Next Day Daily List
Next Day Daily List
NASDAQ MFQS
NASDAQ MFQS REPORT 6/14/2012 to 6/14/2012
citadmin
2012-06-15T18:07:48Z
NASDAQ OMX
12.00
9996
9996
120
132
False
False
| Daily List Posting Date |
Daily List Posting Time |
MFQS Effective Date |
MFQS Event Code |
Issuer Corporate Action Date |
MFQS Issue Type - Current |
MFQS Issue Type - New |
MFQS Issue Category - Current |
MFQS Issue Category - New |
MFQS Symbol - Current |
MFQS Symbol - New |
CUSIP - Current |
CUSIP - New |
Instrument Name - Current |
Instrument Name - New |
Issuer Name - Current |
Issuer Name - New |
Exchange Code for Listed Instruments - Current |
Exchange Code for Listed Instruments - New |
Exchange Symbol For Listed Instruments - Current |
Exchange Symbol For Listed Instruments - New |
Newspaper Category - Current |
Newspaper Category - New |
Newspaper Abbreviation - Current |
Newspaper Abbreviation - New |
Pricing Agent - Current |
Pricing Agent - New |
MFQS Pricing Frequency - Current |
MFQS Pricing Frequency - New |
Country of Issuance |
ISIN - Current |
ISIN - New |
Pricing Currency |
Inception Date |
Inception Date Net Asset Value (NAV) |
Minimum Initial Subscription |
Minimum Incremental Subscription |
Open To New Investors Flag |
Fund Manager Last Name - Current |
Fund Manager First Name - Current |
Fund Manager Last Name - New |
Fund Manager First Name - New |
Fund Manager Start Date |
Number of Shareholders |
Number of Shareholders Date |
Total Shares Outstanding |
Total Shares Outstanding Date |
Total Net Assets |
Total Net Assets Date |
Deposit Date - Current |
Deposit Date - New |
Termination Date - Current |
Termination Date - New |
Distribution Frequency - Current |
Distribution Type - Current |
Distribution Frequency - New |
Distribution Type - New |
Par Value Per Share/Unit |
Deletion Reason |
MFQS Symbol for Merger |
CUSIP for Merger |
Documentation Available |
Notes for Daily List Record |
| 06/14/2012 |
165440 |
06/15/2012 |
Addition |
|
|
US |
|
E |
|
VKTGTX |
|
92120V269 |
|
Van Kampen 1232 Technology Ptf 2012-3 |
|
Van Kampen Funds, Inc. (UIT) |
|
|
|
|
|
|
|
|
|
Van Kampen Funds Inc. |
|
D |
US |
|
|
USD |
06/19/2012 |
|
|
|
O |
|
|
|
|
|
|
|
|
|
|
|
|
06/19/2012 |
|
09/18/2013 |
|
|
C |
C |
|
|
|
|
|
Test scenario for Addition |
| 06/14/2012 |
165551 |
06/15/2012 |
Deletion |
06/29/2012 |
MF |
|
Z |
|
FAVFX |
|
315916767 |
|
Fidelity Advisor Value Class A |
|
Fidelity Investments |
|
|
|
|
|
Fidelity Advisor A: |
|
FAValA p/r |
|
Fidelity Investments Institutional Services Company, Inc. |
|
D |
|
US |
|
|
USD |
|
|
|
|
|
|
|
|
|
01/01/1900 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
L |
|
|
|
Test scenario for Deletion |
| 06/14/2012 |
165650 |
06/15/2012 |
MFQS Attribute Change |
10/26/2012 |
MF |
MF |
Z |
Z |
PIOCX |
PIOCX |
746802636 |
2XL435TD2 |
Putnam International New Opportunities Fd C |
Putnam International New Opportunities Fd C TEST |
Putnam Investments |
Putnam Investments |
|
|
|
|
