0001752724-20-135234.txt : 20200710
0001752724-20-135234.hdr.sgml : 20200710
20200710142937
ACCESSION NUMBER: 0001752724-20-135234
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20200430
FILED AS OF DATE: 20200710
DATE AS OF CHANGE: 20200710
EFFECTIVENESS DATE: 20200710
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
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-04282
FILM NUMBER: 201022831
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
0000766555
S000002176
BLACKROCK NATURAL RESOURCES TRUST
C000005583
Investor A
C000005585
Investor C
C000005586
Institutional
N-CEN
1
primary_doc.xml
X0201
N-CEN
LIVE
0000766555
XXXXXXXX
811-04282
false
false
false
N-1A
true
BlackRock Natural Resources Trust
811-04282
0000766555
MGCZP3KOJ3GY627IHK03
100 Bellevue Parkway
Wilmington
19809
US-DE
US
800-441-7762
State Street Bank and Trust Company
1 Lincoln Street
Boston
02111
617-786-3000
Records related to its functions as custodian, sub-administrator and accounting agent
BNY Mellon Investment Servicing (US) Inc.
301 Bellevue Parkway
Wilmington
19809
302-791-1700
Records related to its functions as transfer agent
BlackRock Advisors, LLC
100 Bellevue Parkway
Wilmington
19809
302-797-2000
Records related to its functions as advisor and 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
N
N
N-1A
1
Y
Bruce R. Bond
000000000
N
Lena G. Goldberg
000000000
N
John M. Perlowski
000000000
Y
Mark Stalnecker
000000000
N
Donald C. Opatrny
000000000
N
Claire A. Walton
000000000
N
Neil A. Cotty
000000000
N
Collette Chilton
000000000
N
Henry R. Keizer
000000000
N
Susan J. Carter
000000000
N
Joseph P. Platt
000000000
N
Cynthia A. Montgomery
000000000
N
Robert Fairbairn
004992372
Y
Kenneth L. Urish
005352005
N
Charles Park
000000000
55 East 52nd Street
New York
10055
XXXXXX
N
N
N
N
N
N
BlackRock Investments, LLC
8-48436
000038642
54930061FBHCKXL2G714
Y
N
Deloitte & Touche LLP
34
00000000000000000000
N
N
N
N
N
N
BlackRock Natural Resources Trust
S000002176
MGCZP3KOJ3GY627IHK03
N
3
0
0
N/A
N
N
Y
N
N
BlackRock Investment Management, LLC
5493006MRTEZZ4S4CQ20
Y
N
Revenue sharing split
Other
Cash collateral reinvestment fee
Rebates paid to borrowers
2657047.19000000
17724.00000000
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Rule 22d-1 (17 CFR 270.22d-1)
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
IHS Markit Ltd.
549300HLPTRASHS0E726
GB
N
Bloomberg L.P.
549300B56MD0ZC402L06
N
ICE Data Services, Inc.
13-3668779
Tax ID
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
N
The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch)
2HI3YI5320L3RW6NJ957
KR
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)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Credit Suisse (Schweiz) AG
549300CWR0W0BCS9Q144
CH
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)
HSBC Saudi Arabia, a Saudi Closed Joint Stock Company
558600MV09XWUB38H245
SA
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)
The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch)
2HI3YI5320L3RW6NJ957
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken A/S
F3JS33DEI6XQ4ZBPTN86
DK
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)
HSBC Bank (China) Company Limited
2CZOJRADNJXBLT55G526
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Makati City, Metro Manila, PH, Branch)
7LTWFZYICNSX8D621K86
PH
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)
Deutsche Bank, Sociedad Anonima Espanola
529900SICIK5OVMVY186
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Barclays Capital Inc.
AC28XWWI3WIBK2824319
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Intesa Sanpaolo SpA
2W8N8UU78PMDQKZENC08
IT
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)
Standard Chartered Bank (Thai) Public Company Limited
549300O1LQYCQ7G1IM57
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Bank
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch)
RB0PEZSDGCO3JS6CEU02
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Goldman Sachs & Co. LLC
FOR8UP27PHTHYVLBNG30
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch)
E57ODZWZ7FF32TWEFA76
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch)
F3JS33DEI6XQ4ZBPTN86
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
FirstRand Bank Limited
ZAYQDKTCATIXF9OQY690
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Credit Suisse Securities (USA) LLC
1V8Y6QCX6YMJ2OELII46
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
State Street Bank and Trust Company (Edinburgh, GB, Branch)
571474TGEMMWANRLN572
GB
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)
Royal Bank of Canada
ES7IP3U3RHIGC71XBU11
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch)
7LTWFZYICNSX8D621K86
NL
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)
State Street Bank International GmbH
ZMHGNT7ZPKZ3UFZ8EO46
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Singapore, SG, Branch)
E57ODZWZ7FF32TWEFA76
SG
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)
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)
2HI3YI5320L3RW6NJ957
AU
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)
Bofa Securities, Inc.
549300HN4UKV1E2R3U73
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)
N
Conduent HR Services, LLC
84-06035
SEC File Number
N
Y
City National Bank
593C3GZG957YOJPS2Z63
N
N
Lieblong & Associates, Inc.
8-49880
SEC File Number
N
N
Perryman Securities, Inc.
8-53546
SEC File Number
N
N
Nationwide Financial Services, Inc.
5493001H7AZNDS6BKJ36
N
Y
Purshe Kaplan Sterling Investments, Inc.
8-46844
SEC File Number
N
N
Benchmark Investments, Inc.
8-52280
SEC File Number
N
N
Cape Securities, Inc.
8-20747
SEC File Number
N
N
C. R. Davis & Company, Investment Securities
8-859
SEC File Number
N
N
Excel Securities & Associates, Inc.
8-34261
SEC File Number
N
N
Westport Resources Investment Services, Inc.
8-40904
SEC File Number
N
N
Itau International Securities Inc.
54930086LDFU8Z86AH91
N
N
Fairport Capital, Inc.
8-32162
SEC File Number
N
N
R.M. Stark & Co., Inc.
8-22543
SEC File Number
N
N
Valley National Investments, Inc.
8-34427
SEC File Number
N
N
Davinci Capital Management, Inc.
8-51580
SEC File Number
N
N
Roberts and Ryan Investments Incorporated
254900A6VIVO4DP1T126
N
N
Podesta & Co.
8-28860
SEC File Number
N
N
Sentinel Securities, Inc.
8-53142
SEC File Number
N
N
Umpqua Investments, Inc.
8-02915
SEC File Number
N
N
Intercarolina Financial Services, Inc.
8-37519
SEC File Number
N
N
J.P. Morgan Institutional Investments Inc.
8-52182
SEC File Number
N
N
Leumi Investment Services Inc.
5493005SJQ3VQ5DEE756
N
N
American United Life Insurance Company
549300T82H2DXU80LV98
N
Y
SPIRE Securities, LLC
8-67635
SEC File Number
N
N
Principled Advisors, Inc.
8-66451
SEC File Number
N
N
The Lawrence D. Vitez Corporation
8-48642
SEC File Number
N
N
Abacus Investments, Inc.
8-46571
SEC File Number
N
N
Client One Securities LLC
8-68494
SEC File Number
N
N
Coker & Palmer, Inc.
254900V1KTPDN88TDS68
N
N
Buckman, Buckman & Reid, Inc.
254900D688L15B5HJB06
N
N
Pensionmark Securities, LLC
8-69773
SEC File Number
N
N
Western Equity Group, Inc.
8-66403
SEC File Number
N
N
Snowden Account Services LLC
254900WVSS0BX602UF45
N
N
World Choice Securities, Inc.
8-45235
SEC File Number
N
N
Gerwin Group, Inc.
8-40282
SEC File Number
N
N
Vanderbilt Securities, Inc.
8-16712
SEC File Number
N
N
Nest Investments BD, LLC
8-70117
SEC File Number
N
N
J. D. Seibert & Co., Inc.
8-23604
SEC File Number
N
N
KMS Financial Services, Inc.
8-15433
SEC File Number
N
N
Fintrust Brokerage Services, LLC
8-49514
SEC File Number
N
N
Securities Equity Group
8-51706
SEC File Number
N
N
MGO Securities Corp.
8-47814
SEC File Number
N
N
Geneos Wealth Management, Inc.
8-65357
SEC File Number
N
N
MSEC, LLC
8-68627
SEC File Number
N
N
D.M. Kelly & Company
8-48398
SEC File Number
N
N
VALIC Financial Advisors, Inc.
8-50018
SEC File Number
N
N
Crown Capital Securities, L.P.
