I0013 ABC Test firm I0014 1232 I0015 2343 I0020 77 AVENUE SOUTH I0021 MINNEAPOLIS I0022 MN I0023 55202 I0024 04/01/13 I0025 06/30/13 I11290 John Doe I11291 5555555555 I20000 Y I20001 Broker - 20001 I20002 1-20002 I20003 20003 I20004 Broker - 20004 I20005 2-20005 I20006 20006 I20007 Broker - 20007 I20008 3-20008 I20009 20009 I20010 Broker - 20010 I20011 4-20011 I20012 20012 I20013 Broker - 20013 I20014 5-20014 I20015 20015 I20016 Broker - 20016 I20017 6-20017 I20018 20018 I20019 Broker - 20019 I20020 7-20020 I20021 20021 I20022 Broker - 20022 I20023 8-20023 I20024 20024 I20025 Broker - 20025 I20026 9-20026 I20027 20027 I20028 Broker - 20028 I20029 0-20029 I20030 20030 I20100 Y I20101 Broker - 20101 I20102 1-20102 I20103 20103 I20104 Broker - 20104 I20105 2-20105 I20106 20106 I20107 Broker - 20107 I20108 3-20108 I20109 20109 I20110 Broker - 20110 I20111 4-20111 I20112 20112 I20113 Broker - 20113 I20114 5-20114 I20115 20115 I20116 Broker - 20116 I20117 6-20117 I20118 20118 I20119 Broker - 20119 I20120 7-20120 I20121 20121 I20122 Broker - 20122 I20123 8-20123 I20124 20124 I20125 Broker - 20125 I20126 9-20126 I20127 20127 I20128 Broker - 20128 I20129 0-20129 I20130 20130 I20200 Y I20201 Y I0099 06/30/13 I3932 04/01/13 I3933 06/30/13 I20202 1 I20203 DAILY I20205 1 I20206 WEEKLY I20208 1 I20209 MONTHLY I20211 1 I20212 QUARTERLY I20214 1 I20215 OTHER I20217 1 I20218 ANNUALLY I20204 Other Frequency I20230 Type of Location - 20230 I20231 SEMI-ANNUALLY I20233 Type of Location - 20233 I20234 ANNUALLY I20236 Type of Location - 20236 I20237 OTHER I20239 Type of Location - 20239 I20240 WEEKLY I20242 Type of Location - 20242 I20243 DAILY I20245 Type of Location - 20245 I20246 MONTHLY I20248 Type of Location - 20248 I20249 QUARTERLY I20251 Type of Location - 20251 I20252 ANNUALLY I20254 Type of Location - 20254 I20255 SEMI-ANNUALLY I20257 Type of Location - 20257 I20258 OTHER I20232 Other Frequency I20260 Non-U.S. Location 20260 I20261 WEEKLY I20263 Non-U.S. Location 20263 I20264 DAILY I20266 Non-U.S. Location 20266 I20267 SEMI-ANNUALLY I20269 Non-U.S. Location 20269 I20270 OTHER I20272 Non-U.S. Location 20272 I20273 MONTHLY I20275 Non-U.S. Location 20275 I20276 SEMI-ANNUALLY I20278 Non-U.S. Location 20278 I20279 MONTHLY I20281 Non-U.S. Location 20281 I20282 DAILY I20284 Non-U.S. Location 20284 I20285 QUARTERLY I20287 Non-U.S. Location 20287 I20288 DAILY I20262 Other Frequency I20300 1 I20301 $50M OR LESS I20310 1 I20311 GREATER THAN $50M TO $100M I20320 1 I20321 GREATER THAN $100M TO $500M I20330 1 I20331 GREATER THAN $500M TO $1B I20340 1 I20341 GREATER THAN $1B TO $5B I20350 1 I20351 GREATER THAN $5B I20360 1 I20361 GREATER THAN $100M TO $500M I20370 1 I20371 GREATER THAN $1B TO $5B I20380 1 I20381 GREATER THAN $50M TO $100M I20390 1 I20391 GREATER THAN $50M TO $100M I20400 1 I20401 GREATER THAN $100M TO $500M I20410 1 I20411 $50M OR LESS I20420 1 I20421 GREATER THAN $5B I20430 1 I20431 GREATER THAN $100M TO $500M I20440 1 I20441 GREATER THAN $500M TO $1B I20450 1 I20451 GREATER THAN $100M TO $500M I20460 1 I20461 GREATER THAN $1B TO $5B I20470 1 I20471 GREATER THAN $500M TO $1B I20480 1 I20481 GREATER THAN $1B TO $5B I20490 N I20491 20491 I20492 Explanation 20492 I20493 1 I20494 1 I20495 1 I20496 1 I20497 1 I20498 