Putnam Funds Class C |
Putnam Funds Class A |
IntlNop |
IntlNop |
State Street Bank & Trust Company |
State Street Bank & Trust Company |
D |
D |
US |
|
|
USD |
10/03/2011 |
|
|
|
O |
|
|
Mccann |
Mccann |
06/15/2012 |
|
|
2202 |
|
29800000.00 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Test entry - CUSIP and Name |
| 06/14/2012 |
165820 |
06/15/2012 |
UIT Replacement |
|
US |
US |
D |
D |
VKOBOX |
VKOBBX |
37990N103 |
KUS3L5V40 |
Global Bond Income Trust Series 1 |
Global Bond Income Trust Series 1 TEST |
Van Kampen Funds, Inc. (UIT) |
Van Kampen Funds, Inc. (UIT) |
|
|
|
|
|
|
|
|
Van Kampen Funds Inc. |
Van Kampen Funds Inc. |
D |
I |
US |
|
|
USD |
12/15/2011 |
|
|
|
O |
|
|
Sullivan |
Sullivan |
06/15/2012 |
|
|
|
|
82000000.00 |
|
12/15/2011 |
12/15/2011 |
12/15/2037 |
12/15/2037 |
C |
C |
C |
C |
|
|
|
|
|
Test scenario for UIT replacement |
| 06/14/2012 |
165844 |
06/15/2012 |
Restore |
07/28/2010 |
|
MS |
|
Z |
|
COMMX |
|
98147A501 |
|
Commonwealth Small Cap Fund I Shs |
|
World Funds, Inc. |
|
|
|
|
|
|
|
|
|
Commonwealth Fund Accounting Inc. |
|
D |
US |
|
|
USD |
|
|
|
|
|
|
|
|
|
01/01/1900 |
0 |
|
0 |
|
0.00 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Test scenario for Restore |
| 06/14/2012 |
173847 |
06/15/2012 |
Addition |
|
|
US |
|
E |
|
CEFFKX |
|
40166D479 |
|
Guggenheim Def 913 Guggenheim Moderte Asset Allocation of ETFs Srs 11 |
|
Guggenheim Funds Distributors, Inc. |
|
|
|
|
|
|
|
|
|
Claymore Securities, Inc. |
|
D |
US |
|
|
USD |
06/15/2012 |
|
|
|
O |
|
|
|
|
|
|
|
|
|
|
|
|
06/15/2012 |
|
09/17/2013 |
|
|
R |
R |
|
|
|
|
|
Actual entry |
| 06/14/2012 |
173847 |
06/15/2012 |
Addition |
|
|
US |
|
E |
|
CRBDIX |
|
40166D511 |
|
Guggenheim Def 9014 Dow Jones Value RBP Dividend Focus Ptf Srs 9 |
|
Guggenheim Funds Distributors, Inc. |
|
|
|
|
|
|
|
|
|
Claymore Securities, Inc. |
|
D |
US |
|
|
USD |
06/15/2012 |
|
|
|
O |
|
|
|
|
|
|
|
|
|
|
|
|
06/15/2012 |
|
09/17/2013 |
|
|
R |
R |
|
|
|
|
|
Actual entry |
| 06/14/2012 |
173847 |
06/15/2012 |
Withdraw - Deletion |
06/29/2012 |
MF |
|
Z |
|
FAVFX |
|
315916767 |
|
Fidelity Advisor Value Class A |
|
Fidelity Investments |
|
|
|
|
|
Fidelity Advisor A: |
|
FAValA p/r |
|
Fidelity Investments Institutional Services Company, Inc. |
|
D |
|
US |
|
|
USD |
|
|
|
|
|
|
|
|
|
01/01/1900 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
L |
|
|
|
Test scenario for Withdraw - Deletion |
| 06/14/2012 |
173848 |
06/15/2012 |
Addition |
|
|
US |
|
E |
|
AAMOFX |
|
00770P847 |
|
Advisors Disp Tr 821 Business Development Company Opp Ptf Srs 2012-1 |
|
Advisors Asset Management, Inc. |
|
|
|
|
|
|
|
|
|
Advisors Asset Management Inc |
|
D |
US |
|
|
USD |
06/15/2012 |
|
|
|
O |
|
|
|
|
|
|
|
|
|
|
|
|
06/15/2012 |
|
06/13/2014 |
|
|
C |
C |
|
|
|
|
|
Actual entry |
| 06/14/2012 |
173848 |
06/15/2012 |
Addition |
|
|
US |
|
E |
|
AAMPFX |
|
00770W198 |
|
Advisrs Disp Tr 907 Emerging Mkts Dividend Ptf Srs 2012-1 |
|