8-17264
SEC File Number
N
N
Alliant Securities, Inc. Turner, Nord, Kienbaum
8-23305
SEC File Number
N
N
Advisory Group Equity Services, Ltd.
8-32155
SEC File Number
N
N
VectorGlobal WMG Inc.
254900K52VRYBHUGBC64
N
N
Investacorp Inc.
8-22598
SEC File Number
N
N
Mutual Securities, Inc.
8-28580
SEC File Number
N
N
Arthur W. Wood Company
8-3368
SEC File Number
N
N
Neuberger Berman BD LLC
PWDS3JJ631D5N70JXG61
N
N
Folger Nolan Fleming Douglas Incorporated
8-03335
SEC File Number
N
N
Park Avenue Securities LLC
8-51324
SEC File Number
N
N
Titleist Asset Management, Ltd.
8-65859
SEC File Number
N
N
Samuel A. Ramirez & Company, Inc.
254900CBKVW7O2ENQA21
N
N
Lara, May & Associates, LLC
8-67776
SEC File Number
N
N
GLS & Associates Inc
8-51808
SEC File Number
N
N
Arete Wealth Management LLC
8-50854
SEC File Number
N
N
Great Pacific Securities
254900QRZ90SUI8C4W84
N
N
Thurston, Springer, Miller, Herd & Titak, Inc.
8-25452
SEC File Number
N
N
LPL Financial LLC
5493005NM7F0H1N3EQ39
N
Y
Ascensus Broker Dealer Services, LLC
8-47312
SEC File Number
N
Y
Healthcare Community Securities Corp.
8-46981
SEC File Number
N
N
McDonald Partners LLC
8-66985
SEC File Number
N
N
People's Securities, Inc.
8-29667
SEC File Number
N
N
White Mountain Capital, LLC
8-52572
SEC File Number
N
N
Ska Securities, Inc.
8-53366
SEC File Number
N
N
Private Client Services, LLC
8-68183
SEC File Number
N
N
Genworth Life and Annuity Insurance Company
TAI340D9BWT9R77O0P03
N
N
J.P. Morgan Securities LLC
ZBUT11V806EZRVTWT807
N
N
Duncan-Williams, Inc.
25490045VHLUZ7H92Y27
N
N
Allstate Financial Services, LLC
8-36365
SEC File Number
N
N
B.B. Graham & Company, Inc.
8-49477
SEC File Number
N
N
Mid Atlantic Clearing & Settlement Corporation
8-47758
SEC File Number
N
N
Harold W. Dance, Inc.
8-12160
SEC File Number
N
N
Feltl and Company, Inc.
8-18435
SEC File Number
N
N
Corinthian Partners, L.L.C.
8-48461
SEC File Number
N
N
Rogan & Associates, Inc.
8-49995
SEC File Number
N
N
First Heartland Capital, Inc.
8-46008
SEC File Number
N
N
Fifth Third Securities, Inc.
5493003IMO3TYX51WE43
N
N
Wells Fargo Clearing Services, LLC
88KRVSOEKUGQZJ3DKW55
N
Y
Hazlett, Burt & Watson, Inc.
8-17737
SEC File Number
N
N
Fidelity Investments Life Insurance Company
54930024AKTQGTIV1P93
N
N
UBS AG (New York, NY, US, Branch)
BFM8T61CT2L1QCEMIK50
N
N
Thoroughbred Financial Services, LLC
8-51944
SEC File Number
N
N
Caldwell Securities Ltd.
549300ORF2FMHXODHJ66
CA
N
N
Lesko Securities, Inc.
8-26408
SEC File Number
N
N
Gladowsky Capital Management, Corp.
8-51017
SEC File Number
N
N
Westminster Financial Securities, Inc.
8-38426
SEC File Number
N
N
Actinver Securities, Inc.
254900FT947VQZ1WHT28
N
N
Andbanc Brokerage LLC
213800E4CWGFMCDQZ792
N
N
Supreme Alliance LLC
8-51046
SEC File Number
N
N
William Blair & Company, L.L.C.
549300J0P7XYE8BMZ775
N
N
Vision Financial Markets LLC
549300J0X8HK9GUADL55
N
N
Kovitz Securities, LLC
8-66267
SEC File Number
N
N
Devenir, LLC
8-65837
SEC File Number
N
N
First National Bank Alaska
25490089V5DJHFQMOA03
N
N
Cetera Advisor Networks LLC
8-29577
SEC File Number
N
N
ICMA-RC Services, LLC
8-40268
SEC File Number
N
N
Garden State Securities Inc.
8-25790
SEC File Number
N
N
CGIS Securities LLC
254900GOI7SHVRZ5BG90
N
N
First Manhattan Co.
549300NNJKVSO48I3G76
N
N
Aon Benfield Limited
5493002ME0O127QJJG03
GB
N
N
Landolt Securities, Inc.
254900B2XEQ2HZGN7K90
N
N
StockCross Financial Services, Inc.
254900E1U348OMY1L886
N
N
Kovack Securities Inc.
25490070RG17Z4I70I82
N
N
Calton & Associates, Inc.
254900TDJ7LH64ZKRY86
N
N
The Leaders Group, Inc.
8-47639
SEC File Number
N
N
Blakeslee & Blakeslee, Inc.
8-32071
SEC File Number
N
N
Capital Investment Group, Inc.
8-31225
SEC File Number
N
N
Anovest Financial Services, Inc.
8-66742
SEC File Number
N
N
AXA Advisors, LLC
8-17883
SEC File Number
N
N
The First Mercantile Trust Company
28-10498
SEC File Number
N
Y
Aventura Securities, LLC
8-67458
SEC File Number
N
N
Arkadios Capital, LLC
8-69729
SEC File Number
N
N
Chelsea Morgan Securities, Inc.
8-51916
SEC File Number
N
N
Gregory J. Schwartz & Co., Inc.
8-20955
SEC File Number
N
N
Associated Investment Services, Inc.
8-00099
SEC File Number
N
N
Bolton Global Capital, Inc.
2549009M08YVOG46LO79
N
N
Moloney Securities Co., Inc.
8-48326
SEC File Number
N
N
First Bankers' Banc Securities, Inc
549300XZ7YYT3Y0SU530
N
N
T. Rowe Price Investment Services, Inc.
8-25130
SEC File Number
N
N
ABD Retirement Services, Inc.
8-69271
SEC File Number
N
N
RIM Securities LLC
8-36759
SEC File Number
N
N
American Equity Investment Corporation
8-49078
SEC File Number
N
N
Oberweis Securities, Inc.
5493008EZH6DO1631P71
N
N
Bestvest Investments, Ltd.
254900SL6FW130BMS922
N
N
Infinity Securities, Inc.
8-67647
SEC File Number
N
N
R. F. Lafferty & Co., Inc
254900KLPTMWPBZWH264
N
N
CFD Investments, Inc.
8-41727
SEC File Number
N
N
Treasure Financial Corp.
8-48165
SEC File Number
N
N
Investors Brokerage of Texas, Ltd.
8-28644
SEC File Number
N
N
MV Securities Group, Inc.
8-47827
SEC File Number
N
N
Edward D. Jones & Co., L.P.
YZRCLX72FTV74B522G90
N
N
T.S. Phillips Investments, Inc.
8-65661
SEC File Number
N
N
Genworth Life Insurance Company of New York
E5VAS7I8GX5B0SDBX010
N
Y
The Vanguard Group, Inc.
5493002789CX3L0CJP65
N
Y
World Capital Brokerage, Inc.
8-06805
SEC File Number
N
N
Aufhauser Securities, Inc
8-48786
SEC File Number
N
N
Mercer HR Services, LLC
20-1932099
Tax ID
N
Y
USA Financial Securities Corporation
8-52342
SEC File Number
N
N
OneAmerica Securities, Inc.
8-15009
SEC File Number
N
N
CRI Securities, LLC
8-39877
SEC File Number
N
N
Benjamin F. Edwards & Company, Inc.
8-68023
SEC File Number
N
N
Ross, Sinclaire & Associates, LLC
8-41740
SEC File Number
N
N
BD4RIA, INC.
8-70022
SEC File Number
N
N
KCD Financial, Inc.
8-66005
SEC File Number
N
N
VBC Securities, L.L.C.
8-44141
SEC File Number
N
N
Ameriprise Financial Services, Inc.
8-16791
SEC File Number
N
N
Digital Retirement Solutions, Inc.
84-1477138
Tax ID
N
Y
John Hancock Life Insurance Company
QQ0OZ8J9C4B5QT1XDG31
N
Y
Oriental Financial Service Corp.
