FundVest ETF Participating Funds
[Pages:6]FundVest? ETF Participating Funds
As of 10/9/17 (subject to change without prior notice)
FundVest? ETF, available from BNY Mellon's Pershing, is a no-transaction-fee (NTF) exchange-traded fund (ETF) platform featuring a broad range of strategies with more than 160 funds to choose from. Key benefits include: No transaction fees and no purchase minimums or holding period.1
Name Direxion All Cap Insider Sentiment Shares Direxion Auspice Broad Commodity Strategy ETF Direxion NASDAQ-100? Equal Weighted Index Shares Direxion Zacks MLP High Income Index Shares First Trust Dorsey Wright Focus 5 ETF First Trust Dorsey Wright International Focus 5 ETF First Trust Dow 30 Equal Weight ETF First Trust Dow Jones Internet Index Fund First Trust Emerging Markets AlphaDEX? Fund First Trust Emerging Markets Local Currency Bond ETF First Trust Enhanced Short Maturity ETF First Trust Europe AlphaDEX? Fund First Trust Japan AlphaDEX? Fund First Trust Large Cap Growth AlphaDEX? Fund First Trust Large Cap Value AlphaDEX? Fund First Trust Long/Short Equity ETF First Trust Low Duration Opportunities ETF First Trust Morningstar Managed Futures Strategy Fund First Trust Nasdaq Bank ETF First Trust NASDAQ Technology Dividend Index Fund First Trust North American Energy Infrastructure Fund First Trust NYSE Arca Biotechnology Index Fund First Trust Preferred Securities and Income ETF First Trust RBA Quality Income ETF First Trust Rising Dividend Achievers ETF First Trust RiverFront Dynamic Asia Pacific ETF First Trust RiverFront Dynamic Developed International ETF First Trust RiverFront Dynamic Emerging Markets ETF First Trust RiverFront Dynamic Europe ETF
Symbol KNOW COM QQQE ZMLP FV IFV EDOW FDN FEM FEMB FTSM FEP FJP FTC FTA FTLS LMBS FMF FTXO TDIV EMLP FBT FPE QINC RDVY RFAP RFDI RFEM RFEU
Fund Classification Mid-Cap Value Commodities General Funds Multi-Cap Growth Energy MLP Funds Specialty/Miscellaneous Specialty/Miscellaneous Large-Cap Growth Science & Technology Emerging Markets Emerging Markets Local Currency Debt Fds Short-Intermediate Investment Grade Debt European Region Japanese Multi-Cap Growth Multi-Cap Value Alternative Long/Short Equity Funds US Mortgage Alternative Managed Futures Funds Financial Services Global Science/Technology Funds Natural Resources Health/Biotechnology Flexible Income Equity Income Equity Income Pacific Region International Multi-Cap Core Emerging Markets European Region
1 Before a sale takes place, transactions must first settle in the account in order to qualify for no transaction fee.
Name First Trust Senior Loan Fund First Trust Small Cap Core AlphaDEX? Fund First Trust SSI Strategic Convertible Securities ETF First Trust STOXX? European Select Dividend Index Fund First Trust Tactical High Yield ETF First Trust TCW Opportunistic Fixed Income ETF First Trust Technology AlphaDEX? Fund First Trust US Equity Opportunities ETF First Trust Value Line? Dividend Index Fund Guggenheim BulletShares 2018 Corporate Bond ETF Guggenheim BulletShares 2018 High Yield Corporate Bond ETF Guggenheim BulletShares 2019 Corporate Bond ETF Guggenheim BulletShares 2019 High Yield Corporate Bond ETF Guggenheim BulletShares 2020 Corporate Bond ETF Guggenheim BulletShares 2020 High Yield Corporate Bond ETF Guggenheim BulletShares 2021 Corporate Bond ETF Guggenheim BulletShares 2021 High Yield Corporate Bond ETF Guggenheim BulletShares 2022 Corporate Bond ETF Guggenheim BulletShares 2022 High Yield Corporate Bond ETF Guggenheim BulletShares 2023 Corporate Bond ETF Guggenheim BulletShares 2023 High Yield Corporate Bond ETF Guggenheim BulletShares 2024 Corporate Bond ETF Guggenheim BulletShares 2024 High Yield Corporate Bond ETF Guggenheim BulletShares 2025 Corporate Bond ETF Guggenheim BulletShares 2026 Corporate Bond ETF Guggenheim Dow Jones Industrial Average Dividend ETF Guggenheim MSCI