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Asset Management Stocks
In the Financial Services Sector
- #
- TURN180 Degree Capital Corp.
- A
- FAXAberdeen Asia-Pacific Income Fund Inc
- IAFAberdeen Australia Equity Fund Inc
- AEFAberdeen Emerging Markets Equity Income Fund Inc.
- AGDAberdeen Global Dynamic Dividend Fund
- FCOAberdeen Global Income Fund Inc.
- AWPAberdeen Global Premier Properties Fund of Beneficial Interest
- ACPAberdeen Income Credit Strategies Fund
- JEQAberdeen Japan Equity Fund Inc.
- AODAberdeen Total Dynamic Dividend Fund
- ADXAdams Diversified Equity Fund Inc.
- PEOAdams Natural Resources Fund Inc.
- AVKAdvent Claymore Convertible Securities and Income Fund
- AGCAdvent Claymore Convertible Securities and Income Fund of Beneficial Interest
- LCMAdvent/Claymore Enhanced Growth & Income Fund of Beneficial Interest
- AMGAffiliated Managers Group Inc.
- ABDCAlcentra Capital Corp.
- AKPAlliance California Municipal Income Fund Inc
- AWFAlliancebernstein Global High Income Fund
- ABAllianceBernstein Holding L.P. Units
- AFBAllianceBernstein National Municipal Income Fund Inc
- CBHAllianzGI Convertible & Income 2024 Target Term Fund of Beneficial Interest
- NCVAllianzGI Convertible & Income Fund
- NCZAllianzGI Convertible & Income Fund II of Beneficial Interest
- ACVAllianzGI Diversified Income & Convertible Fund of Beneficial Interest
- NIEAllianzGI Equity & Convertible Income Fund
- NFJAllianzGI NFJ Dividend Interest & Premium Strategy Fund
- AFCAllied Capital Corporation 6.875% Notes due April 15 2047
- AABAAltaba Inc.
- AAMCAltisource Asset Management Corp Com
- ACSFAmerican Capital Senior Floating Ltd.
- AMPAmeriprise Financial Inc.
- ASRVPAmeriServ Financial Inc. AmeriServ Financial Trust I
- APO-AApollo Global Management LLC 6.375% Series A Preferred Shares
- APO-BApollo Global Management LLC 6.375% Series B Preferred Shares
- APOApollo Global Management LLC Class A Representing Class A Limitied Liability Company Interests
- AINVApollo Investment Corporation
- AFTApollo Senior Floating Rate Fund Inc.
- AIFApollo Tactical Income Fund Inc.
- ARCCAres Capital Corporation
- ARDCAres Dynamic Credit Allocation Fund Inc.
- ARES-AAres Management Corporation 7.00% Series A Preferred Stock
- ARESAres Management Corporation Class A
- APAMArtisan Partners Asset Management Inc. Class A
- ASAASA Gold and Precious Metals Limited
- AINCAshford Inc. (Holding Company)
- APBAsia Pacific Fund Inc. (The)
- B
- RILYB. Riley Financial Inc.
- BCSFBain Capital Specialty Finance Inc.
- SAN-BBanco Santander S.A. Floating Rate Non-cumulative Series 6 Guaranteed Preferred Securities
- BCV-ABancroft Fund Limited 5.375% Series A Cumulative Preferred Shares
- BCVBancroft Fund Ltd.
- BKBank of New York Mellon Corporation (The)
- BK-CBank Of New York Mellon Corporation (The) Dep Shs Repstg 1/4000th Perp Pfd Ser C
- MCIBarings Corporate Investors
- BGHBarings Global Short Duration High Yield Fund of Beneficial Interests
- MPVBarings Participation Investors
- BGIOBlackRock 2022 Global Income Opportunity Trust of Beneficial Interest
- BJZBlackrock California Municipal 2018 Term Trust
- BFZBlackRock California Municipal Income Trust
- CIIBlackrock Capital and Income Fund Inc.
- BKCCBlackRock Capital Investment Corporation
- BHKBlackrock Core Bond Trust
- HYTBlackrock Corporate High Yield Fund Inc.
- BTZBlackRock Credit Allocation Income Trust
- DSUBlackrock Debt Strategies Fund Inc.
- BGRBlackRock Energy and Resources Trust
- BDJBlackrock Enhanced Equity Dividend Trust
- BOEBlackrock Enhanced Global Dividend Trust of Beneficial Interest
- EGFBlackrock Enhanced Government Fund Inc.
- BGYBlackrock Enhanced International Dividend Trust
- FRABlackrock Floating Rate Income Strategies Fund Inc
- BGTBlackRock Floating Rate Income Trust
- BFOBlackrock Florida Municipal 2020 Term Trust
- BMEBlackrock Health Sciences Trust
- BLKBlackRock Inc.