8-44516
SEC File Number
PR
N
N
Northwestern Mutual Investment Services, LLC
CYO86L8D7HTXW9SOZX28
N
N
Globalink Securities, Inc
8-44509
SEC File Number
N
N
RJJ Pasadena Securities, Inc.
8-25324
SEC File Number
N
N
Amegy Investments, Inc.
8-65399
SEC File Number
N
N
Hand Securities, Inc.
8-51001
SEC File Number
N
N
VALIC Retirement Services Company
84-06057
SEC File Number
N
N
Stephen A. Kohn & Associates, Ltd.
8-49279
SEC File Number
N
N
CUNA Brokerage Services, Inc.
549300G6Y6BPF9ZL4706
N
N
BMO Harris Financial Advisors, Inc.
8-67064
SEC File Number
N
N
Parkland Securities, LLC
8-53482
SEC File Number
N
N
TCAdvisors Network Inc
8-46909
SEC File Number
N
N
Cetera Investment Services LLC
254900HBKNJ13M56N432
N
N
FNBB Capital Markets, L.L.C.
8-66553
SEC File Number
N
N
American Wealth Management, Inc
8-41807
SEC File Number
N
N
Mutual Trust Company of America Securities
254900PUBUB7IS4GNY27
N
N
USAA Investment Management Company
549300VSPLQ1XBNPD479
N
N
Mcnally Financial Services Corporation
8-65388
SEC File Number
N
N
Conover Securities Corporation
8-35085
SEC File Number
N
N
Maplewood Investment Advisors Inc.
8-52221
SEC File Number
N
N
Feldstein Financial Group, L.L.C.
8-53388
SEC File Number
N
N
Horace Mann Life Insurance Company
5493000HR2JKKNH2FL09
N
N
Chapin Davis Inc.
801-70987
SEC File Number
N
N
Colorado Financial Service Corporation
8-52817
SEC File Number
N
N
Investment Architects, Inc.
8-35724
SEC File Number
N
N
Dorsey & Company Inc.
8-7541
SEC File Number
N
N
1st Discount Brokerage, Inc.
8-48557
SEC File Number
N
N
Darwood Associates, Incorporated
8-16560
SEC File Number
N
N
Halliday Financial, LLC
8-45529
SEC File Number
N
N
Hornor, Townsend & Kent, LLC
8-14715
SEC File Number
N
N
SG Americas Securities, LLC
549300F35UE0BOM1WJ55
N
N
Watermark Securities, Inc.
8-43902
SEC File Number
N
N
Lantern Investments, Inc.
254900J6QB9C3UNBJJ49
N
N
Buell Securities Corp.
8-22058
SEC File Number
N
N
Broadridge Business Process Outsourcing, LLC
8-53412
SEC File Number
N
Y
Robinson And Robinson, Inc.
8-17109
SEC File Number
N
N
CIBC World Markets Corp.
549300445CON3DBMU275
N
N
Kestra Investment Services, LLC
8-49672
SEC File Number
N
N
JHW Financial Services, Inc.
8-45304
SEC File Number
N
N
Sisung Securities Corporation
254900KJI3EYKKPWT989
N
N
GWFS Equities, Inc.
8-33854
SEC File Number
N
N
St. Bernard Financial Services, Inc.
8-47566
SEC File Number
N
N
Fieldpoint Private Securities, LLC
8-37105
SEC File Number
N
N
Founders Financial Securities, LLC
8-67137
SEC File Number
N
N
Vanguard Marketing Corporation
8-21570
SEC File Number
N
N
Securities America, Inc.
8-26602
SEC File Number
N
N
SunTrust Investment Services, Inc
8-35355
SEC File Number
N
N
UBATCO & Co.
00000000000000000000
N
Y
Transam Securities, Inc.
8-37065
SEC File Number
N
N
E*TRADE Savings Bank
549300DXPO50FJ75QA85
N
Y
NI Advisors
8-66841
SEC File Number
N
N
Sweney Cartwright & Company
549300CTOIWXJCKTPS87
N
N
First Financial Securities of America, Inc.
8-29565
SEC File Number
N
N
Rehmann Financial Network, LLC
8-69134
SEC File Number
N
N
Shareholders Service Group, Inc.
8-65778
SEC File Number
N
N
First Horizon Advisors, Inc.
8-35061
SEC File Number
N
N
Apex Clearing Corporation
5493000418CITRF5BO80
N
N
American National Trust And Investment Management Company
28-00344
SEC File Number
N
N
Midwestern Securities Trading Company, LLC
8-52074
SEC File Number
N
N
Vorpahl Wing Securities, Inc.
8-51823
SEC File Number
N
N
Innovation Partners, LLC
549300IEQ78ON1HMTU71
N
N
NEXT Financial Group, Inc.
8-51356
SEC File Number
N
N
Securities Service Network, LLC
8-28980
SEC File Number
N
N
Essex Securities LLC
8-51472
SEC File Number
N
N
Arvest Investments, Inc.
8-49677
SEC File Number
N
N
Wintrust Investments, LLC
8-484
SEC File Number
N
N
Polar Investment Counsel, Inc.
8-50039
SEC File Number
N
N
Sigma Financial Corporation
8-30466
SEC File Number
N
N
Citizens Securities, Inc.
2138006RAPI5PE2ZGW36
N
N
Carl M. Hennig, Inc.
8-14509
SEC File Number
N
N
Nationwide Planning Associates Inc.
8-45310
SEC File Number
N
N
Stifel, Nicolaus & Company, Incorporated
5WUVMA08EYG4KEUPW589
N
Y
American Independent Securities Group, LLC
8-66905
SEC File Number
N
N
American Heritage Securities, Inc.
8-44466
SEC File Number
N
N
The Garbacz Group Inc
8-42366
SEC File Number
N
N
Federated Securities, Inc.
8-15644
SEC File Number
N
N
Bill Few Securities, Inc.
8-49625
SEC File Number
N
N
Cetera Advisors LLC
8-26892
SEC File Number
N
N
John Hancock Life Insurance Company of New York
5493007RYG4GXIKSQI18
N
Y
F.C.G. Advisors, L.L.C.
8-49104
SEC File Number
N
N
Corecap Investments, Inc.
8-47783
SEC File Number
N
N
Integrity Investments, Inc.
8-45302
SEC File Number
N
N
Regulus Advisors, LLC
8-68275
SEC File Number
N
N
First Allied Securities, Inc.
8-46167
SEC File Number
N
N
M Holdings Securities, Inc.
8-50214
SEC File Number
N
N
Lion Street Financial, LLC
8-69183
SEC File Number
N
N
Monere Investments, Inc.
8-52982
SEC File Number
N
N
Sovereign Legacy Securities, Inc.
8-00621
SEC File Number
N
N
Bancwest Investment Services, Inc.
5493001GJYTESEZEBA51
N
N
Navaid Financial Services, Inc.
8-49897
SEC File Number
N
N
N.I.S. Financial Services, Inc.
8-15919
SEC File Number
N
N
Principal Securities, Inc.
8-13975
SEC File Number
N
N
Peak Brokerage Services, LLC
8-68829
SEC File Number
N
N
Arive Capital Markets LLC
8-43350
SEC File Number
N
N
First Honolulu Securities, Inc.
8-23919
SEC File Number
N
N
Pyramid Funds Corporation
8-12769
SEC File Number
N
N
OFG Financial Services, Inc.
8-40770
SEC File Number
N
N
Principal Life Insurance Company
SDCMU2LVKGV2AF1KWP64
N
Y
The Jeffrey Matthews Financial Group, L.L.C.
25490086M6MGMYYVOJ50
N
N
Omega Securities, Inc.
8-20225
SEC File Number
N
N
Securian Financial Services, Inc.
8-31955
SEC File Number
N
N
Hancock Whitney Investment Services, Inc.
8-49106
SEC File Number
N
N
Coburn & Meredith, Inc.
8-02474
SEC File Number
N
N
Hanson McClain Retirement Network, LP
8-52250
SEC File Number
N
N
Smith, Moore & Co.
8-27480
SEC File Number
N
N
Mid-atlantic Securities, Inc.
8-36997
SEC File Number
N
N
Worth Financial Group Inc.
8-29827
SEC File Number
N
N
Equity Services Inc
8-14286
SEC File Number
N
N
Rnr Securities, L.L.C.
8-50366
SEC File Number
N
N
Ace Diversified Capital, Inc.
8-49555
SEC File Number
N
N
Dorn & Co., Inc.
