8-65527
SEC #
N
N
Security Distributors, Inc.
8-10781
SEC #
N
N
Sunbelt Securities, Inc.
8-49748
SEC #
N
N
American United Life Insurance Company
549300T82H2DYU80LV98
N
Y
Source Capital Group, Inc.
8-47372
SEC #
N
N
Sigma Financial Corporation
8-30466
SEC #
N
N
Ballew Investments, Inc.
8-45660
SEC #
N
N
Fifth Third Bank
QFROUN1UWUYU0DVIWD51
N
N
Strategic Point Securities
8-65724
SEC #
N
N
ICMA-RC Services, Inc.
8-40268
SEC #
N
N
Fieldpoint Private Securities, LLC
8-37105
SEC #
N
N
MML Distributors, LLC
8-48203
SEC #
N
N
Pruco Securities, LLC.
8-16402
SEC #
N
N
American Financial Securities, Inc.
8-53205
SEC #
N
N
Hanson McClain Securities
8-52250
SEC #
N
N
Allegis Investment Services, LLC
8-69318
SEC #
N
N
Allegheny Investments, Ltd.
8-22183
SEC #
N
N
MWA Financial Services Inc.
8-53255
SEC #
N
N
Mutual Securities, Inc.
8-28580
SEC #
N
N
Integrity Investments, Inc.
8-45302
SEC #
N
N
Philip J. Greenblatt Securities Ltd
8-30725
SEC #
N
N
ADP Broker-Dealer, Inc.
8-47885
SEC #
N
Y
Morgan Stanley & Co. LLC
8-15869
SEC #
N
N
Omni Financial Securities
8-44034
SEC #
N
N
Joseph Gunnar & Co. LLC
8-41386
SEC #
N
N
Itau International Securities, Inc.
8-67674
SEC #
N
N
Whitehall-Parker Securities, Inc.
8-27688
SEC #
N
N
Whitney National Bank
NSGZD26XPW2CUM2JKU70
N
N
SCF Securities, Inc.
8-51760
SEC #
N
N
Centaurus Financial, Inc.
8-45185
SEC #
N
N
Simmons First Investment Group, Inc.
8-51795
SEC #
N
N
Register Financial Associates, Inc.
8-45012
SEC #
N
N
American Capital Partners, LLC
8-65165
SEC #
N
N
E-W Investments, Inc.
8-35259
SEC #
N
N
North South Capital, LLC
8-67979
SEC #
N
N
The Investment Center, Inc.
8-35826
SEC #
N
N
Cascade Financial Management, Inc.
8-53730
SEC #
N
N
J.D. Seibert & Company, Inc.
8-23604
SEC #
N
N
Hudson Heritage Capital Management, Inc.
8-50648
SEC #
N
N
Navy Federal Brokerage Services, LLC
8-67161
SEC #
N
N
TD Ameritrade, Inc.
8-23395
SEC #
N
Y
World Trend Financial Planning Services, Ltd.
8-43693
SEC #
N
N
Ohanesian / Lecours, Inc.
8-40729
SEC #
N
N
JJB Hilliard WL Lyons
8-33133
SEC #
N
N
Penates Group, Inc.
8-50594
SEC #
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
TCFG Wealth Management, LLC
8-69089
SEC #
N
N
Highlander Capital Group, Inc.
8-37169
SEC #
N
N
Insigneo Securities, LLC
8-44166
SEC #
N
N
Credit Suisse Securities (USA) LLC
8-00422
SEC #
N
N
Pensionmark Securities, LLC
8-69773
SEC #
N
N
Hartford Life Insurance Company
8CE7JPU9IU72L3PPD756
N
Y
Liberty Capital Investment Corporation
8-42051
SEC #
N
N
Crestone Securities
8-52463
SEC #
N
N
Brokers International Financial Services, LLC
8-67239
SEC #
N
N
Capital Financial Services, Inc.
8-25203
SEC #
N
N
Alight Solutions LLC
084-01996
SEC #
N
Y
Oppenheimer & Co. Inc.
8-04077
SEC #
N
N
Mutual Trust Co. of America Securities
8-25547
SEC #
N
N
Hapoalim Securities USA, Inc.