- BKTBlackRock Income Trust Inc. (The)
- BKNBlackRock Investment Quality Municipal Trust Inc. (The)
- BLWBlackrock Limited Duration Income Trust
- BTABlackRock Long-Term Municipal Advantage Trust of Beneficial Interest
- BZMBlackRock Maryland Municipal Bond Trust of beneficial interest
- MHEBlackRock Massachusetts Tax-Exempt Trust
- BITBlackRock Multi-Sector Income Trust of Beneficial Interest
- MUIBlackrock Muni Intermediate Duration Fund Inc
- MNEBlackrock Muni New York Intermediate Duration Fund Inc
- MUABlackrock MuniAssets Fund Inc
- BPKBlackrock Municipal 2018 Term Trust
- BKKBlackrock Municipal 2020 Term Trust
- BTTBlackRock Municipal 2030 Target Term Trust
- BBKBlackrock Municipal Bond Trust
- BAFBlackRock Municipal Income Investment Quality Trust
- BBFBlackRock Municipal Income Investment Trust
- BYMBlackrock Municipal Income Quality Trust of Beneficial Interest
- BFKBlackRock Municipal Income Trust
- BLEBlackRock Municipal Income Trust II
- MENBlackrock MuniEnhanced Fund Inc
- MUCBlackrock MuniHoldings California Quality Fund Inc.
- MUHBlackrock MuniHoldings Fund II Inc.
- MHDBlackrock MuniHoldings Fund Inc.
- MFLBlackrock MuniHoldings Investment Quality Fund of Beneficial Interest
- MUJBlackrock MuniHoldings New Jersey Quality Fund Inc.
- MHNBlackrock MuniHoldings New York Quality Fund Inc.
- MUEBlackrock MuniHoldings Quality Fund II Inc.
- MUSBlackrock MuniHoldings Quality Fund Inc
- MVTBlackrock MuniVest Fund II Inc.
- MVFBlackrock MuniVest Fund Inc.
- MZABlackrock MuniYield Arizona Fund Inc.
- MYCBlackrock MuniYield California Fund Inc.
- MCABlackrock MuniYield California Quality Fund Inc.
- MYDBlackrock MuniYield Fund Inc.
- MYFBlackrock MuniYield Investment Fund
- MFTBlackrock MuniYield Investment Quality Fund of Beneficial Interest
- MIYBlackrock MuniYield Michigan Quality Fund Inc.
- MYJBlackrock MuniYield New Jersey Fund Inc
- MYNBlackrock MuniYield New York Quality Fund Inc.Common Stock
- MPABlackrock MuniYield Pennsylvania Quality Fund
- MQTBlackrock MuniYield Quality Fund II Inc.
- MYIBlackrock MuniYield Quality Fund III Inc
- MQYBlackrock MuniYield Quality Fund Inc.
- BLHBlackrock New York Municipal 2018 Term Trust
- BQHBlackrock New York Municipal Bond Trust of Beneficial Interest
- BSEBlackrock New York Municipal Income Quality Trust of Beneficial Interest
- BNYBlackRock New York Municipal Income Trust
- BFYBlackRock New York Municipal Income Trust II
- BCXBlackRock Resources of Beneficial Interest
- BSTBlackRock Science and Technology Trust of Beneficial Interest
- BSDBlackRock Strategic Municipal Trust Inc. (The)
- BBNBlackRock Taxable Municipal Bond Trust of Beneficial Interest
- TCPCBlackRock TCP Capital Corp.
- BUIBlackRock Utility Infrastructure & Power Opportunities Trust
- BHVBlackRock Virginia Municipal Bond Trust
- BGBBlackstone / GSO Strategic Credit Fund
- BGXBlackstone GSO Long Short Credit Income Fund
- BSLBlackstone GSO Senior Floating Rate Term Fund of Beneficial Interest
- BCORBlucora Inc.
- BIFBoulder Growth & Income Fund Inc.
- BWGBrandywineGLOBAL Global Income Opportunities Fund Inc.
- BSIGBrightSphere Investment Group plc
- BAMBrookfield Asset Management Inc.
- INFBrookfield Global Listed Infrastructure Income Fund Closed End Fund
- RABrookfield Real Assets Income Fund Inc.
- C
- GYBCABCO Series 2004-101 Trust Goldman Sachs Capital I Floating Rate Callable Certificates
- CHYCalamos Convertible and High Income Fund
- CHICalamos Convertible Opportunities and Income Fund
- CCDCalamos Dynamic Convertible & Income Fund
- CHWCalamos Global Dynamic Income Fund
- CGOCalamos Global Total Return Fund
- CSQCalamos Strategic Total Return Fund
- CNNECannae Holdings Inc.
- CSWCCapital Southwest Corporation
- CPTACapitala Finance Corp.
- IGRCBRE Clarion Global Real Estate Income Fund
- CENCenter Coast Brookfield MLP & Energy Infrastructure Fund
- CETCentral Securities Corporation
- CHNChina Fund Inc. (The)
- C-NCitigroup Capital XIII 7.875% Fixed rate Floating Rate trust Preferred Securities (TruPS)
- CBAClearBridge American Energy MLP Fund Inc.
- EMOClearBridge Energy Midstream Opportunity Fund Inc.
- CEMClearBridge MLP and Midstream Fund Inc.
- CTRClearBridge MLP and Midstream Total Return Fund Inc.
- GLVClough Global Dividend and Income Fund of beneficial interest
- GLQClough Global Equity Fund of Beneficial Interest
- GLOClough Global Opportunities Fund
- CMFNCM Finance Inc
- FOFCohen & Steers Closed-End Opportunity Fund Inc.
- INBCohen & Steers Global Income Builder Inc. of Beneficial Interest
- CNSCohen & Steers Inc
- UTFCohen & Steers Infrastructure Fund Inc
- LDPCohen & Steers Limited Duration Preferred and Income Fund Inc.