8-08707
SEC File Number
N
N
Foresters Equity Services, Inc.
8-36703
SEC File Number
N
N
Voya Financial Partners, LLC
8-46451
SEC File Number
N
N
M.Y. Safra Securities, Inc.
8-22326
SEC File Number
N
N
Marsco Investment Corporation
8-36754
SEC File Number
N
N
GW & Wade Asset Management Company, LLC
8-42013
SEC File Number
N
N
Cadaret, Grant & Co., Inc.
8-27844
SEC File Number
N
N
Coldstream Securities, Inc.
8-51549
SEC File Number
N
N
ViewTrade Securities, Inc.
549300CHLQDUD0NL5851
N
N
Wall Street Access Corporation
549300Z0MOT47D6OQV22
N
N
Capital Institutional Services, Inc.
54930061X8RDWFDJIS05
N
N
Meridien Financial Group, Inc.
8-26090
SEC File Number
N
N
First Financial Equity Corporation
8-34082
SEC File Number
N
N
Arque Capital, Ltd.
8-65390
SEC File Number
N
N
Jack V. Butterfield Investment Company
8-12454
SEC File Number
N
N
TFS Securities, Inc.
8-38377
SEC File Number
N
N
BCG Securities, Inc
8-12680
SEC File Number
N
N
Dominion Investor Services, Inc.
8-39029
SEC File Number
N
N
Sorrento Pacific Financial, LLC
8-66046
SEC File Number
N
N
TD Ameritrade Clearing, Inc.
MRK678VXOI09YSSN8X19
N
Y
Nicol Investors Corporation
8-65566
SEC File Number
N
N
Janney Montgomery Scott LLC
8-00462
SEC File Number
N
N
National Financial Services LLC
549300JRHF1MHHWUAW04
N
Y
Independence Capital Co., Inc.
8-41331
SEC File Number
N
N
Coinbase Capital Markets Corporation
8-28032
SEC File Number
N
N
Davenport & Company LLC
254900GN2SAXJGLMS075
N
N
New England Pension Plan Systems, LLC
00000000000000000000
N
Y
Fortune Financial Services, Inc.
8-49727
SEC File Number
N
N
First Southern LLC
8-69733
SEC File Number
PR
N
N
N.E. Private Client Advisors, Ltd.
8-66968
SEC File Number
N
N
Coastal Equities, Inc.
8-40822
SEC File Number
N
N
Coordinated Capital Securities, Inc.
8-31173
SEC File Number
N
N
First Republic Securities Company, LLC
5493000IMDFZDQYB2Q11
N
N
Trustmont Financial Group, Inc.
8-36439
SEC File Number
N
N
Cresap, Inc.
8-42117
SEC File Number
N
N
Voya Investments Distributor, LLC
8-48020
SEC File Number
N
N
Raymond James Financial, Inc.
RGUZHJ05YTITL6D76949
N
N
BPU Investment Management, Inc
8-34979
SEC File Number
N
N
Mack Investment Securities, Inc.
8-35536
SEC File Number
N
N
G.F. Investment Services LLC
20-1419758
Tax ID
N
N
Mutual Funds Associates, Inc.
8-13026
SEC File Number
N
N
The Tavenner Company
8-41206
SEC File Number
N
N
D.H. Hill Securities, LLLP
8-49475
SEC File Number
N
N
SWBC Investment Services, LLC
254900YIJJWABADWZ455
N
N
Invex, LLC
NPOTUCXQYGXX5PO6VH74
N
N
Charles Schwab & Co., Inc.
549300ZP8XN77GK5BS04
N
Y
Sunbelt Securities, Inc.
8-49748
SEC File Number
N
N
Boreal Capital Securities, LLC
549300NMHK6HTSKCG696
N
N
PlanMember Securities Corporation
8-25065
SEC File Number
N
N
Axiom Capital Management, Inc
254900WW7SK1IMK6NO54
N
N
Oppenheimer & Co. Inc.
254900VH02JQR2L8XD64
N
N
American Century Investment Services, Inc.
8-35220
SEC File Number
N
N
Brooklight Place Securities, Inc.
8-32673
SEC File Number
N
N
Veritas Independent Partners, LLC
8-69363
SEC File Number
N
N
Buckram Securities Ltd.
8-65939
SEC File Number
N
N
Great-West Financial Retirement Plan Services, LLC
84-1233483
Tax ID
N
Y
E.E. Powell & Company, Inc.
8-1893
SEC File Number
N
N
Independent Financial Group, LLC
254900KYWXHSQ7RMNP09
N
N
Signator Investors, Inc.
8-13995
SEC File Number
N
N
Griffinest Asia Securities, LLC
8-66571
SEC File Number
N
N
American Capital Partners, LLC
254900I8NH46ZJJ4Z956
N
N
Great American Investors, Inc.
8-44380
SEC File Number
N
N
LifeMark Securities Corp.
8-33478
SEC File Number
N
N
Etico Partners, LLC
8-65500
SEC File Number
N
N
Rothschild Investment Corporation
8-16429
SEC File Number
N
N
Ameritas Investment Corp
549300913B54XKSRM258
N
N
Consolidated Financial Investments, Inc.
8-37004
SEC File Number
N
N
Oscar Gruss & Son Incorporated
549300V78DH9XCK5UI63
N
N
Professional Trading Services Brokerage, LLC
8-65173
SEC File Number
N
N
NYLIFE Securities LLC
8-15517
SEC File Number
N
N
Hefren-Tillotson, Inc.
8-10646
SEC File Number
N
N
Hunter Associates, Inc.
8-44779
SEC File Number
N
N
The Logan Group Securities
8-48995
SEC File Number
N
N
Madison Avenue Securities, LLC
8-40426
SEC File Number
N
N
First Kentucky Securities Corporation
8-22224
SEC File Number
N
N
RBC Capital Markets, LLC
549300LCO2FLSSVFFR64
N
Y
LaSalle St. Securities, L.L.C.
8-18860
SEC File Number
N
N
Century Securities Associates, Inc.
8-43514
SEC File Number
N
N
SCF Securities Inc
8-51760
SEC File Number
N
N
Farmers Financial Solutions, LLC
8-52361
SEC File Number
N
N
Lincoln-Douglas Investments, LLC
8-68728
SEC File Number
N
N
TRIAD ADVISORS, INC.
8-42007
SEC File Number
N
N
GWN Securities, Inc.
8-66185
SEC File Number
N
N
Primerica Shareholder Services, Inc.
84-01499
SEC File Number
N
Y
Liberty Partners Financial Services, LLC
8-66335
SEC File Number
N
N
Northern Capital Securities Corporation
254900ZANH7XTB94LS53
N
N
T.R. Winston & Company, LLC
8-27519
SEC File Number
N
N
KW Securities Corporation
8-24792
SEC File Number
N
N
J.W. Cole Financial, Inc.
8-65698
SEC File Number
N
N
Glen Eagle Wealth LLC
8-65678
SEC File Number
N
N
WesBanco Securities, Inc.
8-50220
SEC File Number
N
N
Security Distributors, LLC
8-10781
SEC File Number
N
N
Nationwide Securities, LLC
8-12500
SEC File Number
N
N
Waddell & Reed, Inc.
8-27030
SEC File Number
N
N
Henley & Company LLC
8-66463
SEC File Number
N
N
Crestone Securities LLC
8-52463
SEC File Number
N
N
Commerce Brokerage Services, Inc.
8-35096
SEC File Number
N
N
S.G. Long & Company
8-51816
SEC File Number
N
N
TCFG Wealth Management, LLC
8-69089
SEC File Number
N
N
United Brokerage Services, Inc.
8-48685
SEC File Number
N
N
Heim, Young & Associates, Inc.
8-48500
SEC File Number
N
N
Penates Group, Inc.
8-50594
SEC File Number
N
N
SFA Financial LLC
8-68156
SEC File Number
N
N
TIAA-CREF Individual & Institutional Services, LLC
8-44454
SEC File Number
N
N
Benefit Trust Company
43-1971558
Tax ID
N
Y
InSight Securities, Inc.
2549007I5MCG270G9341
N
N
Royal Alliance Associates, Inc.
8-40218
SEC File Number
N
N
Lucia Securities, LLC
8-47643
SEC File Number
N
N
Country Club Financial Services, Inc.
8-44574
SEC File Number
N
N
Sage, Rutty & Co., Inc.
8-00533
SEC File Number
N
N
Ascensus Financial Services, LLC
8-67891
SEC File Number
N
N
Pension Dynamics Securities Corporation
8-52535
SEC File Number
N
N
Benefit Plans Administrative Services, Inc.