8-03018
SEC #
N
N
The Strategic Financial Alliance, Inc.
8-65885
SEC #
N
N
Emerson Equity LLC
8-66296
SEC #
N
N
Vestech Securities, Inc.
8-49409
SEC #
N
N
ACP Securities, LLC
8-67185
SEC #
N
N
NorthWestern Mutual Investment Services, LLC
8-14088
SEC #
N
N
B.B. Graham & Company, Inc.
8-49477
SEC #
N
N
Sovereign Legacy Securities, Inc.
8-00621
SEC #
N
N
BFT Financial Group, LLC
8-53487
SEC #
N
N
Quincy Cass Associates, Incorporated
8-05743
SEC #
N
N
Hilltop Securities, Inc.
8-45123
SEC #
N
N
BMO Harris Financial Advisors, Inc.
8-67064
SEC #
N
N
SunTrust Investment Services, Inc.
8-35355
SEC #
N
N
Hightower Securities, LLC
8-53560
SEC #
N
N
Institutional Securities Corporation
8-38158
SEC #
N
N
CFT Securities, LLC
8-51345
SEC #
N
N
Sweney Cartwright & Company
8-03150
SEC #
N
N
Chelsea Morgan Securities, Inc.
8-51916
SEC #
N
N
Principled Advisors, Inc.
8-66451
SEC #
N
N
Citigroup Global Markets Inc.
8-08177
SEC #
N
N
Dominion Investor Services, Inc.
8-39029
SEC #
N
N
H.D. Vest Investment Services
8-29533
SEC #
N
N
J.P. Morgan Institutional Investments Inc.
8-52182
SEC #
N
N
Lincoln Financial Securities Corporation
8-14609
SEC #
N
N
Unionbanc Investment Services, LLC
8-30706
SEC #
N
N
Alerus Securities
8-47152
SEC #
N
N
CIBC World Markets Corp.
8-18333
SEC #
N
N
Henley & Company LLC
8-66463
SEC #
N
N
Standard Insurance Company
549300KVA8DBYKHPXO21
N
Y
Larson Financial Securities, LLC
8-68456
SEC #
N
N
Jacques Financial, LLC
8-52675
SEC #
N
N
Peak Brokerage Services, LLC
8-68829
SEC #
N
N
Sunstreet Securities, LLC
8-67541
SEC #
N
N
McClurg Capital Corporation
8-34473
SEC #
N
N
Western Growers Financial Services, Inc.
8-53458
SEC #
N
N
NPB Financial Group, LLC
8-67113
SEC #
N
N
Edward D. Jones & Co., L.P.
8-00759
SEC #
N
N
FSC Securities Corporation
8-21770
SEC #
N
N
Arive Capital Markets
8-43350
SEC #
N
N
USCA Securities LLC
8-52285
SEC #
N
N
Optionsxpress
8-52354
SEC #
N
N
Heim, Young & Associates, Inc.
8-48500
SEC #
N
N
Northern Trust Securities, Inc.
8-23689
SEC #
N
N
Cardinal Investments, Inc.
8-47493
SEC #
N
N
Fortune Financial Services, Inc.
8-49727
SEC #
N
N
KCD Financial, Inc.
8-66005
SEC #
N
N
Bill Few Securities, Inc.
8-49625
SEC #
N
N
ACA/Prudent Investors Planning Corporation
8-51899
SEC #
N
N
Ameriprise Financial Services, Inc.
8-16791
SEC #
N
N
Royal Alliance Associates, Inc.
8-40218
SEC #
N
N
Newport Retirement Services, Inc.
N/A
N
Y
SG Americas Securities, LLC
8-66125
SEC #
N
N
L.S.Y., Inc.
8-17613
SEC #
N
N
Cetera Investment Services, LLC
8-31826
SEC #
N
N
Great American Investors, Inc.
8-44380
SEC #
N
N
Lockton Financial Advisors, LLC
8-67090
SEC #
N
N
Foresters Financial Services
8-13891
SEC #
N
N
StockCross Financial Services, Inc.
8-17758
SEC #
N
N
LifeMark Securities Corp.
8-33478
SEC #
N
N
Nelson Ivest Brokerage Services, Inc.
8-26448
SEC #
N
N
TradeStation Securities, Inc.