- MIECohen & Steers MLP Income and Energy Opportunity Fund Inc.
- RQICohen & Steers Quality Income Realty Fund Inc
- RNPCohen & Steers REIT and Preferred and Income Fund Inc.
- PSFCohen & Steers Select Preferred and Income Fund Inc.
- RFICohen & Steers Total Return Realty Fund Inc.
- STKColumbia Seligman Premium Technology Growth Fund Inc
- CLMCornerstone Strategic Value Fund Inc.
- CRFCornerstone Total Return Fund Inc. (The)
- CCTCorporate Capital Trust Inc.
- CIKCredit Suisse Asset Management Income Fund Inc.
- DHYCredit Suisse High Yield Bond Fund
- SRFCushing Energy Income Fund of Beneficial Interest
- SRVCushing MLP & Infrastructure Total Return Fund
- SZCCushing Renaissance Fund (The) of Beneficial Interest
- D
- DEXDelaware Enhanced Global Dividend of Beneficial Interest
- VCFDelaware Investments Colorado Municipal Income Fund Inc
- DDFDelaware Investments Dividend & Income Fund Inc.
- VMMDelaware Investments Minnesota Municipal Income Fund II Inc.
- VFLDelaware Investments National Municipal Income Fund
- KMMDeutsche Multi-Market Income Trust Common Sshares of Beneficial Interest
- KSTDeutsche Strategic Income Trust Shares of Beneficial Interest
- DHILDiamond Hill Investment Group Inc.
- DNIDividend and Income Fund
- DNPDNP Select Income Fund Inc.
- DSLDoubleLine Income Solutions Fund of Beneficial Interests
- DBLDoubleLine Opportunistic Credit Fund of Beneficial Interest
- DCFDreyfus Alcentra Global Credit Income 2024 Target Term Fund Inc.
- DHFDreyfus High Yield Strategies Fund
- DMBDreyfus Municipal Bond Infrastructure Fund Inc.
- DMFDreyfus Municipal Income Inc.
- DSMDreyfus Strategic Municipal Bond Fund Inc.
- LEODreyfus Strategic Municipals Inc.
- DTFDTF Tax-Free Income Inc.
- DPGDuff & Phelps Global Utility Income Fund Inc.
- DSEDuff & Phelps Select MLP and Midstream Energy Fund Inc.
- DUCDuff & Phelps Utility & Corporate Bond Trust Inc.
- KTFDWS Municipal Income Trust
- KSMDWS Strategic Municipal Income Trust
- E
- GRFEagle Capital Growth Fund Inc.
- EGIFEagle Growth and Income Opportunities Fund of Beneficial Interest
- ECCEagle Point Credit Company Inc.
- ECCBEagle Point Credit Company Inc. 7.75% Series B Term Preferred Stock due 2026
- ECCAEagle Point Credit Company Inc. Series A Term Preferred Stock due 2022
- EIAEaton Vance California Municipal Bond Fund II of Beneficial Interest $.01 par value
- EVMEaton Vance California Municipal Bond Fund of Beneficial Interest $.01 par value
- CEVEaton Vance California Municipal Income Trust Shares of Beneficial Interest
- EVEaton Vance Corporation
- ETVEaton Vance Corporation Tax-Managed Buy-Write Opportunities Fund of Beneficial Interest
- ETWEaton Vance Corporation Tax-Managed Global Buy-Write Opportunites Fund of Beneficial Interest
- EOSEaton Vance Enhance Equity Income Fund II
- EOIEaton Vance Enhance Equity Income Fundd Equity Income Fund Shares of Beneficial Interest
- EFTEaton Vance Floating Rate Income Trust of Beneficial Interest
- EFLEaton Vance Floating-Rate 2022 Target Term Trust of Beneficial Interest
- EFFEaton vance Floating-Rate Income Plus Fund of Beneficial Interest
- EHTEaton Vance High Income 2021 Target Term Trust of Beneficial Interest
- EVVEaton Vance Limited Duration Income Fund of Beneficial Interest
- MABEaton Vance Massachusetts Municipal Bond Fund of Beneficial Interest $.01 par value
- MMVEaton Vance Massachusetts Municipal Income Trust Shares of Beneficial Interest
- MIWEaton Vance Michigan Municipal Bond Fund of Beneficial Interest $.01 par value
- EMIEaton Vance Michigan Municipal Income Trust Shares of Beneficial Interest
- EIVEaton Vance Municipal Bond Fund II of Beneficial Interest $.01 Par Value
- EIMEaton Vance Municipal Bond Fund of Beneficial Interest $.01 par value
- ETXEaton Vance Municipal Income 2028 Term Trust of Beneficial Interest
- EVNEaton Vance Municipal Income Trust
- EOTEaton Vance Municipal Income Trust EATON VANCE NATIONAL MUNICIPAL OPPORTUNITIES TRUST
- EMJEaton Vance New Jersey Municipal Bond Fund Common Shres of Beneficial Interest $.01 par value
- EVJEaton Vance New Jersey Municipal Income Trust Shares of Beneficial Interest
- NYHEaton Vance New York Municipal Bond Fund II of Beneficial Interest $.01 par value
- ENXEaton Vance New York Municipal Bond Fund of Beneficial Interest $.01 par value
- EVYEaton Vance New York Municipal Income Trust Shares of Beneficial Interest
- EIOEaton Vance Ohio Municipal Bond Fundd of Befeficial Interest $.01 par value
- EVOEaton Vance Ohio Municipal Income Trust Shares of Beneficial Interest
- EIPEaton Vance Pennsylvania Municipal Bond Fund of Befeficial Interest $.01 par value
- EVPEaton Vance Pennsylvania Municipal Income Trust Shares of Beneficial Interest
- ETJEaton Vance Risk-Managed Diversified Equity Income Fund of Beneficial Interest
- EFREaton Vance Senior Floating-Rate Fund of Beneficial Interest
- EVFEaton Vance Senior Income Trust
- EVGEaton Vance Short Diversified Income Fund Duration Diversified Income Fund of Beneficial Interest
- EVTEaton Vance Tax Advantaged Dividend Income Fund of Beneficial Interest
- ETOEaton Vance Tax-Advantage Global Dividend Opp
- ETGEaton Vance Tax-Advantaged Global Dividend Income Fund of Beneficial Interest
- ETBEaton Vance Tax-Managed Buy-Write Income Fund of Beneficial Interest
- EXDEaton Vance Tax-Managed Buy-Write Strategy Fund of Beneficial Interest
- ETYEaton Vance Tax-Managed Diversified Equity Income Fund of Beneficial Interest
- EXGEaton Vance Tax-Managed Global Diversified Equity Income Fund of Beneficial Interest
- ECFEllsworth Growth and Income Fund Ltd.