Advisors Asset Management, Inc. |
|
|
|
|
|
|
|
|
|
Advisors Asset Management Inc |
|
D |
US |
|
|
USD |
06/15/2012 |
|
|
|
O |
|
|
|
|
|
|
|
|
|
|
|
|
06/15/2012 |
|
06/13/2014 |
|
|
C |
C |
|
|
|
|
|
Actual entry |
| 06/14/2012 |
173848 |
06/15/2012 |
Withdraw - MFQS Attribute Change |
10/26/2012 |
MF |
MF |
Z |
Z |
PIOCX |
PIOCX |
746802636 |
2XL435TD2 |
Putnam International New Opportunities Fd C |
Putnam International New Opportunities Fd C TEST |
Putnam Investments |
Putnam Investments |
|
|
|
|
Putnam Funds Class C |
Putnam Funds Class A |
IntlNop |
IntlNop |
State Street Bank & Trust Company |
State Street Bank & Trust Company |
D |
D |
US |
|
|
USD |
10/03/2011 |
|
|
|
O |
|
|
Mccann |
Mccann |
06/15/2012 |
|
|
2202 |
|
29800000.00 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Test scenario for Withdraw - MFQS Attribute Change |
| 06/14/2012 |
173849 |
06/15/2012 |
Withdraw - UIT Replacement |
|
US |
US |
D |
D |
VKOBOX |
VKOBBX |
37990N103 |
KUS3L5V40 |
Global Bond Income Trust Series 1 |
Global Bond Income Trust Series 1 TEST |
Van Kampen Funds, Inc. (UIT) |
Van Kampen Funds, Inc. (UIT) |
|
|
|
|
|
|
|
|
Van Kampen Funds Inc. |
Van Kampen Funds Inc. |
D |
I |
US |
|
|
USD |
12/15/2011 |
|
|
|
O |
|
|
Sullivan |
Sullivan |
06/15/2012 |
|
|
|
|
82000000.00 |
|
12/15/2011 |
12/15/2011 |
12/15/2037 |
12/15/2037 |
C |
C |
C |
C |
|
|
|
|
|
Test scenario for Withdraw - UIT Replacement |
| 06/14/2012 |
173850 |
06/15/2012 |
Addition |
|
|
MS |
|
Z |
|
TVFRX |
|
89386C647 |
|
Transparent Value Dow Jones RBP Directional Allocation Index Fund Class F-1 |
|
Transparent Value Trust |
|
|
|
|
|
|
|
|
|
Alps Distributors, Inc. |
|
D |
US |
|
|
USD |
06/15/2012 |
|
|
|
O |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Test scenario for Addition |
| 06/14/2012 |
173850 |
06/15/2012 |
Withdraw - Addition |
|
|
US |
|
E |
|
VKTGTX |
|
92120V269 |
|
Van Kampen 1232 Technology Ptf 2012-3 |
|
Van Kampen Funds, Inc. (UIT) |
|
|
|
|
|
|
|
|
|
Van Kampen Funds Inc. |
|
D |
US |
|
|
USD |
06/19/2012 |
|
|
|
O |
|
|
|
|
|
|
|
|
|
|
|
|
06/19/2012 |
|
09/18/2013 |
|
|
C |
C |
|
|
|
|
|
Test scenario for Withdraw - Addition |
| 06/14/2012 |
173851 |
06/15/2012 |
Addition |
|
|
MS |
|
Z |
|
TVRAX |
|
89386C662 |
|
Transparent Value Dow Jones RBP Directional Allocation Index Fund Class A |
|
Transparent Value Trust |
|
|
|
|
|
|
|
|
|
Alps Distributors, Inc. |
|
D |
US |
|
|
USD |
06/15/2012 |
|
|
|
O |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Test scenario for Addition |
| 06/14/2012 |
173851 |
06/15/2012 |
Addition |
|
|
MS |
|
Z |
|
TVRCX |
|
89386C654 |
|
Transparent Value Dow Jones RBP Directional Allocation index Fund Class C |
|
Transparent Value Trust |
|
|
|
|
|
|
|
|
|
Alps Distributors, Inc. |
|
D |
US |
|
|
USD |
06/15/2012 |
|
|
|
O |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Test scenario for Addition |
| 06/14/2012 |
173851 |
06/15/2012 |
Addition |
|
|
MS |
|
Z |
|
TVRIX |
|