BBG002ZR1639
Bloomberg Global ID
N
Y
Trade-PMR Group, Inc.
8-51390
SEC File Number
N
N
Leigh Baldwin & Co., L.L.C.
8-48385
SEC File Number
N
N
Liberty Capital Investment Corp.
8-42051
SEC File Number
N
N
Cardinal Investments, Inc.
8-47493
SEC File Number
N
N
Investment Network, Inc
8-66036
SEC File Number
N
N
Place Trade Financial, Inc.
8-65915
SEC File Number
N
N
Middlegate Securities Ltd.
549300ZVONUQ845QCH95
N
N
Register Financial Associates, Inc.
8-45012
SEC File Number
N
N
HSBC Securities (USA) Inc.
CYYGQCGNHMHPSMRL3R97
N
N
International Assets Advisory, LLC
254900ARMOHQNS987S09
N
N
TimeCapital Securities Corporation
8-18248
SEC File Number
N
N
Woodstock Financial Group, Inc.
8-48080
SEC File Number
N
N
HighTower Securities, LLC
549300F189LKWDZLP954
N
N
Voya Financial Advisors, Inc.
8-13987
SEC File Number
N
N
Regions Bank
EQTWLK1G7ODGC2MGLV11
N
N
Lincoln Investment Planning, LLC
8-14354
SEC File Number
N
N
SECU Brokerage Services, Inc.
8-37927
SEC File Number
N
N
MMA Securities LLC
8-50591
SEC File Number
N
N
Labrunerie Financial Services, Inc.
8-47830
SEC File Number
N
N
Westco Investment Corp.
8-38452
SEC File Number
N
N
Dempsey Lord Smith, LLC
8-67469
SEC File Number
N
N
Barclays Capital Inc.
AC28XWWI3WIBK2824319
N
N
Woodmen Financial Services, Inc.
8-53592
SEC File Number
N
N
Voya Institutional Plan Services, LLC
02-0488491
Tax ID
N
N
Interactive Brokers LLC
50OBSE5T5521O6SMZR28
N
N
Liberty Group, LLC
94-3322387
Tax ID
N
N
First Citizens Investor Services, Inc.
8-50696
SEC File Number
N
N
Sanders Morris Harris LLC
254900ZNPYV465D1NZ47
N
N
Berthel Fisher & Company Financial Services, Inc.
8-29426
SEC File Number
N
N
Akar Capital Management, Inc.
8-28026
SEC File Number
N
N
Intercontinental Asset Management Group, Ltd.
549300F2QPJLMFZGJV43
N
N
Family Investors Company
8-11190
SEC File Number
N
N
Voya Retirement Insurance and Annuity Company
OK3MKCDYPD4NN6QDGK18
N
Y
Verity Investments, Inc.
8-49474
SEC File Number
N
N
FSB Premier Wealth Management, Inc.
8-44865
SEC File Number
N
N
Syndicated Capital, Inc.
8-44162
SEC File Number
N
N
Mid Atlantic Capital Corporation
8-27663
SEC File Number
N
N
General Securities Corp.
8-31654
SEC File Number
N
N
L. B. Fisher & Company
8-21023
SEC File Number
N
N
Quincy Cass Associates
8-5743
SEC File Number
N
N
Northern Trust Securities, Inc.
3CHSO99JSPHD9HGNYJ46
N
N
Cascade Investment Group, Inc.
8-46943
SEC File Number
N
N
Southeast Investments, N.C. Inc.
8-50127
SEC File Number
N
N
Global Brokerage Services Ltd
8-47763
SEC File Number
N
N
APW Capital, Inc.
8-50433
SEC File Number
N
N
Newport Group Securities, Inc.
801-60427
SEC File Number
N
Y
Lincoln Financial Advisors Corporation
8-14685
SEC File Number
N
N
Pacific Financial Associates, Inc.
8-40712
SEC File Number
N
N
Capital City Securities, LLC
8-67771
SEC File Number
N
N
Standard Insurance Company
549300KVA8DBYKHPXO21
N
Y
Teckmeyer Financial Services, L.L.C.
8-48501
SEC File Number
N
N
Capital Investment Brokerage, Inc.
8-49118
SEC File Number
N
N
Silver Oak Securities, Incorporated
8-51601
SEC File Number
N
N
Jefferies LLC
58PU97L1C0WSRCWADL48
N
N
SDDCO Brokerage Advisors LLC
8-68549
SEC File Number
N
N
NTB Financial Corporation
8-21884
SEC File Number
N
N
Multiple Financial Services Inc
8-52017
SEC File Number
N
N
Western International Securities, INC.
8-48572
SEC File Number
N
N
Moors & Cabot, Inc.
8-23060
SEC File Number
N
N
Hancock Whitney Corporation
549300GRNBWY8HIICT41
N
N
Winslow, Evans & Crocker, Inc.
549300EVLXSCM40LO982
N
N
Beaconsfield Financial Services, Inc.
8-30993
SEC File Number
N
N
Vestor Capital Securities, LLC
8-32743
SEC File Number
N
N
Morris Group Inc
35-1546402
Tax ID
N
N
UBS Financial Services Inc.
ETYRV6ORNFJB5NONI676
N
N
ING Financial Markets LLC
KBVRJ5K57JZ3E2AVWX40
N
N
R. Seelaus & Co. Inc
2138004J7AJDLCOJYA06
N
N
Woodlands Securities Corporation
8-39700
SEC File Number
N
N
Alight Financial Solutions, LLC
8-47344
SEC File Number
N
N
Lincoln Financial Securities Corporation
8-14609
SEC File Number
N
N
Pruco Securities, LLC
8-16402
SEC File Number
N
N
Cabot Lodge Securities LLC
8-69009
SEC File Number
N
N
BBVA Securities Inc.
549300RJFN0Z663VE860
N
N
Rockefeller Financial LLC
8-70054
SEC File Number
N
N
Chauner Securities, Inc.
8-33980
SEC File Number
N
N
L.S.Y. Incorporated
8-17613
SEC File Number
N
N
Smith, Brown & Groover, Inc.
8-13079
SEC File Number
N
N
Grant Williams L.P.
8-51249
SEC File Number
N
N
Oak Tree Securities, Inc.
8-36138
SEC File Number
N
N
Credit Suisse Securities (USA) LLC
1V8Y6QCX6YMJ2OELII46
N
N
American Trust Investment Services, Inc.
8-14394
SEC File Number
N
N
Western Growers Financial Services, Inc.
8-53458
SEC File Number
N
N
Emerson Equity LLC
8-66296
SEC File Number
N
N
Cambridge Investment Research, Inc.
8-48740
SEC File Number
N
N
Synovus Securities, Inc.
254900CM2K7N1E0JF171
N
N
Carty & Company, Inc.
8-19082
SEC File Number
N
N
Vaughan & Company Securities, Inc.
8-36916
SEC File Number
N
N
Amerant Investments, Inc.
254900M8G8SSAIMHET60
N
N
Stephens Inc.
213800LH6T9XDYZCA534
N
N
Saturna Trust Company
26-3918998
Tax ID
N
Y
The Capital Group Securities, Inc.
8-52512
SEC File Number
N
N
MWA Financial Services, Inc.
8-53255
SEC File Number
N
N
Bruderman Brothers, LLC
8-51974
SEC File Number
N
N
Charles Schwab Bank (San Francisco, CA, US, Branch)
549300INFJ8TYNZ1G568
N
Y
Reliance Trust Company
549300NV8FSQRNOUQO50
N
Y
Lincoln Financial Distributors, Inc.
8-13431
SEC File Number
N
N
Investment Placement Group
5493005L3RL45FY4HR07
N
N
Profinancial, Inc.
8-32026
SEC File Number
N
N
Hartford Funds Management Company, LLC
801-77209
SEC File Number
N
Y
Nelson Ivest Brokerage Services, Inc.
8-26448
SEC File Number
N
N
Diversified Resources, LLC
8-45497
SEC File Number
N
N
Avantax Wealth Management, Inc
8-29533
SEC File Number
N
N
Pershing LLC
ZI8Q1A8EI8LQFJNM0D94
N
Y
GLP Investment Services, LLC
8-41868
SEC File Number
N
N
Paradigm Equities Inc
8-45593
SEC File Number
N
N
FMN Capital Corporation
8-48082
SEC File Number
N
N
Concorde Investment Services, LLC
8-68388
SEC File Number
N
N
Finance 500, Inc.
8-28302
SEC File Number
N
N
Brokers International Financial Services, LLC
8-67239
SEC File Number
N
N
Capital Management Securities, Inc.