- ECF-AEllsworth Growth and Income Fund Ltd. 5.25% Series A Cumulative Preferred Shares (Liquidation Preference $25.00 per share)
- ECPGEncore Capital Group Inc
- EQSEquus Total Return Inc.
- F
- FIIFederated Investors Inc.
- FMNFederated Premier Municipal Income Fund
- FMOFiduciary/Claymore Energy Infrastructure Fund of Beneficial Interest
- FDUSFidus Investment Corporation
- FDEUFirst Trust Dynamic Europe Equity Income Fund of Beneficial Interest
- FENFirst Trust Energy Income and Growth Fund
- FIFFirst Trust Energy Infrastructure Fund of Beneficial Interest
- FFAFirst Trust Enhanced Equity Income Fund
- FSDFirst Trust High Income Long Short Fund of Beneficial Interest
- FPFFirst Trust Intermediate Duration Preferred & Income Fund of Beneficial Interest
- FEIFirst Trust MLP and Energy Income Fund of Beneficial Interest
- FMYFirst Trust Motgage Income Fund of Beneficial Interest
- FPLFirst Trust New Opportunities MLP & Energy Fund of Beneficial Interest
- FIVFirst Trust Senior Floating Rate 2022 Target Term Fund of Beneficial Interest
- FCTFirst Trust Senior Floating Rate Income Fund II of Beneficial Interest
- FGBFirst Trust Specialty Finance and Financial Opportunities Fund
- FEOFirst Trust/Aberdeen Emerging Opportunity Fund of Beneficial Interest
- FAMFirst Trust/Aberdeen Global Opportunity Income Fund of Beneficial Interest
- SVVCFirsthand Technology Value Fund Inc.
- DFPFlaherty & Crumrine Dynamic Preferred and Income Fund Inc.
- PFDFlaherty & Crumrine Preferred Income Fund Incorporated
- PFOFlaherty & Crumrine Preferred Income Opportunity Fund Incorporated
- FFCFlaherty & Crumrine Preferred Securities Income Fund Incorporated
- FLCFlaherty & Crumrine Total Return Fund Inc
- FOCSFocus Financial Partners Inc.
- FTFFranklin Limited Duration Income Trust of Beneficial Interest
- BENFranklin Resources Inc.
- FTFranklin Universal Trust
- FSKFS KKR Capital Corp.
- G
- GCVGabelli Convertible and Income Securities Fund Inc. (The)
- GCV-BGabelli Convertible and Income Securities Fund Inc. (The) Series B 6.00% Cumulative Preferred Stock
- GDV-AGabelli Dividend & Income Tr Preferred Series A
- GDVGabelli Dividend & Income Trust of Beneficial Interest
- GDV-GGabelli Dividend 5.25% Series G Cumulative Preferred Shares par value $0.001 per share
- GDV-DGabelli Dividend Pfd Series D
- GABGabelli Equity Trust Inc. (The)
- GAB-JGabelli Equity Trust Inc. (The) 5.45% Series J Cumulative Preferred Stock
- GAB-HGabelli Equity Trust Inc. (The) Pfd Ser H
- GAB-DGabelli Equity Trust Inc. (The) Preferred Stock Series D
- GAB-GGabelli Equity Trust Inc. (The) Series G Cumulative Preferred Stock
- GGZ-AGabelli Global Small and Mid Cap Value Trust (The) 5.450% Series A Cumulative Preferred Shares (Liquidation Preference $25.00 per share)
- GGZGabelli Global Small and Mid Cap Value Trust (The) of Beneficial Interest
- GLUGabelli Global Utility of Beneficial Ownership
- GRX-AGabelli Healthcare PFD SER A
- GRX-BGabelli Healthcare Preferred Series B
- GGTGabelli Multi-Media Trust Inc. (The)
- GGT-EGabelli Multi-Media Trust Inc. (The) 5.125% Series E Cumulative Preferred Stock
- GGT-BGabelli Multi-Media Trust Inc. (The) Preferred Series B
- GUTGabelli Utility Trust (The)
- GUT-CGabelli Utility Trust (The) 5.375% Series C Cumulative Preferred Shares
- GUT-AGabelli Utility Trust (The) 5.625% Series A Cumulative Preferred Shares
- GGN-BGAMCO Global Gold Natural Reources & Income Trust 5.00% Series B Cumulative 25.00 Liquidation Preference
- GGNGAMCO Global Gold Natural Resources & Income Trust
- GBLGamco Investors Inc.