89386C639 |
|
Transparent Value Dow Jones RBP Directional Allocation Index Fund Class I |
|
Transparent Value Trust |
|
|
|
|
|
|
|
|
|
Alps Distributors, Inc. |
|
D |
US |
|
|
USD |
06/15/2012 |
|
|
|
O |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Test scenario for Addition |
| 06/14/2012 |
173851 |
06/15/2012 |
Addition |
|
|
MS |
|
Z |
|
STMFX |
|
94975P322 |
|
Wells Fargo Advantage Large Cap Growth Fund Class R |
|
Wells Fargo Advantage Funds |
|
|
|
|
|
|
|
|
|
State Street Bank & Trust Company |
|
D |
US |
|
|
USD |
06/15/2012 |
|
|
|
O |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Actual entry |
| 06/14/2012 |
173852 |
06/15/2012 |
Addition |
|
|
MS |
|
Z |
|
GAKIX |
|
00768D343 |
|
Kellner Merger Fund Investor Class |
|
Advisors Series Trust |
|
|
|
|
|
|
|
|
|
U.S. Bancorp Fund Services, LLC |
|
D |
US |
|
|
USD |
06/15/2012 |
|
|
|
O |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Actual entry |
| 06/14/2012 |
173852 |
06/15/2012 |
Addition |
|
|
MS |
|
Z |
|
GAKNX |
|
00768D335 |
|
Kellner Merger Fund Institutional Class |
|
Advisors Series Trust |
|
|
|
|
|
|
|
|
|
U.S. Bancorp Fund Services, LLC |
|
D |
US |
|
|
USD |
06/15/2012 |
|
|
|
O |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Actual entry |
| 06/14/2012 |
173852 |
06/15/2012 |
Addition |
|
|
US |
|
E |
|
FKROPX |
|
30279V136 |
|
First Trust 3561 High Yield Corporate Trust, Short Intermediate Series 5 |
|
First Trust Portfolios L.P. |
|
|
|
|
|
|
|
|
|
First Trust Portfolios L.P. |
|
D |
US |
|
|
USD |
06/15/2012 |
|
|
|
O |
|
|
|
|
|
|
|
|
|
|
|
|
06/15/2012 |
|
07/31/2019 |
|
|
C |
C |
|
|
|
|
|
Test scenario for Addition |
| 06/14/2012 |
173853 |
06/15/2012 |
Addition |
|
|
US |
|
E |
|
FSCRNX |
|
30279V102 |
|
First Trust 3559 Coprporate Highh Income Portfolio Series 5 |
|
First Trust Portfolios L.P. |
|
|
|
|
|
|
|
|
|
First Trust Portfolios L.P. |
|
D |
US |
|
|
USD |
05/15/2012 |
|
|
|
O |
|
|
|
|
|
|
|
|
|
|
|
|
06/15/2012 |
|
01/23/2017 |
|
|
C |
C |
|
|
|
|
|
Actual entry |
| 06/14/2012 |
173853 |
06/15/2012 |
UIT Replacement |
|
US |
US |
E |
E |
FTSBPX |
FHLIFX |
30276Y208 |
30290G258 |
First Trust 2457 Interest Rate Hedge Portfolio Series 5 |
First Trust 3580 Interest Rate Hedge Portfolio Series 47 |
First Trust Portfolios L.P. |
First Trust Portfolios L.P. |
|
|
|
|
|
|
|
|
First Trust Portfolios L.P. |
First Trust Portfolios L.P. |
D |
D |
US |
|
|
USD |
06/15/2012 |
|
|
|
O |
|
|
|
|
|
0 |
|
0 |
|
0.00 |
|
05/11/2010 |
06/15/2012 |
06/04/2012 |
06/17/2014 |
|
|
C |
C |
|
|
|
|
|
Actual entry |
| 06/14/2012 |
173853 |
06/15/2012 |
UIT Replacement |
|
US |
US |
E |
E |
FTGOSX |
FWMYSX |
30276R609 |
30290G308 |
First Trust 2382 Senior Loan & Limited Duration Plus Closed-End Ptf Sr |
First Trust 3581 Senior Loan & Limited Duration Plus Closed-End Portfolio Series 57 |
First Trust Portfolios L.P. |
First Trust Portfolios L.P. |
|
|
|
|
|
|
|
|
First Trust Portfolios L.P. |
First Trust Portfolios L.P. |
