BROADRIDGE SECURITIES PROCESSING SOLUTIONS, INC.

"ON-DEMAND COMMUNICATIONS SYSTEM"

Software in the fields of financial investments and planning for use by traders, portfolio managers, and financial advisors for trading mortgage-backed securities

"WEALTH"

SYSTEM

Providing temporary use of online non-downloadable software in the field of business management services, namely, management processing and reporting of shareholder voting information, fund specific voting and account level voting, account details for vote auditing, and complete institutional voting history

Providing temporary use of non-downloadable software that enables financial managers and brokers to compile the content of informational packets and place orders for the print production and dissemination of the material

Class 009: Computer software for use in processing fixed income trades

Class 035: Business management services, namely, management and processing of shareholder proxy voting by means of the Internet

Class 009: Computer software that enables automated order entry, portfolio management, contact management, and access to real-time market data by banks and brokerages

Class 042: Providing temporary use of non-downloadable software to investment brokers for use in automated electronic trade entry, trade processing, transaction reporting, and accounting

Class 036: Providing information concerning mutual funds for financial managers and brokers via an Internet website; Class 042: Providing temporary use of online non-downloadable software for use by financial managers and brokers for the automation of mutual fund information sheets, including creating, editing, approving, and distributing information concerning mutual funds

Class 035: Business management services, namely, management and processing of shareholder proxy voting; Class 041: Publication of newsletters, brochures, reports, and regulatory documents containing financial, regulatory, and marketing information for others

AUTOMATED SECURITIES BROKERAGE

providing investment brokerage information and securities transaction processing services by means of a global computer network

INVESTMENT COMMUNICATIONS SERVICES FOR SECURITIES BROKERS AND DEALERS, NAMELY, PROVISION OF INFORMATION TO SHAREHOLDERS CONCERNING TENDER OFFERS AND OTHER INVESTMENT OFFERING, DISSEMINATED VIA MAILINGS

business management and consultation services, namely, managing and processing shareholder proxy voting; "PROXY"

providing management and processing of shareholder voting; providing regulatory and marketing information to shareholders; "PROXY"

providing management and processing of shareholder voting; providing regulatory and marketing information to shareholders

business information services, namely, providing corporate information to shareholders and others

COMPUTER SOFTWARE FOR TRADING COMMODITIES, FUTURES, OPTIONS, EQUITIES, DEBT INSTRUMENTS AND FOREIGN EXCHANGE

Class 009: COMPUTER PROGRAMS FOR USE IN CONNECTION WITH TRADING COMMODITIES, FUTURES, OPTIONS, EQUITIES, DEBT INSTRUMENTS AND FOREIGN EXCHANGE

Computer software allowing user interface to receive and execute proxy votes

PROVIDING INFORMATION IN THE FIELD OF MUTUAL FUND INVESTMENTS BY MEANS OF AN AUTOMATED VOICE-RESPONSE SYSTEM TELEPHONE LINE; INVESTMENT MANAGEMENT, INVESTMENT BROKERAGE, AND LOAN SERVICES, NAMELY, MAKING SHORT-TERM LOANS OF FUNDS ON DEPOSIT, ALL PROVIDED BY MEANS OF AN AUTOMATED VOICE-RESPONSE SYSTEM TELEPHONE LINE