- GNTGAMCO Natural Resources Gold & Income Trust
- GNT-AGAMCO Natural Resources Gold & Income Tust 5.20% Series A Cumulative Preferred Shares (Liquidation Preference $25.00 per share)
- GARSGarrison Capital Inc.
- GDLGDL Fund The of Beneficial Interest
- GAM-BGeneral American Investors Company Inc. Cumulative Preferred Stock
- GAMGeneral American Investors Inc.
- GLADGladstone Capital Corporation
- GLADNGladstone Capital Corporation 6.00% Series 2024 Term Preferred Stock
- GAINGladstone Investment Corporation
- GAINMGladstone Investment Corporation 6.25% Series D Cumulative Term Preferred Stock
- GAINLGladstone Investment Corporation 6.375% Series E Cumulative Term Preferred Stock due 2025
- GAINNGladstone Investment Corporation 6.50% Series C Cumulative Term Preferred Stock Due 2022
- GAINOGladstone Investment Corporation 6.75% Series B Cumulative Term Preferred Stock
- ALLY-AGMAC Capital Trust I Fixed Rate Floating Rate Trust Preferred Securities Series 2
- GERGoldman Sachs MLP Energy Renaissance Fund
- GMZGoldman Sachs MLP Income Opportunities Fund
- GBDCGolub Capital BDC Inc.
- GECCGreat Elm Capital Corp.
- GECGreat Elm Capital Group Inc.
- GSVCGSV Capital Corp
- GGMGuggenheim Credit Allocation Fund of Beneficial Interest
- GPMGuggenheim Enhanced Equity Income Fund
- GOFGuggenheim Strategic Opportunities Fund of Beneficial Interest
- GBABGuggenheim Taxable Municipal Managed Duration Trust of Beneficial Interest
- H
- HLNEHamilton Lane Incorporated
- HCAPHarvest Capital Credit Corporation
- HNNAHennessy Advisors Inc.
- PCFHigh Income Securities Fund
- HFROHighland Income Fund
- HRZNHorizon Technology Finance Corporation
- I
- IFNIndia Fund Inc. (The)
- INSIInsight Select Income Fund
- VKIInvesco Advantage Municipal Income Trust II of Beneficial Interest (DE)
- VBFInvesco Bond Fund
- VCVInvesco California Value Municipal Income Trust
- VTAInvesco Credit Opportunities Fund of Beneficial Interest
- IHITInvesco High Income 2023 Target Term Fund of Beneficial Interest
- IHTAInvesco High Income 2024 Target Term Fund of Beneficial Interest No par value per share
- VLTInvesco High Income Trust II
- IVZInvesco Ltd
- OIAInvesco Municipal Income Opportunities Trust
- VMOInvesco Municipal Opportunity Trust
- VKQInvesco Municipal Trust
- VPVInvesco Pennsylvania Value Municipal Income Trust (DE)
- IQIInvesco Quality Municipal Income Trust
- VVRInvesco Senior Income Trust (DE)
- VGMInvesco Trust for Investment Grade Municipals (DE)
- VTNInvesco Trust for Investment Grade New York Municipals
- IIMInvesco Value Municipal Income Trust
- IVHIvy High Income Opportunities Fund of Beneficial Interest
- J
- JHGJanus Henderson Group plc
- JOFJapan Smaller Capitalization Fund Inc
- JEFJefferies Financial Group Inc.
- BTOJohn Hancock Financial Opportunities Fund
- HEQJohn Hancock Hedged Equity & Income Fund of Beneficial Interest
- JHSJohn Hancock Income Securities Trust
- JHIJohn Hancock Investors Trust
- HPFJohn Hancock Pfd Income Fund II Pfd Income Fund II
- HPSJohn Hancock Preferred Income Fund III Preferred Income Fund III
- HPIJohn Hancock Preferred Income Fund of Beneficial Interest
- PDTJohn Hancock Premium Dividend Fund
- HTDJohn Hancock Tax Advantaged Dividend Income Fund of Beneficial Interest
- HTYJohn Hancock Tax-Advantaged Global Shareholder Yield Fund of Beneficial Interest
- JPJupai Holdings Limited American Depositary Shares each representing six
- K
- KEDKayne Anderson Energy Development Company
- KMFKayne Anderson Midstream Energy Fund Inc
- KYNKayne Anderson MLP/Midstream Investment Company
- KYN-FKayne Anderson MLP/Midstream Investment Company 3.50% Series F Mandatory Redeemable Preferred Shares $25.00 Liquidation Preference per share
- KYEKayne Anderson Total Energy Return Fund Inc.
- KCAPKCAP Financial Inc.