D |
D |
US |
|
|
USD |
06/15/2012 |
|
|
|
O |
|
|
|
|
|
0 |
|
0 |
|
0.00 |
|
04/13/2010 |
06/15/2012 |
06/07/2012 |
08/27/2014 |
|
|
C |
C |
|
|
|
|
|
Actual entry - Old Symbol FTGOSX |
| 06/14/2012 |
173854 |
06/15/2012 |
Restore |
08/26/2011 |
|
MF |
|
Z |
|
EGIBX |
|
94984B132 |
|
WFA Core Equity Fund Class B |
|
Wells Fargo Advantage Funds |
|
|
|
|
|
Wells Fargo Adv Cl B |
|
CoreEqB |
|
State Street Bank & Trust Company |
|
D |
US |
|
|
USD |
|
|
|
|
|
|
|
|
|
01/01/1900 |
1016 |
|
25570 |
|
9900000.00 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Test scenario for Restore |
| 06/14/2012 |
173855 |
06/15/2012 |
Addition |
|
|
$S |
|
G |
|
PTAXX |
|
72201P837 |
|
PIMCO Treasury Money Market Fund Administrative Class TEST |
|
Allianz Advisors Funds (CA) |
|
|
|
|
|
|
|
|
|
State Street Bank & Trust Company |
|
D |
US |
|
|
USD |
06/20/2012 |
|
|
|
O |
|
|
|
|
|
0 |
|
0 |
|
0.00 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Test scenario for Addition |
| 06/14/2012 |
173855 |
06/15/2012 |
MFQS Attribute Change |
06/21/2012 |
MF |
MF |
Z |
Z |
HMSFX |
HMSSX |
431112549 |
GHCJR3GI1 |
HighMark Short Term Bond Fund Fiduciary Shares |
HighMark Harding Test |
HighMark Funds |
Harding, Loevner Funds, Inc. |
|
|
|
|
HighMark Funds |
Harding Loevner |
ShtTermBdF |
ShtTermBdF |
BNY Mellon Asset Servicing |
Northern Trust Securities, Inc. |
D |
D |
US |
|
|
USD |
06/15/2012 |
|
|
|
O |
|
|
|
|
|
2000 |
|
92 |
|
54500000.00 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Test entry - Symbol CUSIP Name and Pricing Agent |
| 06/14/2012 |
173856 |
06/15/2012 |
Deletion |
06/25/2012 |
MF |
|
Z |
|
FIIMX |
|
315807487 |
|
Fidelity Advisor Mid Cap II Fund Class I |
|
Fidelity Investments |
|
|
|
|
|
Fidelity Advisor I: |
|
AdvMdCpII I |
|
Fidelity Investments Institutional Services Company, Inc. |
|
D |
|
US |
|
|
USD |
|
|
|
|
|
|
|
|
|
01/01/1900 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
A |
FINSX |
V42KZYKX6 |
|
Test scenario for Deletion |
| 06/14/2012 |
173856 |
06/15/2012 |
UIT Replacement |
|
US |
US |
E |
E |
VKHRRX |
VKHHHX |
92121V508 |
GBQDGZMD7 |
Van Kampen 1201 Enhanced Sector Strategy Sector Rotation Portfolio 2012-2 |
Van Kampen 1201 Enhanced Sector Strategy Sector Rotation Portfolio 2012-2 |
Van Kampen Funds, Inc. (UIT) |
Van Kampen Funds, Inc. (UIT) |
|
|
|
|
|
|
|
|
Van Kampen Funds Inc. |
Van Kampen Funds Inc. |
D |
D |
US |
|
|
USD |
03/09/2012 |
|
|
|
O |
|
|
Sullivan |
Sullivan |
06/15/2012 |
111 |
|
|
|
|
|
03/09/2012 |
03/09/2012 |
06/10/2013 |
06/10/2013 |
C |
C |
C |
C |
|
|
|
|
|
Test scenario for UIT replacement |
| 06/14/2012 |
180005 |
06/15/2012 |
Addition |
|
|
MS |
|
Z |
|
GAKNX |
|
00768D335 |
|
Kellner Merger Fund Institutional Class TEST |
|
Advisors Series Trust |
|
|
|
|
|
|
|
|
|
U.S. Bancorp Fund Services, LLC |
|
D |
US |
|
|
USD |
06/15/2012 |
|
|
|
O |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Actual entry |
21
48
3
27
48
False
False