8-27779
SEC File Number
N
N
J. J. B. Hilliard, W. L. Lyons, LLC
254900HZY78ZQW2G2X35
N
N
Cary Street Partners LLC
8-66085
SEC File Number
N
N
Woodbury Financial Services, Inc.
8-13846
SEC File Number
N
N
The Oak Ridge Financial Services Group, Inc.
2549003647MDU9F6QN39
N
N
PNC Capital Markets LLC
7OGNSSLOQJ8U3B9Y5F18
N
N
DWS Distributors, Inc.
5299007T18XBURKJ1V64
N
N
Michigan Securities Inc.
8-52094
SEC File Number
N
N
Riversource Distributors, Inc.
8-67196
SEC File Number
N
N
Bolton Securities Corporation
8-68187
SEC File Number
N
N
J. A. Glynn & Co.
8-39465
SEC File Number
N
N
Hantz Financial Services, Inc.
8-51291
SEC File Number
N
N
Access Financial Group, Inc.
8-46065
SEC File Number
N
N
World Equity Group, Incorporated
25490078J1OM7KOXR686
N
N
Callaway Financial Services, Inc.
8-52474
SEC File Number
N
N
Fiduciary Trust Company International
N1YKEWO2IYPRS4742F57
N
N
Keel Point Capital, LLC
8-22990
SEC File Number
N
N
Union Capital Company
8-53127
SEC File Number
N
N
PNC Bank, National Association (Pittsburgh, PA, US, Branch)
AD6GFRVSDT01YPT1CS68
N
N
Capitol Securities Management, Inc.
8-30353
SEC File Number
N
N
Capital Synergy Partners, Inc.
8-68060
SEC File Number
N
N
MML Distributors, LLC
8-48203
SEC File Number
N
N
Gold Coast Securities, Inc.
8-53148
SEC File Number
N
N
Santander Securities LLC
8-49571
SEC File Number
N
N
Transamerica Financial Advisors, Inc.
549300JW32XCZSHI0878
N
N
Amuni Financial, Inc
8-25338
SEC File Number
N
N
PTI Securities & Futures, L.P.
8-44412
SEC File Number
N
N
Boenning & Scattergood Inc.
2549005FER5A7K7II574
N
N
Securities Research, Inc.
8-23699
SEC File Number
N
N
G. A. Repple & Company
8-35315
SEC File Number
N
N
Tocqueville Securities L.P.
8-42223
SEC File Number
N
N
Dougherty & Company LLC
549300OD1C69R64IVC38
N
N
Hazard & Siegel, Inc.
8-13942
SEC File Number
N
N
Securevest Financial Group Inc.
254900LG3HPQV4J0WH27
N
N
Portsmouth Financial Services
8-30097
SEC File Number
N
N
Planners Financial Services, Inc.
8-18027
SEC File Number
N
N
Comerica Securities, Inc.
5493009QV211JEW7ZV59
N
N
Bankers Life Securities, Inc.
549300YBBLCDP5GDSH97
N
N
Abacus International Capital Corp.
8-46418
SEC File Number
N
N
BNP Paribas Securities Corp.
RCNB6OTYUAMMP879YW96
N
N
Stannard Financial Services, LLC
8-50654
SEC File Number
N
N
Mutual of Omaha Investor Services, Inc.
8-47290
SEC File Number
N
N
David A. Noyes & Company
2549007WBAL2Z578XQ34
N
N
IFP Securities, LLC
8-70150
SEC File Number
N
N
Harbour Investments, Inc
8-37373
SEC File Number
N
N
Laidlaw & Company (UK) Ltd.
8-53731
SEC File Number
N
N
TradeStation Securities, Inc.
549300T08P71XXBYLW62
N
N
NBC Securities, Inc.
254900GIP7RJQGHH5S19
N
N
MML Investors Services, LLC
8-27250
SEC File Number
N
N
TRG Advisors Inc
8-50449
SEC File Number
N
N
Dinosaur Financial Group, LLC
549300CCV3H232GBUN83
N
N
Gardner Financial Services, Inc.
8-38631
SEC File Number
N
N
Bok Financial Securities, Inc.
5493008UZFTI4G7UQ733
N
N
BTS Securities Corporation
8-26818
SEC File Number
N
N
Centennial Securities Company, Inc.
8-23406
SEC File Number
N
N
Morgan Stanley & Co. LLC
9R7GPTSO7KV3UQJZQ078
N
N
BFT Financial Group, LLC
8-53487
SEC File Number
N
N
Essex Financial Services, Inc.
8-66015
SEC File Number
N
N
AdCap Securities, LLC
254900EMZBEIM1FAO022
N
N
Harbor Investment Advisory, LLC
8-68334
SEC File Number
N
N
Cetera Financial Specialists LLC
8-27082
SEC File Number
N
N
Ausdal Financial Partners, Inc.
8-24519
SEC File Number
N
N
Access Investments, Inc.
8-49750
SEC File Number
N
N
Hilltop Securities Inc.
549300IXU82PMU6XZT45
N
N
TD Ameritrade, Inc.
CWQYQU0TV2NLMLZKNB44
N
Y
H. Beck, Inc.
8-31165
SEC File Number
N
N
International Research Securities, Inc.
8-37954
SEC File Number
N
N
Investment Security Corporation
8-51832
SEC File Number
N
N
Alight Solutions LLC
84-01996
SEC File Number
N
Y
Girard Investment Services, LLC
8-14145
SEC File Number
N
N
Loria Financial Group, LLC
8-52128
SEC File Number
N
N
Allegheny Investments, Ltd.
8-22183
SEC File Number
N
N
American Financial Securities, Inc.
8-53205
SEC File Number
N
N
USI Securities, Inc.
8-50429
SEC File Number
N
N
Safra Securities LLC
E51AOUORNWWT747CBW71
N
N
CUSO Financial Services, L.P.
8-49711
SEC File Number
N
N
Sunstreet Securities, LLC
8-67541
SEC File Number
N
N
Citizens Bank, National Association
DRMSV1Q0EKMEXLAU1P80
N
N
Rhodes Securities, Inc.
8-37689
SEC File Number
N
N
Dominick & Dickerman LLC
8-21076
SEC File Number
N
N
Symphonic Securities LLC
8-67220
SEC File Number
N
N
Bernard Herold & Co., Inc.
8-17005
SEC File Number
N
N
FMSbonds, Inc.
549300TUTBK58NSF2517
N
N
Schlitt Investor Services, Inc.
8-34202
SEC File Number
N
N
Infinex Investments, Inc.
8-46661
SEC File Number
N
N
Investments For You, Inc.
8-44179
SEC File Number
N
N
Sammons institutional Group Inc.
BBG00LBNPZL2
Bloomberg Global ID
N
Y
Stonnington Group, LLC
8-66919
SEC File Number
N
N
The Investment Center, Inc.
8-35826
SEC File Number
N
N
XP Securities, LLC
549300HDFLS7P433PO89
N
N
B. C. Ziegler And Company
549300NLEOFP92P38Q71
N
N
Centaurus Financial, Inc.
8-45185
SEC File Number
N
N
Fidelity Investments Institutional Operations Company LLC
549300XVSM8LN3LQOK63
N
Y
Cascade Financial Management, Inc.
8-53730
SEC File Number
N
N
Investment Planners, Inc.
8-35642
SEC File Number
N
N
Empire Asset Management Company, LLC
8-67520
SEC File Number
N
N
Morgan Stanley Smith Barney LLC
7PDDXEMZ0ZV0CEDU4D16
N
N
Bodell Overcash Anderson & Company, Inc.
8-15775
SEC File Number
N
N
Inverness Securities, LLC
8-66278
SEC File Number
N
N
Sterling Monroe Securities, LLC
8-65527
SEC File Number
N
N
Trustfirst, Inc.
8-48509
SEC File Number
N
N
Nations Financial Group, Inc.
8-50588
SEC File Number
N
N
Hudson Heritage Capital Management, Inc.
8-50648
SEC File Number
N
N
ACA Prudent Investors Planning Corp.
8-51899
SEC File Number
N
N
B. Riley Wealth Management Holdings, Inc
8-31206
SEC File Number
N
N
Nestlerode & Loy, Inc
8-12629
SEC File Number
N
N
M&T Securities, Inc.
254900VRUF9FN7AZI864
N
N
SA Stone Wealth Management Inc.
8-36638
SEC File Number
N
N
Sammons Financial Network, LLC
8-68905
SEC File Number
N
N
Hennion & Walsh, Inc.