- KKR-BKKR & Co. Inc. 6.50% Series B Preferred Stock
- KKR-AKKR & Co. Inc. 6.75% Series A Preferred Stock
- KKRKKR & Co. Inc. Class A
- KIOKKR Income Opportunities Fund
- KFKorea Fund Inc. (The)
- L
- LDFLatin American Discovery Fund Inc. (The)
- LGILazard Global Total Return and Income Fund
- LORLazard World Dividend & Income Fund Inc.
- LMLegg Mason Inc.
- USALiberty All-Star Equity Fund
- ASGLiberty All-Star Growth Fund Inc.
- SCDLMP Capital and Income Fund Inc.
- M
- MFDMacquarie First Trust Global
- MGUMacquarie Global Infrastructure Total Return Fund Inc.
- MCNMadison Covered Call & Equity Strategy Fund
- MSPMadison Strategic Sector Premium Fund of Beneficial Interest
- MAINMain Street Capital Corporation
- MMDMainStay MacKay DefinedTerm Municipal Opportunities Fund
- MZFManaged Duration Investment Grade Municipal Fund
- MNManning & Napier Inc. Class A
- MCCMedley Capital Corporation
- MDLYMedley Management Inc. Class A
- MTRMesa Royalty Trust
- MSBMesabi Trust
- MXEMexico Equity and Income Fund Inc. (The)
- MXFMexico Fund Inc. (The)
- MFCBMFC Bancorp Ltd.
- CCAMFS California Municipal Fund of Beneficial Interest
- MCRMFS Charter Income Trust
- MGFMFS Government Markets Income Trust
- CXEMFS High Income Municipal Trust
- CIFMFS Intermediate High Income Fund
- MINMFS Intermediate Income Trust
- CXHMFS Investment Grade Municipal Trust
- MMTMFS Multimarket Income Trust
- CMUMFS Municipal Income Trust
- MFMMFS Municipal Income Trust
- MFVMFS Special Value Trust
- HIEMiller/Howard High Income Equity Fund of Beneficial Interest
- MCMoelis & Company Class A
- APFMorgan Stanley Asia-Pacific Fund Inc.
- CAFMorgan Stanley China A Share Fund Inc.
- MSDMorgan Stanley Emerging Markets Debt Fund Inc.
- EDDMorgan Stanley Emerging Markets Domestic Debt Fund Inc.
- MSFMorgan Stanley Emerging Markets Fund Inc.
- IIFMorgan Stanley India Investment Fund Inc.
- MVCMVC Capital Inc.
- N
- NBWNeuberger Berman California Municipal Fund Inc
- NHSNeuberger Berman High Yield Strategies Fund
- NMLNeuberger Berman MLP Income Fund Inc.
- NBHNeuberger Berman Municipal Fund Inc.
- NBONeuberger Berman New York Municipal Fund Inc.
- NRONeuberger Berman Real Estate Securities Income Fund Inc.
- HYBNew America High Income Fund Inc. (The)
- GFNew Germany Fund Inc. (The)
- IRLNew Ireland Fund Inc (The)
- NMFCNew Mountain Finance Corporation
- NYCB-UNew York Community Bancorp Inc. Capital Tr V (BONUSES)
- NEWTNewtek Business Services Corp.
- NHFNexPoint Strategic Opportunities Fund
- NOAHNoah Holdings Limited
- NTRSNorthern Trust Corporation
- NTRSPNorthern Trust Corporation Depository Shares
- JMLPNuveen All Cap Energy MLP Opportunities Fund of Beneficial Interest
- NVGNuveen AMT-Free Municipal Credit Income Fund
- NUWNuveen AMT-Free Municipal Value Fund
- NEANuveen AMT-Free Quality Municipal Income Fund of Beneficial Interest Par Value $.01
- NAZNuveen Arizona Quality Municipal Income Fund
- NBDNuveen Build America Bond Opportunity Fund of Beneficial Interest
- NKXNuveen California AMT-Free Quality Municipal Income Fund
- NCBNuveen California Municipal Value Fund 2 of Beneficial Interest
- NCANuveen California Municipal Value Fund Inc.
- NACNuveen California Quality Municipal Income Fund
- NXCNuveen California Select Tax-Free Income Portfolio
- NTCNuveen Connecticut Quality Municipal Income Fund
- JCENuveen Core Equity Alpha Fund of Beneficial Interest
- JCONuveen Credit Opportunities 2022 Target Term Fund of Beneficial Interest
- JQCNuveen Credit Strategies Income Fund Shares of Beneficial Interest
- JDDNuveen Diversified Dividend and Income Fund Shares of Beneficial Interest
- DIAXNuveen Dow 30SM Dynamic Overwrite Fund of Beneficial Interest
- JEMDNuveen Emerging Markets Debt 2022 Target Term Fund of Beneficial Interest $0.01 par value per share
- JMFNuveen Energy MLP Total Return Fund of Beneficial Interest
- NEVNuveen Enhanced Municipal Value Fund of Beneficial Interest
- JFRNuveen Floating Rate Income Fund
- JRONuveen Floating Rate Income Opportuntiy Fund Shares of Beneficial Interest
- NKGNuveen Georgia Quality Municipal Income Fund
- JGHNuveen Global High Income Fund of Beneficial Interest
- JHYNuveen High Income 2020 Target Term Fund of Beneficial Interest
- JHANuveen High Income December 2018 Target Term Fund
- JHDNuveen High Income December 2019 Target Term Fund of Beneficial Interest
- JHBNuveen High Income November 2021 Target Term Fund
- NIDNuveen Intermediate Duration Municipal Term Fund of Beneficial Interest
- NMYNuveen Maryland Quality Municipal Income Fund
- NMTNuveen Massachusetts Quality Municipal Income Fund
- NUMNuveen Michigan Quality Municipal Income Fund
- NMSNuveen Minnesota Quality Municipal Income Fund
- NOMNuveen Missouri Quality Municipal Income Fund
- JLSNuveen Mortgage Opportunity Term Fund
- JMTNuveen Mortgage Opportunity Term Fund 2 of Beneficial Interest
- JMMNuveen Multi-Market Income Fund (MA)
- NHANuveen Municipal 2021 Target Term Fund Fund
- NZFNuveen Municipal Credit Income Fund
- NMZNuveen Municipal High Income Opportunity Fund $0.01 par value per share
- NMINuveen Municipal Income Fund Inc.