8-48711
SEC #
N
N
W.H. Colson Securities
8-53621
SEC #
N
N
H. C. Denison Co.
8-00044
SEC #
N
N
Oriental Financial Services Corp.
8-44516
SEC #
N
N
Horan Securities, Inc.
8-49192
SEC #
N
N
Veritas Independent Partners, LLC
8-69363
SEC #
N
N
Hazard & Siegel, Inc.
8-13942
SEC #
N
N
Avondale Partners, LLC
8-51550
SEC #
N
N
Nationwide Securities, LLC
8-12500
SEC #
N
N
Carty & Company, Inc.
8-19082
SEC #
N
N
D.H. Hill Securities LLP
8-49475
SEC #
N
N
Forest Securities, Inc.
8-33568
SEC #
N
N
First Western Securities, Inc.
8-37613
SEC #
N
N
Weston Securities Corporation
8-32664
SEC #
N
N
NIA Securities, L.L.C.
8-50591
SEC #
N
N
Ausdal Financial Partners, Inc.
8-24519
SEC #
N
N
Globalink Securities, Inc.
8-44509
SEC #
N
N
BTG Pactual US Capital, LLC
8-68148
SEC #
N
N
Arque Capital, Ltd.
8-65390
SEC #
N
N
Detalus Securities, LLC
8-52180
SEC #
N
N
Titleist Asset Management, Ltd.
8-65859
SEC #
N
N
GRF Capital Investors, Inc.
8-41494
SEC #
N
N
Mercantil Commercebank Investment Services
8-53612
SEC #
N
N
CRI Securities, LLC
8-39877
SEC #
N
N
FBT Investments
8-52922
SEC #
N
N
Wilbanks Securities, Inc.
8-49134
SEC #
N
N
Amegy Investments, Inc. (Zions)
8-65399
SEC #
N
N
Fiduciary Advisors, LLC
8-52647
SEC #
N
N
BBVA Securities Inc.
8-42857
SEC #
N
N
L.M. Kohn & Company
8-43303
SEC #
N
N
Sage, Rutty & Co., Inc.
8-00533
SEC #
N
N
E*Trade Securities
8-44112
SEC #
N
N
ABD Retirement Services, Inc.
8-69271
SEC #
N
N
Sandlapper Securities, LLC
8-67128
SEC #
N
N
Landaas & Company
8-51826
SEC #
N
N
Cutter & Company Brokerage, Inc.
8-39590
SEC #
N
N
Capital Investment Brokerage, Inc.
8-49118
SEC #
N
N
SWBC Investment Services, LLC
8-66764
SEC #
N
N
International Research Securities, Inc.
8-37954
SEC #
N
N
Union Capital Company
8-53127
SEC #
N
N
Ascensus Broker Dealer Services, Inc.
8-47312
SEC #
N
Y
Cannon Securities, Inc.
8-68437
SEC #
N
N
DWS Investments Distributors, Inc.
8-47765
SEC #
N
N
Genworth Life & Annuity Insurance Company
TAI340D9BWT9R77O0P03
N
N
UBS AG, New York Branch
BFM8T61CT2L1QCEMIK50
N
N
Planned Investment Co., Inc.
8-15266
SEC #
N
N
Bankers & Investors Co
8-21215
SEC #
N
N
B.C. Ziegler & Company
8-00094
SEC #
N
N
American Financial Associates, Inc.
8-44065
SEC #
N
N
Conduent HR Services LLC
084-06035
SEC #
N
Y
Great-West Financial Retirement Plan Services, LLC
N/A
N
Y
TCAdvisors Network Inc.
8-46909
SEC #
N
N
BNP Paribas Securities Corp
8-40490
SEC #
N
N
SII Investments, Inc.
8-13963
SEC #
N
N
Dominick & Dominick LLC
8-21076
SEC #
N
N
First Southern, LLC
8-69733
SEC #
N
N
Wescom Financial Services, LLC
8-66189
SEC #
N
N
Safra Securities LLC
8-51935
SEC #
N
N
Packerland Brokerage Services, Inc.
8-47572
SEC #
N
N
Sammons Financial Network, LLC
8-68905
SEC #
N
N
City National Bank
593C3GZG957YOJPS2Z63
N
N
Financial West Investment Group, Inc.