8-41988
SEC File Number
N
N
Wescom Financial Services, LLC
8-66189
SEC File Number
N
N
Gill Capital Partners, LLC
8-30563
SEC File Number
N
N
Thompson Davis & Co., Inc.
8-49386
SEC File Number
N
N
Detalus Securities, LLC
8-52180
SEC File Number
N
N
Mesirow Financial, Inc.
549300BIV46SUHPOFE54
N
N
Highlander Capital Group, Inc.
8-37169
SEC File Number
N
N
Capital Portfolio Management, Inc.
8-44225
SEC File Number
N
N
IDB Capital Corp.
254900SH3QL0IL3S9R34
N
N
Integral Financial LLC
2549000I2CBZTJRHG786
N
N
Lockton Financial Advisors, LLC
8-67090
SEC File Number
N
N
BNY Mellon Securities Corporation
8-13801
SEC File Number
N
N
Zions Direct, Inc.
8-35721
SEC File Number
N
N
Lebenthal Financial Services, Inc
8-67140
SEC File Number
N
N
Insigneo Securities, LLC
254900P4TTO6PU1VDH88
N
N
Sycamore Financial Group
8-30302
SEC File Number
N
N
McClurg Capital Corporation
8-34473
SEC File Number
N
N
Omni Financial Securities, Inc.
8-44034
SEC File Number
N
N
Allen C. Ewing & Co.
8-42393
SEC File Number
N
N
L.O. Thomas & Co., Inc.
8-40875
SEC File Number
N
N
James I. Black & Company
8-12077
SEC File Number
N
N
Jacques Financial, LLC
8-52675
SEC File Number
N
N
Talcott Resolution Life Insurance Company
8CE7JPU9IU72L3PPD756
N
Y
Commonwealth Equity Services, Inc.
8-24040
SEC File Number
N
N
Fidelity Brokerage Services LLC
549300OQFQ4NFIOD5695
N
Y
Herbert J Sims & Co. Inc.
254900SV6UESQBS8XP98
N
N
CBIZ Financial Solutions, Inc.
8-34205
SEC File Number
N
N
COUNTRY Capital Management Company
8-12645
SEC File Number
N
N
David Lerner Associates, Inc.
8-20746
SEC File Number
N
N
Bley Investment Group, Inc.
8-42701
SEC File Number
N
N
Bankoh Investment Services, Inc.
8-44201
SEC File Number
N
N
Maxim Group LLC
254900OJ6JZO6SDMHQ83
N
N
GRF Capital Investors, Inc.
8-41494
SEC File Number
N
N
Prudential Investment Management Services LLC
8-36540
SEC File Number
N
N
NPB Financial Group, LLC
8-67113
SEC File Number
N
N
FSC Securities Corporation
8-21770
SEC File Number
N
N
Institutional Securities Corporation
2549007EJ1PSLA8XVA50
N
N
Arlington Securities, Inc.
8-38098
SEC File Number
N
N
Saturna Brokerage Services, Inc
8-36558
SEC File Number
N
N
ACP Securities, LLC
254900GHLAGD9J81O211
N
N
Monex Securities, Inc.
254900VTZ3HYHNEJRX35
N
N
Midland Securities, Ltd.
8-40685
SEC File Number
N
N
Avalon Investment & Securities Group, Inc.
8-17078
SEC File Number
N
N
Intervest International Equities Corporation
8-38156
SEC File Number
N
N
SunTrust Bank
IYDOJBGJWY9T8XKCSX06
N
N
Pershing Advisor Solutions LLC
549300KTC63JRN36GZ84
N
N
NYLIFE Distributors LLC
8-46655
SEC File Number
N
N
Robert W. Baird & Co. Incorporated
8-497
SEC File Number
N
N
Advanced Advisor Group, LLC
8-67313
SEC File Number
N
N
First Asset Financial Inc.
8-67191
SEC File Number
N
N
American Global Wealth Management, Inc.
39-1259164
Tax ID
N
N
Teachers Insurance And Annuity Association of America
O06XD7BJ4EPXNABVFN69
N
Y
S F Sentry Securities, Inc.
8-43101
SEC File Number
N
N
Weston Securities Corporation
8-32664
SEC File Number
N
N
Fifth Third Bank, National Association
QFROUN1UWUYU0DVIWD51
N
N
William C. Burnside & Company, Inc.
8-21242
SEC File Number
N
N
The Strategic Financial Alliance, Inc.
8-65885
SEC File Number
N
N
Somerset Securities, Inc.
8-11539
SEC File Number
N
N
SEI Private Trust Company
28-10625
SEC File Number
N
Y
Regal Securities, Inc.
8-21765
SEC File Number
N
N
USCA Securities LLC
254900GBMSP1Y45THR66
N
N
Allegiance Capital, L.L.C.
8-52978
SEC File Number
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Ustocktrade Securities, Inc.
8-33132
SEC File Number
N
N
K. W. Chambers & Co.
8-10533
SEC File Number
N
N
Larson Financial Securities LLC
8-68456
SEC File Number
N
N
Avondale Partners, LLC
254900799PKXEPTDRJ40
N
N
Classic, LLC
8-68981
SEC File Number
N
N
Signature Securities Group Corporation
8-52697
SEC File Number
N
N
The Guardian Insurance & Annuity Company, Inc.
TGIU5N0SIMULU6I57R64
N
Y
BTG Pactual US Capital, LLC
549300EUEDL5GKQW8U35
N
N
United Planners Financial Services of America, A Limited Partnership
8-38485
SEC File Number
N
N
Huntleigh Securities Corporation
8-21893
SEC File Number
N
N
Cutter And Company Brokerage, Inc.
8-39590
SEC File Number
N
N
Portfolio Resources Group, Inc.
549300TKCYL1XNXOL896
N
N
The O. N. Equity Sales Company
8-14161
SEC File Number
N
N
EK Riley Investments, LLC
8-65369
SEC File Number
N
N
Northland Securities, Inc.
254900ZIK4MLVQAWLS15
N
N
U.S. Bancorp Investments, Inc.
H85Z6XZP8B10ES0M2G89
N
N
Eastern Point Securities, Inc.
8-39398
SEC File Number
N
N
Queens Road Securities, LLC
8-52737
SEC File Number
N
N
Variable Investment Advisors, Inc
8-50699
SEC File Number
N
N
Piper Sandler & Co.
549300GRQCWQ3XGH0H10
N
N
Massachusetts Mutual Life Insurance Company
R6ZXK5P01NP6HXSY1S07
N
Y
Sorsby Financial Corp.
8-48718
SEC File Number
N
N
Invicta Capital LLC
549300QY87LR84LRLL97
N
N
Northwest Investment Advisors, Inc.
8-65282
SEC File Number
N
N
Camden Financial Services
8-37303
SEC File Number
N
N
Brighton Securities Corp.
8-14599
SEC File Number
N
N
Financial Northeastern Securities, Inc.
549300QRRF2NAV5G3869
N
N
UMB Financial Services, Inc.
254900GFVO9NGQ21JC37
N
N
MerCap Securities, LLC
8-68810
SEC File Number
N
N
Loring Ward Securities Inc.
8-51381
SEC File Number
N
N
John Hancock Trust Company LLC
549300W205WZCFZS6R51
N
Y
Whitehall-Parker Securities, Inc.
8-27688
SEC File Number
N
N
Allianz Life Financial Services, LLC
5493008TSI0TRWDDGW79
N
N
PFS Investments Inc.
8-26486
SEC File Number
N
N
Center Street Securities, Inc.
8-42786
SEC File Number
N
N
The GMS Group, L.L.C.
254900OXZT27TA5CGU56
N
N
DFPG Investments, LLC
8-68730
SEC File Number
N
N
LANDAAS & COMPANY, LLC
8-51826
SEC File Number
N
N
Joseph Gunnar & Co., L.L.C.
2549001XBRI5XQ0ZDA12
N
N
Wells Fargo Bank, National Association
KB1H1DSPRFMYMCUFXT09
N
N
International Money Management Group, Inc.
8-30417
SEC File Number
N
N
Despain Financial Corporation
8-37056
SEC File Number
N
N
Legacy Asset Securities, Inc.
8-51871
SEC File Number
N
N
Signal Securities, Inc.
8-32948
SEC File Number
N
N
Wellington Shields & Co., LLC
8-68098
SEC File Number
N
N
L.M. Kohn & Company
8-43303
SEC File Number
N
N
Navy Federal Brokerage Services, LLC
8-67161
SEC File Number
N
N
Horan Securities, Inc.