- NUVNuveen Municipal Value Fund Inc.
- QQQXNuveen NASDAQ 100 Dynamic Overwrite Fund
- NJVNuveen New Jersey Municipal Value Fund of Beneficial Interest
- NXJNuveen New Jersey Qualified Municipal Fund
- NRKNuveen New York AMT-Free Quality Municipal Income Fund
- NYVNuveen New York Municipal Value Fund 2 of Beneficial Interest
- NNYNuveen New York Municipal Value Fund Inc.
- NANNuveen New York Quality Municipal Income Fund
- NXNNuveen New York Select Tax-Free Income Portfolio
- NNCNuveen North Carolina Quality Municipal Income Fund
- NUONuveen Ohio Quality Municipal Income Fund
- NPNNuveen Pennsylvania Municipal Value Fund of Beneficial Interest
- NQPNuveen Pennsylvania Quality Municipal Income Fund
- JPCNuveen Preferred & Income Opportunities Fund
- JPSNuveen Preferred & Income Securities Fund
- JPTNuveen Preferred and Income 2022 Term Fund of Beneficial Interest
- JPINuveen Preferred and Income Term Fund of Beneficial Interest
- NADNuveen Quality Municipal Income Fund
- JRINuveen Real Asset Income and Growth Fund of Beneficial Interest
- JRSNuveen Real Estate Income Fund of Beneficial Interest
- BXMXNuveen S&P 500 Buy-Write Income Fund of Beneficial Interest
- SPXXNuveen S&P 500 Dynamic Overwrite Fund
- NIMNuveen Select Maturities Municipal Fund
- NXPNuveen Select Tax Free Income Portfolio
- NXQNuveen Select Tax Free Income Portfolio II
- NXRNuveen Select Tax Free Income Portfolio III
- NSLNuveen Senior Income Fund
- JSDNuveen Short Duration Credit Opportunities Fund of Beneficial Interest
- JTDNuveen Tax-Advantaged Dividend Growth Fund of Beneficial Interest
- JTANuveen Tax-Advantaged Total Return Strategy Fund of Beneficial Interest
- NBBNuveen Taxable Municipal Income Fund of Beneficial Interest
- NTXNuveen Texas Quality Municipal Income Fund
- NPVNuveen Virginia Quality Municipal Income Fund
- NIQNuveenn Intermediate Duration Quality Municipal Term Fund of Beneficial Interest
- O
- OAK-BOaktree Capital Group LLC 6.550% Series B Preferred Units
- OAK-AOaktree Capital Group LLC 6.625% Series A Preferred units
- OAKOaktree Capital Group LLC Class A Units Representing Limited Liability Company Interests
- OCSIOaktree Strategic Income Corporation
- OZMOch-Ziff Capital Management Group LLC Class A
- OFSOFS Capital Corporation
- OHAIOHA Investment Corporation
- OXLCMOxford Lane Capital Corp. 6.75% Series 2024 Term Preferred Stock
- OXLCOOxford Lane Capital Corp. Term Preferred Shares 7.50% Series 2023
- OXSQOxford Square Capital Corp.
- P
- PCMPCM Fund Inc.
- PFLTPennantPark Floating Rate Capital Ltd.
- PNNTPennantPark Investment Corporation
- GHYPGIM Global High Yield Fund Inc.
- ISDPGIM High Yield Bond Fund Inc.
- PCQPIMCO California Municipal Income Fund
- PCKPimco California Municipal Income Fund II of Beneficial Interest
- PZCPIMCO California Municipal Income Fund III of Beneficial Interest
- PTYPimco Corporate & Income Opportunity Fund
- PCNPimco Corporate & Income Strategy Fund
- PCIPIMCO Dynamic Credit and Mortgage Income Fund of Beneficial Interest
- PDIPIMCO Dynamic Income Fund
- PGPPimco Global Stocksplus & Income Fund StocksPlus & Income Fund of Beneficial Interest
- PHKPimco High Income Fund
- PKOPimco Income Opportunity Fund of Beneficial Interest
- PFNPIMCO Income Strategy Fund II
- PFLPIMCO Income Strategy Fund Shares of Beneficial Interest
- PMFPIMCO Municipal Income Fund
- PMLPimco Municipal Income Fund II of Beneficial Interest
- PMXPIMCO Municipal Income Fund III of Beneficial Interest
- PNFPIMCO New York Municipal Income Fund
- PNIPimco New York Municipal Income Fund II of Beneficial Interest
- PYNPIMCO New York Municipal Income Fund III of Beneficial Interest
- RCSPIMCO Strategic Income Fund Inc.
