Product Restrictions

Restricted Series Closing Orders Only DQ

December 24, 2012

Restricted Series Closing Orders Only DQ

RG12-176 Restrictions on Transactions in KIT digital, Inc. (KIT)

December 20, 2012

RG12-176 Restrictions on Transactions in KIT digital, Inc. (KIT)

RG12-175 Restrictions on Transactions in Cereplast, Inc. (CERP)

December 18, 2012

RG12-175 Restrictions on Transactions in Cereplast, Inc. (CERP)

RG12-157 Restrictions on Transactions in Dollar Thrifty Automotive Group, Inc (DTG)

November 19, 2012

RG12-157 Restrictions on Transactions in Dollar Thrifty Automotive Group, Inc (DTG)

RG12-155 Restrictions on Transactions in Overseas Shipholding Group, Inc. (OSG)

November 15, 2012

RG12-155 Restrictions on Transactions in Overseas Shipholding Group, Inc. (OSG)

RG12-154 Restrictions on Transactions in A123 Systems, Inc (AONE)

November 07, 2012

RG12-154 Restrictions on Transactions in A123 Systems, Inc (AONE)

RG12-142 Restriction on Transactions in Satcon Technology Corporation (SATC & adj. SATC1)

October 26, 2012

RG12-142 Restriction on Transactions in Satcon Technology Corporation (SATC & adj. SATC1)

Restricted Series Closing Orders Only JC

October 15, 2012

Restricted Series Closing Orders Only JC

RG12-133 Restrictions on Transactions in IGATE Computer Systems Limited (PTI)

October 01, 2012

RG12-133 Restrictions on Transactions in IGATE Computer Systems Limited (PTI)

RG12-131 Restrictions on Transactions in Direct Markets Holding Corp (MKTS)

September 28, 2012

RG12-131 Restrictions on Transactions in Direct Markets Holding Corp (MKTS)

RG12-130 Restrictions on Transactions in Sino Clean Energy, Inc (SCEI)

September 25, 2012

RG12-130 Restrictions on Transactions in Sino Clean Energy, Inc (SCEI)

RG12-128 Restrictions on Transactions in China Valves Technology, Inc (CVVT)

September 21, 2012

RG12-128 Restrictions on Transactions in China Valves Technology, Inc (CVVT)

RG-12-123 Restrictions on Transactions in Digital Domain Media Group (DDMG)

September 11, 2012

RG-12-123 Restrictions on Transactions in Digital Domain Media Group (DDMG)

RG12-119 Restrictions on Transactions in ATP Oil & Gas Corporation (ATPG)

August 28, 2012

RG12-119 Restrictions on Transactions in ATP Oil & Gas Corporation (ATPG)

RG12-110 Restrictions on Transactions in K-V Pharmaceutical Company Class A (KV.A)

August 07, 2012

RG12-110 Restrictions on Transactions in K-V Pharmaceutical Company Class A (KV.A)

Restricted Series Closing Orders Only ESI 2

July 26, 2012

Restricted Series Closing Orders Only ESI 2

Restricted Series Closing Orders Only ESI

July 24, 2012

Restricted Series Closing Orders Only ESI

RG12-096 Restrictions on Transactions in Hoku Corporation (HOKU)

July 13, 2012

RG12-096 Restrictions on Transactions in Hoku Corporation (HOKU)

RG12-092 Restrictions on Transactions in Telecom Corporation of New Zealand Limited ADS (NZT)

July 10, 2012

RG12-092 Restrictions on Transactions in Telecom Corporation of New Zealand Limited ADS (NZT)

RG12-093 Restrictions on Transactions in Patriot Coal Corporation (PCX)

July 10, 2012

RG12-093 Restrictions on Transactions in Patriot Coal Corporation (PCX)

RG12-090 Restrictions on Transactions in Dynegy, Inc. (DYN)

July 06, 2012

RG12-090 Restrictions on Transactions in Dynegy, Inc. (DYN)