8-49192
SEC File Number
N
N
Sunset Financial Services, Inc
8-14148
SEC File Number
N
N
Alexander Capital, L.P.
8-48957
SEC File Number
N
N
UnionBanc Investment Services LLC
254900Y9HI2TG6D79N41
N
N
M.S. Howells & Co.
8-52558
SEC File Number
N
N
Ladenburg Thalmann & Co. Inc.
2549000V3L2KK4L76W91
N
N
Ceros Financial Services Inc.
549300N2YQ0P5G0WE562
N
N
Cannon Securities, Inc.
8-68437
SEC File Number
N
N
Crews and Associates, Inc.
5493001BWSV3E82LZ446
N
N
Saxony Securities, Inc.
8-53490
SEC File Number
N
N
Harvest Financial Corporation
8-26037
SEC File Number
N
N
Superior Financial Services, Inc.
549300BK1DNLS1A2MZ43
N
N
Rodgers Brothers, Inc.
8-33475
SEC File Number
N
N
ADP Broker-Dealer, Inc.
8-47885
SEC File Number
N
Y
Wells Fargo Securities, LLC
VYVVCKR63DVZZN70PB21
N
N
McLaughlin Ryder Investments, Inc.
8-67911
SEC File Number
N
N
Investshares, Inc
8-68365
SEC File Number
N
N
ProEquities, Inc.
8-32590
SEC File Number
N
N
Folio Investments, Inc.
8-52009
SEC File Number
N
N
First Command Financial Planning, Inc.
8-07072
SEC File Number
N
N
American Financial Associates, Inc.
8-44065
SEC File Number
N
N
BAC Florida Investments Corp.
254900CAF9OPVE8VT408
N
N
Trustcore Investments, LLC
8-32152
SEC File Number
N
N
Financial Services International Corp
8-48032
SEC File Number
N
N
Cantella & Co., Inc.
254900Z33Q34HCFGHO19
N
N
The Prudential Insurance Company of America
X574KRZ6V5A7UBU45C31
N
Y
Exeter Trust Company
28-04279
SEC File Number
N
N
H. C. Denison Co.
8-00044
SEC File Number
N
N
Deutsche Bank Securities Inc.
9J6MBOOO7BECTDTUZW19
N
N
Planned Financial Programs, Inc.
8-5727
SEC File Number
N
N
JPMorgan Chase Bank, National Association
7H6GLXDRUGQFU57RNE97
N
N
TD Private Client Wealth LLC
8-69105
SEC File Number
N
N
AqGen Ascensus, Inc.
549300K5MHNFPEU2RK82
N
Y
J. Alden Associates, Inc.
8-48938
SEC File Number
N
N
American Enterprise Investment Services Inc.
549300NT7GLLVGTH0249
N
N
Transamerica Advisors Life Insurance Company
F1PLTWZ8OU4HQGZQAP31
N
N
Goldman Sachs & Co. LLC
FOR8UP27PHTHYVLBNG30
N
N
State Farm VP Management Corp.
8-50128
SEC File Number
N
N
SagePoint Financial, Inc.
8-66771
SEC File Number
N
N
Windmill Group Inc/The
8-25280
SEC File Number
N
N
Prospera Financial Services, Inc.
8-28164
SEC File Number
N
N
AssetMark Trust Company
86-0770473
Tax ID
N
N
Key Investment Services LLC
8-66999
SEC File Number
N
N
North South Capital LLC
549300ODEKJCRN2AM859
N
N
The Huntington Investment Company
5493004MEJ6IU9SR1R78
N
N
Packerland Brokerage Services, Inc.
8-47572
SEC File Number
N
N
Avisen Securities, Inc.
8-65833
SEC File Number
N
N
S.L. Reed & Company
8-49178
SEC File Number
N
N
Wiley Bros. - Aintree Capital, LLC
8-3774
SEC File Number
N
N
Ballew Investments, Inc.
8-45660
SEC File Number
N
N
Calamar Financial Group, LLC
8-69777
SEC File Number
N
N
D.A. Davidson & Co.
549300094RQ5A7DYLF51
N
N
Raymond James & Associates, Inc.
U4ONQX15J3RO8XCKE979
N
N
MMC Securities LLC
2549001ZA93O65N2ZM60
N
N
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8NAV47T0Y26Q87Y0QP81
N
N
PNC Investments LLC
8-66195
SEC File Number
N
N
Crescent Securities Group, Inc.
8-53457
SEC File Number
N
N
Uhlmann Price Securities, LLC
8-50041
SEC File Number
N
N
CFS Securities, Inc.
8-51330
SEC File Number
N
N
Valmark Securities, Inc.
8-45463
SEC File Number
N
N
Gradient Securities, LLC
8-66032
SEC File Number
N
N
American Portfolios Financial Services, Inc.
8-37085
SEC File Number
N
N
T. Rowe Price Retirement Plan Services, Inc.
84-06219
SEC File Number
N
Y
Chalice Capital Partners, LLC
8-69967
SEC File Number
N
N
TD Ameritrade Trust Company
20-0937408
Tax ID
N
N
Citigroup Global Markets Inc.
MBNUM2BPBDO7JBLYG310
N
N
Carter, Terry & Company, Inc.
8-33797
SEC File Number
N
N
Tradition Securities and Derivatives Inc.
WRYEFMSVQCH0EMD08461
N
N
First Western Securities, Inc.
8-37613
SEC File Number
N
N
E*Trade Securities LLC
549300PJRJFMBCDPWR57
N
N
CapFinancial Securities, LLC
8-65870
SEC File Number
N
N
Money Concepts Capital Corp
8-29671
SEC File Number
N
N
Integrated Financial Planning Services
8-35120
SEC File Number
DE
N
N
BB&T Securities, LLC
2549000IB2PRJ20M2Q93
N
N
WBB Securities, LLC
8-53660
SEC File Number
N
N
Sabadell Securities USA, Inc.
2549002UK8JK82ABGD45
N
N
Kalos Capital, Inc.
8-50630
SEC File Number
N
N
Herndon Plant Oakley Ltd.
8-50912
SEC File Number
N
N
Capital Financial Services, Inc.
213800PYR36G9EYDS485
N
N
United States Life Insurance Company in the City of New York
549300C1JQGJ0MNUMG79
N
Y
Y
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
Y
BlackRock Advisors, LLC
5493001LN9MRM6A35J74
Y
N
N
BlackRock Investments, LLC
8-48436
000038642
54930061FBHCKXL2G714
0.00000000
BlackRock Execution Services
8-48719
000039438
549300HFCRQ0NT5KY652
0.00000000
RBC Capital Markets, LLC
8-45411
000031194
549300LCO2FLSSVFFR64
8211.63000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
5068.95000000
Citigroup Global Markets Inc.
8-8177
000007059
MBNUM2BPBDO7JBLYG310
3301.63000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
4589.02000000
Canadian Imperial Bank of Commerce
N/A
000000000
2IGI19DL77OX0HC3ZE78
CA
5820.79000000
Credit Suisse Securities (USA) LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
3444.44000000
Bofa Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
6802.41000000
Virtu Itg LLC
8-44218
000029299
549300S41SMIODVIT266
1872.68000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
6615.58000000
BMO Capital Markets Corp.
8-34344
000016686
RUC0QBLBRPRCU4W1NE59
2496.66000000
64238.96000000
Cowen and Company, LLC
8-22522
000007616
549300WR155U7DVMIW58
2042443.00000000
Blackrock Liquidity Funds - T- Fund
N/A
000000000
5493002L9DNZ83RX7V61
75814233.34000000
Credit Suisse Securities (USA) LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
314000.85000000
78170677.19000000
N
131651148.66000000
Committed
1750000000.00000000
N
N
N
N
true
INTERNAL CONTROL RPT
2
NCEN_9896177077239477.txt
REPORT OF INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM
TO THE SHAREHOLDERS AND BOARD OF
TRUSTEES OF BLACKROCK NATURAL
RESOURCES TRUST:
In planning and performing our audit of the financial
statements of BlackRock Natural Resources Trust (the
"Fund"), as of and for the period ended April 30, 2020, in
accordance with the standards of the Public Company
Accounting Oversight Board (United States) (PCAOB), we
considered the Fund's 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 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 Fund's
internal control over financial reporting. Accordingly, we
express no such opinion.
The management of the Fund 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 company's
annual or interim financial statements will not be prevented or
detected on a timely basis.
Our consideration of the Fund's 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 Fund's 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 April 30, 2020.
This report is intended solely for the information and use of
management and Board of Trustees of the Fund 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
June 22, 2020