8-34448
SEC #
N
N
Means Investment Co., Inc.
8-27458
SEC #
N
N
S.G. Long & Company
8-51816
SEC #
N
N
Capital City Securities, LLC
8-67771
SEC #
N
N
New England Pension Plan Systems, LLC
N/A
N
Y
Wellington Shields & Co., LLC
8-68098
SEC #
N
N
Private Client Services, LLC
8-68183
SEC #
N
N
Ascensus Financial Services, LLC
8-67891
SEC #
N
N
Dempsey Lord Smith, LLC
8-67469
SEC #
N
N
Stonnington Group, LLC
8-66919
SEC #
N
N
Hunter Associates, Inc.
8-44779
SEC #
N
N
S F Sentry Securities, Inc.
8-43101
SEC #
N
N
Prudential Investment Management Services LLC
8-36540
SEC #
N
N
J.A. Glynn & Co.
8-39465
SEC #
N
N
Advanced Advisor Group, LLC
8-67313
SEC #
N
N
WBB Securities, LLC
8-53660
SEC #
N
N
Leigh Baldwin & Co., LLC
8-48385
SEC #
N
N
Northeastern Financial Group, Incorporated
8-33132
SEC #
N
N
Bodell Overcash Anderson & Co., Inc.
8-15775
SEC #
N
N
Innovation Partners LLC
8-67812
SEC #
N
N
Safeguard Securities
8-45442
SEC #
N
N
Cape Securities Inc.
8-20747
SEC #
N
N
Allegiance Capital, L.L.C.
8-52978
SEC #
N
N
Capital Management Securities, Inc.
8-27779
SEC #
N
N
L.O. Thomas & Co. Inc.
8-40875
SEC #
N
N
Caldwell Securities, Inc.
8-27639
SEC #
N
N
Lesko Securities Inc.
8-26408
SEC #
N
N
America Northcoast Securities, Inc.
8-33033
SEC #
N
N
Horace Mann Life Insurance Co.
5493000HR2JKKNH2FL09
N
N
Stephens Inc.
8-01927
SEC #
N
N
The Huntington Investment Company
8-34867
SEC #
N
N
Exeter Trust Company
028-04279
SEC #
N
N
Davenport & Company LLC
8-17103
SEC #
N
N
Trade-PMR Inc.
8-51390
SEC #
N
N
Goldman Sachs & Co. LLC
8-00129
SEC #
N
N
1st Global Capital Corp.
8-44870
SEC #
N
N
Synovus Securities, Inc.
8-34709
SEC #
N
N
Capital Portfolio Management, Inc.
8-44225
SEC #
N
N
Rehmann Financial Network
8-69134
SEC #
N
N
Foresters Equity Services, Inc.
8-36703
SEC #
N
N
VBC Securities, LLC
8-44141
SEC #
N
N
U.S. Bancorp Investments, Inc.
8-35359
SEC #
N
N
CFD Investments, Inc.
8-41727
SEC #
N
N
White Mountain Capital, LLC
8-52572
SEC #
N
N
Voya Institutional Plan Services, LLC
N/A
N
N
Arkadios Capital
8-69729
SEC #
N
N
Verity Investments, Inc.
8-49474
SEC #
N
N
Independence Capital Co., Inc.
8-41331
SEC #
N
N
Family Investors Company
8-11190
SEC #
N
N
SEI Private Trust Company
028-10625
SEC #
N
Y
Coldstream Securities, Inc.
8-51549
SEC #
N
N
UBATCO & Co.
N/A
N
Y
Country Club Financial Services, Inc.
8-44574
SEC #
N
N
Grant Williams L.P.
8-51249
SEC #
N
N
The O.N. Equity Sales Company
8-14161
SEC #
N
N
Vestor Capital Securities
8-32743
SEC #
N
N
Robert W. Baird & Co. Incorporated
8-00497
SEC #
N
N
UBS Financial Services Inc.
8-16267
SEC #
N
N
Feldstein Financial Group, LLC
8-53388
SEC #
N
N
Intercarolina Financial Services, Inc.