Emerging Markets Equal Country Weight ETF Guggenheim S&P 100? Equal Weight ETF Guggenheim S&P 500? Equal Weight Consumer Discretionary ETF Guggenheim S&P 500? Equal Weight Consumer Staples ETF Guggenheim S&P 500? Equal Weight Energy ETF Guggenheim S&P 500? Equal Weight ETF Guggenheim S&P 500? Equal Weight Financial ETF Guggenheim S&P 500? Equal Weight Health Care ETF Guggenheim S&P 500? Equal Weight Industrials ETF Guggenheim S&P 500? Equal Weight Materials ETF Guggenheim S&P 500? Equal Weight Real Estate ETF Guggenheim S&P 500? Equal Weight Technology ETF Guggenheim S&P 500? Equal Weight Utilities ETF Guggenheim S&P 500? Pure Growth ETF Guggenheim S&P 500? Pure Value ETF Guggenheim S&P High Income Infrastructure ETF Guggenheim S&P MidCap 400? Equal Weight ETF
Symbol FTSL FYX FCVT FDD HYLS FIXD FXL FPX FVD BSCI BSJI BSCJ BSJJ BSCK BSJK BSCL BSJL BSCM BSJM BSCN BSJN BSCO BSJO BSCP BSCQ DJD EWEM OEW RCD RHS RYE RSP RYF RYH RGI RTM EWRE RYT RYU RPG RPV GHII EWMC
FUNDVEST ETF PARTICIPANTS
Fund Classification Loan Participation Small-Cap Core Convertible Securities International Equity Income Funds High Yield Funds Multi-Sector Income Science & Technology Multi-Cap Growth Multi-Cap Value Short Investment Grade Debt Funds High Yield Funds Short-Intermediate Investment Grade Debt High Yield Funds Short-Intermediate Investment Grade Debt High Yield Funds Corporate Debt Funds BBB-Rated High Yield Funds Corporate Debt Funds BBB-Rated High Yield Funds Corporate Debt Funds BBB-Rated High Yield Funds Corporate Debt Funds BBB-Rated High Yield Funds Corporate Debt Funds BBB-Rated Corporate Debt Funds BBB-Rated Equity Income Emerging Markets Large-Cap Core Consumer Services Funds Consumer Goods Funds Natural Resources Multi-Cap Core Financial Services Health/Biotechnology Industrials Funds Basic Materials Funds Real Estate Science & Technology Utility Multi-Cap Growth Multi-Cap Value Global Infrastrucure Funds Small-Cap Core
Name Guggenheim S&P MidCap 400? Pure Growth ETF Guggenheim S&P MidCap 400? Pure Value ETF Guggenheim S&P SmallCap 600? Equal Weight ETF Guggenheim Total Return Bond ETF Guggenheim Ultra Short Duration ETF Oppenheimer Large Cap Revenue ETF Oppenheimer Mid Cap Revenue ETF Oppenheimer Small Cap Revenue ETF Oppenheimer Ultra Dividend Revenue ETF PIMCO Active Bond Exchange-Traded Fund PIMCO Intermediate Municipal Bond Active Exchange-Traded Fund PIMCO Low Duration Active Exchange-Traded Fund PIMCO Short Term Municipal Bond Active Exchange-Traded Fund PowerShares 1-30 Laddered Treasury Portfolio PowerShares Balanced Multi-Asset Allocation Portfolio PowerShares Conservative Multi-Asset Allocation Portfolio PowerShares Dynamic Large Cap Growth Portfolio PowerShares Dynamic Large Cap Value Portfolio PowerShares Emerging Markets Sovereign Debt Portfolio PowerShares FTSE RAFI Developed Markets ex-U.S. Portfolio PowerShares FTSE RAFI Emerging Markets Portfolio PowerShares FTSE RAFI US 1000 Portfolio PowerShares FTSE RAFI US 1500 Small-Mid Portfolio PowerShares Fundamental High Yield Corporate Bond Portfolio PowerShares Fundamental Investment Grade Corporate Bond Portfolio PowerShares Growth Multi-Asset Allocation Portfolio PowerShares LadderRite 0-5 Year Corporate Bond Portfolio PowerShares Moderately Conservative Multi-Asset Allocation Portfolio PowerShares National AMT-Free Municipal Bond Portfolio PowerShares Optimum Yield Diversified Commodity Strategy No K-1 Portfolio PowerShares Preferred Portfolio PowerShares Russell 1000 Equal Weight Portfolio PowerShares Russell Top 200 Pure Growth Portfolio PowerShares S&P 500 Enhanced Value Portfolio PowerShares S&P 500 High Beta Portfolio PowerShares S&P 500 Low Volatility Portfolio PowerShares S&P 500 Momentum Portfolio PowerShares S&P 500 Value With Momentum Portfolio PowerShares S&P 500? High Dividend Low Volatility Portfolio PowerShares S&P 500? Quality Portfolio PowerShares S&P Emerging Markets Low Volatility Portfolio PowerShares S&P Emerging Markets Momentum Portfolio