Description 20498 I20500 1 I20501 $50M OR LESS I20510 1 I20511 GREATER THAN $500M TO $1B I20520 1 I20521 GREATER THAN $100M TO $500M I20530 1 I20531 $50M OR LESS I20540 1 I20541 GREATER THAN $50M TO $100M I20550 1 I20551 GREATER THAN $50M TO $100M I20560 1 I20561 GREATER THAN $500M TO $1B I20570 1 I20571 GREATER THAN $500M TO $1B I20580 1 I20581 GREATER THAN $500M TO $1B I20590 1 I20591 $50M OR LESS I20600 1 I20601 GREATER THAN $1B TO $5B I20610 1 I20611 $50M OR LESS I20620 1 I20621 GREATER THAN $1B TO $5B I20630 1 I20631 GREATER THAN $50M TO $100M I20640 1 I20641 GREATER THAN $1B TO $5B I20650 1 I20651 GREATER THAN $5B I20660 1 I20661 GREATER THAN $100M TO $500M I20670 1 I20671 GREATER THAN $50M TO $100M I20680 1 I20681 GREATER THAN $5B I20690 N I20691 20691 I20692 Explanation 20692 I20693 1 I20694 1 I20695 1 I20696 1 I20697 Description 20697 I20700 Y I20701 20701 I20702.1 Broker-Dealer Name 20702.1 I20702.2 Broker-Dealer Name 20702.2 I20702.3 Broker-Dealer Name 20702.3 I20702.4 Broker-Dealer Name 20702.4 I20702.5 Broker-Dealer Name 20702.5 I20702.6 Broker-Dealer Name 20702.6 I20702.7 Broker-Dealer Name 20702.7 I20702.8 Broker-Dealer Name 20702.8 I20702.9 Broker-Dealer Name 20702.9 I20702.10 Broker-Dealer Name 20702.10 I20703.1 207031 I20703.2 207032 I20703.3 207033 I20703.4 207034 I20703.5 207035 I20703.6 207036 I20703.7 207037 I20703.8 207038 I20703.9 207039 I20703.10 2070310 I20704.1 1-20704 I20704.2 2-20704 I20704.3 3-20704 I20704.4 4-20704 I20704.5 5-20704 I20704.6 6-20704 I20704.7 7-20704 I20704.8 8-20704 I20704.9 9-20704 I20704.10 0-20704 I20800 Y I20801 20801 I20802.1 Broker-Dealer 20802.1 I20802.2 Broker-Dealer 20802.2 I20802.3 Broker-Dealer 20802.3 I20802.4 Broker-Dealer 20802.4 I20802.5 Broker-Dealer 20802.5 I20802.6 Broker-Dealer 20802.6 I20802.7 Broker-Dealer 20802.7 I20802.8 Broker-Dealer 20802.8 I20802.9 Broker-Dealer 20802.9 I20802.10 Broker-Dealer 20802.10 I20803.1 208031 I20803.2 208032 I20803.3 208033 I20803.4 208034 I20803.5 208035 I20803.6 208036 I20803.7 208037 I20803.8 208038 I20803.9 208039 I20803.10 2080310 I20804.1 1-20804 I20804.2 2-20804 I20804.3 3-20804 I20804.4 4-20804 I20804.5 5-20804 I20804.6 6-20804 I20804.7 7-20804 I20804.8 8-20804 I20804.9 9-20804 I20804.10 0-20804 I20900 N I20901 Field 20901 I20902 N I20903 Field 20903 I20904 Y I20905 Y I20906 Y I20907 N I20908 20908 I20910 Custodian - 20910 I20911 1-20911 I20912 20912 I20913 Y I20914 N I20915 N I20916 Y I20920 Custodian - 20920 I20921 2-20921 I20922 20922 I20923 N I20924 Y I20925 N I20926 Y I20930 Custodian - 20930 I20931 3-20931 I20932 20932 I20933 N I20934 Y I20935 Y I20936 Y I20940 Custodian - 20940 I20941 4-20941 I20942 20942 I20943 Y I20944 N I20945 Y I20946 N I20950 Custodian - 20950 I20951 5-20951 I20952 20952 I20953 Y I20954 Y I20955 Y I20956 Y I20960 Custodian - 20960 I20961 6-20961 I20962 20962 I20963 Y I20964 Y I20965 Y I20966 N I20970 Custodian - 20970 I20971 7-20971 I20972 20972 I20973 N I20974 N I20975 Y I20976 Y I20980 Custodian - 20980 I20981 8-20981 I20982 20982 I20983 Y I20984 N I20985 N I20986 N I20990 Custodian - 20990 I20991 9-20991 I20992 20992 I20993 N I20994 Y I20995 N I20996 Y I21000 Custodian - 21000 I21001 0-21001 I21002 21002 I21003 Y I21004 Y I21005 Y I21006 N I21010 Y I21011 Y I21012 21012