8-37519
SEC #
N
N
Westport Capital Markets, LLC
8-49495
SEC #
N
N
Symphonic Securities LLC
8-67220
SEC #
N
N
Key West Investments, LLC
8-68166
SEC #
N
N
American Portfolios Financial Services, Inc.
8-37085
SEC #
N
N
Griffinest Asia Securities, LLC
8-66571
SEC #
N
N
Meridien Financial Group, Inc.
8-26090
SEC #
N
N
World Choice Securities, Inc.
8-45235
SEC #
N
N
The Capital Group Securities, Inc.
8-52512
SEC #
N
N
Jack V. Butterfield Investment Company
8-12454
SEC #
N
N
Western Equity Group, Inc.
8-66403
SEC #
N
N
Avisen Securities, Inc.
8-65833
SEC #
N
N
Vorpahl Wing Securities
8-51823
SEC #
N
N
Westminster Financial Securities, Inc.
8-38426
SEC #
N
N
BestVest Investments, Ltd.
8-49007
SEC #
N
N
Neuberger Berman LLC
8-01068
SEC #
N
N
International Financial Solutions, Inc.
8-49020
SEC #
N
N
Cresap, Inc.
8-42117
SEC #
N
N
D.A. Davidson & Co.
8-02399
SEC #
N
N
Mid Atlantic Capital Corporation
8-27663
SEC #
N
N
Oberweis Securities, Inc.
8-49679
SEC #
N
N
Akar Capital Management, Inc.
8-28026
SEC #
N
N
Profinancial, Inc.
8-32026
SEC #
N
N
Northern Capital Securities Corporation
8-49130
SEC #
N
N
Stephen A. Kohn & Associates, Ltd.
8-49279
SEC #
N
N
Huntleigh Securities Corporation
8-21893
SEC #
N
N
BAC Florida Investments
8-37483
SEC #
N
N
CGIS Securities LLC
8-68758
SEC #
N
N
Morris Group, Inc.
8-28916
SEC #
N
N
LPL Financial LLC
8-17668
SEC #
N
Y
BB&T Investments
8-46134
SEC #
N
N
Navaid Financial Services, Inc.
8-49897
SEC #
N
N
SecureVest Financial Group
8-26030
SEC #
N
N
Insight Securities, Inc.
8-16247
SEC #
N
N
Securities Research, Inc.
8-23699
SEC #
N
N
Capital Investment Group, Inc.
8-31225
SEC #
N
N
Middlegate Securities Ltd.
8-39031
SEC #
N
N
William Blair & Company L.L.C.
8-02698
SEC #
N
N
CCF Investments, Inc.
8-67027
SEC #
N
N
Teckmeyer Financial Services, L.L.C.
8-48501
SEC #
N
N
Crescent Securities Group
8-53457
SEC #
N
N
First Manhattan Co.
8-10438
SEC #
N
N
RIM Securities LLC
8-36759
SEC #
N
N
Investment Placement Group
8-30700
SEC #
N
N
WedBush Securities Inc.
8-12987
SEC #
N
N
Y
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
Y
BlackRock Advisors, LLC
5493001LN9MRM6A35J74
Y
N
N
BlackRock Investments, LLC
8-48436
000038642
0000000000
0.00000000
PNC Investments LLC
8-66195
000129052
00000000000000000000
0.00000000
Solebury Capital, LLC
8-67548
000143299
5493000RFBRZED82XQ81
0.00000000
Blackrock Execution Services
8-48719
000039438
549300HFCRQ0NT5KY652
0.00000000
Trout Capital LLC
8-66474
000131489
00000000000000000000
0.00000000
Harris Williams LLC
8-53380
000113930
00000000000000000000
0.00000000
PNC Capital Markets, Inc.
8-32493
000015647
7OGNSSLOQJ8U3B9Y5F18
0.00000000
Jefferies LLC
8-15074
000002347
58PU97L1C0WSRCWADL48
5682.85000000
Sanford C. Bernstein & Co., LLC
8-52942
000104474
549300I7JYZHT7D5CO04
9305.07000000
JPMorgan Chase & Co.
8-35008
000000079
8I5DZWZKVSZI1NUHU748
24079.34000000
Deutsche Bank Capital Corporation
8-15774
000005323
0000000000
6846.06000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
18061.87000000
Bank Of America Merrill Lynch Securities Inc
8-33359
000016139
0000000000
22852.35000000
Citigroup Global Markets Inc.