Symbol RFG RFV EWSC GTO GSY RWL RWK RWJ RDIV BOND MUNI LDUR SMMU PLW PSMB PSMC PWB PWV PCY PXF PXH PRF PRFZ PHB PFIG PSMG LDRI PSMM PZA PDBC
PGX EQAL PXLG SPVU SPHB SPLV SPMO SPVM SPHD SPHQ EELV EEMO
FUNDVEST ETF PARTICIPANTS
Fund Classification Small-Cap Growth Small-Cap Value Small-Cap Core Core Bond Funds Ultra-Short Obligation Large-Cap Value Small-Cap Core Small-Cap Value Equity Income N/A Intermediate Municipal Debt Short Investment Grade Debt Funds Short Municipal Debt General US Treasury Mixed-Asset Target Allocation Growth Mixed-Asset Target Allocation Conservative Large-Cap Growth Large-Cap Value Emerging Mrkts Hard Currency Debt Funds International Multi-Cap Value Emerging Markets Multi-Cap Value Small-Cap Core High Yield Funds Corporate Debt Funds BBB-Rated Mixed-Asset Target Allocation Growth Short-Intermediate Investment Grade Debt Mixed-Asset Target Allocation Conservative General & Insured Municipal Debt Funds Commodities General Funds
Flexible Income Multi-Cap Core Large-Cap Growth Large-Cap Value Multi-Cap Core Multi-Cap Core Large-Cap Core Large-Cap Value Equity Income Large-Cap Core Emerging Markets Emerging Markets
Name
PowerShares S&P International Developed High Dividend Low Volatility Portfolio
PowerShares S&P International Developed Low Volatility Portfolio
PowerShares S&P International Developed Momentum Portfolio
PowerShares S&P International Developed Quality Portfolio
PowerShares S&P MidCap Low Volatility Portfolio
PowerShares S&P SmallCap High Dividend Low Volatility Portfolio
PowerShares S&P SmallCap Low Volatility Portfolio
PowerShares S&P SmallCap Quality Portfolio
PowerShares Senior Loan Portfolio
PowerShares Variable Rate Investment Grade Portfolio
PowerShares Variable Rate Preferred Portfolio
Reality Shares DIVS ETF SPDR? Blackstone / GSO Senior Loan ETF SPDR? Bloomberg Barclays Convertible Securities ETF SPDR? Bloomberg Barclays High Yield Bond ETF SPDR? Bloomberg Barclays Investment Grade Floating Rate ETF SPDR? Bloomberg Barclays Short Term High Yield Bond ETF SPDR? Dorsey Wright Fixed Income Allocation ETF SPDR? DoubleLine Total Return Tactical ETF SPDR? DoubleLine? Emerging Markets Fixed Income ETF SPDR? DoubleLine? Short Term Total Return Tactical ETF SPDR? Dow Jones Global Real Estate ETF SPDR? Dow Jones International Real Estate ETF SPDR? Dow Jones REIT ETF SPDR? MSCI EAFE StrategicFactors ETF SPDR? MSCI Emerging Markets StrategicFactors ETF SPDR? MSCI USA StrategicFactors ETF SPDR? MSCI World StrategicFactors ETF SPDR? Nuveen Bloomberg Barclays Municipal Bond ETF SPDR? Nuveen Bloomberg Barclays Short Term Municipal Bond ETF SPDR? Nuveen S&P High Yield Municipal Bond ETF SPDR? Portfolio Emerging Markets ETF SPDR? Portfolio Intermediate Term Corporate Bond ETF SPDR? Portfolio Large Cap ETF SPDR? Portfolio Long Term Corporate Bond ETF SPDR? Portfolio S&P 500 Growth ETF SPDR? Portfolio S&P 500 Value ETF SPDR? Portfolio Short Term Corporate Bond ETF SPDR? Portfolio Small Cap ETF SPDR? Portfolio Total Stock Market ETF SPDR? Portfolio World ex-US ETF SPDR? S&P 400 Mid Cap Growth ETF
Symbol IDHD
IDLV IDMO IDHQ XMLV XSHD XSLV XSHQ BKLN VRIG VRP DIVY SRLN CWB JNK FLRN SJNK DWFI TOTL EMTL STOT RWO RWX RWR QEFA QEMM QUS QWLD TFI SHM HYMB SPEM SPIB SPLG SPLB SPYG SPYV SPSB SPSM SPTM SPDW MDYG
FUNDVEST ETF PARTICIPANTS
Fund Classification Equity Income