RG12-082 Restrictions on Transactions in CryptolLogic Limited CRYP

June 26, 2012

RG12-082 Restrictions on Transactions in CryptolLogic Limited CRYP

RG12-076 Restrictions on Transactions in China North East Petroleum Holdings Ltd NEP

June 21, 2012

RG12-076 Restrictions on Transactions in China North East Petroleum Holdings Ltd NEP

RG12-070 Restrictions on Transactions in American Oriental Bioengineering, Inc (AOB)

May 29, 2012

RG12-070 Restrictions on Transactions in American Oriental Bioengineering, Inc (AOB)

RG12-062 Restrictions on Transactions in Xing Universal Resources Xing Universal Resources (XING)

May 09, 2012

RG12-062 Restrictions on Transactions in Xing Universal Resources Xing Universal Resources (XING)

RG12-060 Restrictions on Transactions in Galena Biopharma Inc (GALE) .

April 27, 2012

RG12-060 Restrictions on Transactions in Galena Biopharma Inc (GALE) .

RG12-059 Restrictions on Transactions in Hitachi Ltd (HIT) .

April 27, 2012

RG12-059 Restrictions on Transactions in Hitachi Ltd (HIT) .

RG12-055 Restrictions on Transactions in Reddy Ice Holdings, Inc. (RDDY)

April 16, 2012

RG12-055 Restrictions on Transactions in Reddy Ice Holdings, Inc. (RDDY)

RG12-045 Restrictions on Transactions in China Natural Gas, Inc (CHNG)

March 13, 2012

RG12-045 Restrictions on Transactions in China Natural Gas, Inc (CHNG)

RG12-044 Restriction on Transactions in China Sky One Medical, Inc (CSKI)

March 08, 2012

RG12-044 Restriction on Transactions in China Sky One Medical, Inc (CSKI)

RG12-033 Restrictions on Transactions in China Medical Technologies, Inc (CMED)

February 28, 2012

RG12-033 Restrictions on Transactions in China Medical Technologies, Inc (CMED)

Restricted Series Closing Orders Only XLE

February 27, 2012

Restricted Series Closing Orders Only XLE

RG12-031 Restrictions on Transactions in Energy Conversion Devices, Inc (ENER)

February 23, 2012

RG12-031 Restrictions on Transactions in Energy Conversion Devices, Inc (ENER)

RG12-029 Restrictions on Transactions in Software HOLDRs Trust (SWH)

February 15, 2012

RG12-029 Restrictions on Transactions in Software HOLDRs Trust (SWH)

RG12-017 Restrictions on Transactions in Eastman Kodak Company (EKDKQ)

January 19, 2012

RG12-017 Restrictions on Transactions in Eastman Kodak Company (EKDKQ)

RG12-016 Restrictions on Transactions in Trident Microsystems, Inc. (TRID)

January 18, 2012

RG12-016 Restrictions on Transactions in Trident Microsystems, Inc. (TRID)

RG12-011 Restrictions on Transactions in Retail HOLDRs Trust (RTHH

January 09, 2012

RG12-011 Restrictions on Transactions in Retail HOLDRs Trust (RTHH

RG12-012 Restrictions on Transactions in Biotech HOLDRs Trust Deposit Receipts (BBHH)

January 09, 2012

RG12-012 Restrictions on Transactions in Biotech HOLDRs Trust Deposit Receipts (BBHH)

RG12- 006 Restrictions on Transactions in Market delisted Poniard Pharmaceuticals, Inc (PARD/PARD1")"

January 04, 2012

RG12- 006 Restrictions on Transactions in Market delisted Poniard Pharmaceuticals, Inc (PARD/PARD1")"

RG12-009 Restrictions on Transactions in AMR Corporation (AMR)

January 04, 2012

RG12-009 Restrictions on Transactions in AMR Corporation (AMR)

RG12- 004 Restrictions on Transactions in Sears Holdings Corporation Adjusted Symbol (SHLD1)

January 03, 2012

RG12- 004 Restrictions on Transactions in Sears Holdings Corporation Adjusted Symbol (SHLD1)