8-8177
000007059
MBNUM2BPBDO7JBLYG310
11193.16000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
10239.22000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
9339.95000000
RBC Capital Markets, LLC
8-45411
000031194
549300LCO2FLSSVFFR64
19327.89000000
179136.81000000
BlackRock Liquidity Funds T-Fund
N/A
N/A
5493002L9DNZ83RX7V61
181226314.90000000
CGS-CIMB Securities International Pte. Ltd.
N/A
000000000
213800FG8NHW6WL98G66
SG
1641581.06000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
855206.87000000
JPMorgan Chase & Co.
8-35008
000000079
8I5DZWZKVSZI1NUHU748
1542954.61000000
Bank of Montreal
8-67064
000137115
NQQ6HPCNCCU6TUTQYE16
CA
3954814.53000000
189220871.97000000
Y
235274984.50000000
N
true
false
INTERNAL CONTROL RPT
2
NCEN_4166110078733072.txt
REPORT OF INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM
To the shareholders and Boards of Trustees of BlackRock
Equity Dividend Fund and BlackRock Natural Resources
Trust:
In planning and performing our audits of the financial
statements of BlackRock Equity Dividend Fund and BlackRock
Natural Resources Trust, (the "Funds"), as of and for the year
ended July 31, 2018, in accordance with the standards of the
Public Company Accounting Oversight Board (United States)
(PCAOB), we considered the Funds' internal control over
financial reporting, including controls over safeguarding
securities, as a basis for designing our auditing procedures for
the purpose of expressing our opinion on the financial
statements and to comply with the requirements of Form N-
CEN, but not for the purpose of expressing an opinion on the
effectiveness of the Funds' internal control over financial
reporting. Accordingly, we express no such opinion.
The management of the Funds is responsible for establishing
and maintaining effective internal control over financial
reporting. In fulfilling this responsibility, estimates and
judgments by management are required to assess the expected
benefits and related costs of controls. A company's internal
control over financial reporting is a process designed to provide
reasonable assurance regarding the reliability of financial
reporting and the preparation of financial statements for
external purposes in accordance with generally accepted
accounting principles. A company's internal control over
financial reporting includes those policies and procedures that
(1) pertain to the maintenance of records that, in reasonable
detail, accurately and fairly reflect the transactions and
dispositions of the assets of the company; (2) provide
reasonable assurance that transactions are recorded as necessary
to permit preparation of financial statements in accordance with
generally accepted accounting principles, and that receipts and
expenditures of the company are being made only in
accordance with authorizations of management and directors of
the company; and (3) provide reasonable assurance regarding
prevention or timely detection of unauthorized acquisition, use,
or disposition of a company's assets that could have a material
effect on the financial statements.
Because of its inherent limitations, internal control over
financial reporting may not prevent or detect misstatements.
Also, projections of any evaluation of effectiveness to future
periods are subject to the risk that controls may become
inadequate because of changes in conditions or that the degree
of compliance with the policies or procedures may deteriorate.
A deficiency in internal control over financial reporting exists
when the design or operation of a control does not allow
management or employees, in the normal course of performing
their assigned functions, to prevent or detect misstatements on a
timely basis. A material weakness is a deficiency, or a
combination of deficiencies, in internal control over financial
reporting, such that there is a reasonable possibility that a
material misstatement of the fund's annual or interim financial
statements will not be prevented or detected on a timely basis.
Our consideration of the Funds' internal control over financial
reporting was for the limited purpose described in the first
paragraph and would not necessarily disclose all deficiencies in
internal control that might be material weaknesses under
standards established by the PCAOB. However, we noted no
deficiencies in the Funds' internal control over financial
reporting and its operation, including controls for safeguarding
securities, that we consider to be a material weakness, as
defined above, as of July 31, 2018.
This report is intended solely for the information and use of
management and the Board of Trustees of the Funds and the
Securities and Exchange Commission and is not intended to be
and should not be used by anyone other than these specified
parties.
/s/ Deloitte & Touche LLP
Boston, Massachusetts
September 20, 2018