International Multi-Cap Core International Multi-Cap Growth International Multi-Cap Growth Mid-Cap Core Equity Income Small-Cap Core Small-Cap Growth Loan Participation Short Investment Grade Debt Funds Equity Income Alternative Multi-Strategy Funds Loan Participation Convertible Securities High Yield Funds Short Investment Grade Debt Funds High Yield Funds Multi-Sector Income Multi-Sector Income Emerging Mrkts Hard Currency Debt Funds Short-Intermediate US Government Global Real Estate Funds International Real Estate Funds Real Estate International Multi-Cap Growth Emerging Markets Large-Cap Core Global Large-Cap Growth General & Insured Municipal Debt Funds Short Municipal Debt High Yield Municipal Debt Emerging Markets Corporate Debt Funds BBB-Rated Large-Cap Core General Bond Large-Cap Growth Large-Cap Value Short Investment Grade Debt Funds Small-Cap Core Multi-Cap Core International Multi-Cap Core Mid-Cap Growth
Name SPDR? S&P 400 Mid Cap Value ETF SPDR? S&P 600 Small Cap Growth ETF SPDR? S&P 600 Small Cap Value ETF SPDR? S&P Dividend ETF SPDR? S&P Global Natural Resources ETF SPDR? SSGA Gender Diversity Index ETF SPDR? Wells Fargo Preferred Stock ETF
Symbol MDYV SLYG SLYV SDY GNR SHE PSK
FUNDVEST ETF PARTICIPANTS
Fund Classification Small-Cap Value Small-Cap Growth Small-Cap Value Equity Income Global Natural Resources Funds Specialty/Miscellaneous Flexible Income
Note: Fund classification provided by Lipper.
Learn more about the NTF-ETFs in FundVest ETF For Direxion funds, visit: For First Trust funds, visit: For Guggenheim funds, visit: products/etf For PIMCO funds, visit: For PowerShares funds, visit: For Oppenheimer funds, visit: For Reality Shares funds, visit: For SPDR funds, visit: product
To learn more about FundVest ETF, talk with a representative of your financial organization. The funds listed above are offered to you by your financial organization and made available through Pershing. List subject to change without prior notice.
Please note that shares purchased on the FundVest ETF platform may not be immediately marginable. Investments are not FDIC-insured, nor are they deposits of or guaranteed by a bank or any other entity, so they may lose value. Consult with an advisor before investing in or sending money.
Performance may be affected by risks associated with nondiversification, including investments in specific countries or sectors. Additional risks may also include, but are not limited to, investments in foreign securities, especially emerging markets, real estate investment trusts (REITS), fixed income, small-capitalization securities and commodities. Each individual investor should consider these risks carefully before investing in a particular security or strategy.
Investors should consider carefully information contained in the prospectus, including investment objectives, risks, charges and expenses. You can obtain a prospectus from your financial professional, your financial organization or directly from the fund provider. Please read the prospectus carefully before investing.
Please note that ETFs are subject to market fluctuation and the risks of their underlying investment. ETFs and even no transaction fee ETFs are subject to management fees and other expenses. Unlike mutual funds, ETFs are bought and sold at market price, which may be higher or lower than their net asset value (NAV), and are not individually redeemed from the fund. Exchange-traded products (ETPs) are subject to market volatility and the risks of their underlying securities, which may include the risks associated with investing in smaller companies, foreign securities, commodities, and fixed income investments. Foreign securities are subject to interest rate, currency exchange rate, economic and political risks, all of which are magnified in emerging markets. ETPs that target a small universe of securities, such as a specific region or market sector, are generally subject to greater market volatility, as well as to the specific risks associated with that sector, region, or other focus. ETPs that use derivatives, leverage or complex investment strategies are subject to additional risks. The return of an index ETP is usually different from that of the index it tracks because of fees, expenses, and tracking
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