- HNWPioneer Diversified High Income Trust of Beneficial Interest
- PHDPioneer Floating Rate Trust Shares of Beneficial Interest
- PHTPioneer High Income Trust of Beneficial Interest
- MAVPioneer Municipal High Income Advantage Trust of Beneficial Interest
- MHIPioneer Municipal High Income Trust of Beneficial Interest
- PJCPiper Jaffray Companies
- PGZPrincipal Real Estate Income Fund of Beneficial Interest
- PRIF-APriority Income Fund Inc. 6.375% Series A Term Preferred Stock due 2025
- PSECProspect Capital Corporation
- PMMPutnam Managed Municipal Income Trust
- PIMPutnam Master Intermediate Income Trust
- PMOPutnam Municipal Opportunities Trust
- PPTPutnam Premier Income Trust
- PZNPzena Investment Management Inc Class A
- R
- RANDRand Capital Corporation
- UTGReaves Utility Income Fund of Beneficial Interest
- RCGRENN Fund Inc
- RIVRiverNorth Opportunities Fund Inc.
- OPPRiverNorth/DoubleLine Strategic Opportunity Fund Inc.
- RIFRMR Real Estate Income Fund (MD)
- RGTRoyce Global Value Trust Inc.
- RMTRoyce Micro-Cap Trust Inc.
- RVTRoyce Value Trust Inc.
- S
- SFESafeguard Scientifics Inc.
- SMMSalient Midstream of Beneficial Interest
- SARSaratoga Investment Corp New
- SCE-HSCE Trust III Fixed/Floating Rate Trust Preference Securities
- SEICSEI Investments Company
- SAMGSilvercrest Asset Management Group Inc.
- SLRCSolar Capital Ltd.
- SUNSSolar Senior Capital Ltd.
- SORSource Capital Inc.
- SCE-JSouthern California Edison Company 5.375% Fixed-to-Floating Rate Trust Preference Securities
- SCE-KSouthern California Edison Company 5.45% Fixed-to-Floating Rate Trust Preference Securities
- SPESpecial Opportunities Fund Inc
- SPE-BSpecial Opportunities Fund Inc. 3.50% Convertible Preferred Stock Series B
- FUNDSprott Focus Trust Inc.
- CEFSprott Physical Gold and Silver Trust Units
- PHYSSprott Physical Gold Trust ETV
- PSLVSprott Physical Silver Trust ETV
- STTState Street Corporation
- STT-CState Street Corporation Dep Shs Representing 1/4000 Ownership Int In Sh Non Cum (Perpertual Pfd Stk Ser C)
- STT-GState Street Corporation Depositary shares each representing a 1/4000th ownership interest in a share of Fixed-to-Floating Rate Non-Cumulative
- STT-DState Street Corporation Depositary Shares Series D
- STT-EState Street Corporation Depository Shares Series E
- SCMStellus Capital Investment Corporation
- EDFStone Harbor Emerging Markets Income Fund of Beneficial Interest
- EDIStone Harbor Emerging Markets Total Income Fund of Beneficial Interests
- BANXStoneCastle Financial Corp
- SWZSwiss Helvetia Fund Inc. (The)
- GJRSynthetic Fixed-Income Securities Inc. STRATS Trust for Procter&Gamble Securities Series 2006-1
- T
- TROWT. Rowe Price Group Inc.
- TWNTaiwan Fund Inc. (The)
- CGBDTCG BDC Inc.
- TSITCW Strategic Income Fund Inc.
- HQHTekla Healthcare Investors
- THQTekla Healthcare Opportunies Fund Shares of Beneficial Interest
- THWTekla World Healthcare Fund Shares of Beneficial Interest
- HQLTeklaLife Sciences Investors
- TDFTempleton Dragon Fund Inc.
- EMFTempleton Emerging Markets Fund
- TEITempleton Emerging Markets Income Fund Inc.
- GIMTempleton Global Income Fund Inc.
- BXThe Blackstone Group L.P. Representing Limited Partnership Interests
- CGThe Carlyle Group L.P.
- TCGPThe Carlyle Group L.P.
- CEEThe Central and Eastern Europe Fund Inc. (The)
- EEAThe European Equity Fund Inc.
- GLU-AThe Gabelli Global Utility and Income Trust Series A Cumulative Puttable and Callable Preferred Shares
- GLU-BThe Gabelli Global Utility and Income Trust Series B Cumulative Puttable and Callable Preferred Shares
- GGOThe Gabelli Go Anywhere Trust of Beneficial Interest
- GGO-AThe Gabelli Go Anywhere Trust Series A Cumulative Puttable and Callable Preferred Shares
- GRXThe Gabelli Healthcare & Wellness Trust of Beneficial Interest
- GDL-CThe GDL Fund Series C Cumulative Puttable and Callable Preferred Shares
- CUBAThe Herzfeld Caribbean Basin Fund Inc.
- TCRDTHL Credit Inc.
- TSLFTHL Credit Senior Loan Fund of Beneficial Interest
- NDPTortoise Energy Independence Fund Inc.
- NTGTortoise Midstream Energy Fund Inc.
- TTPTortoise Pipeline & Energy Fund Inc.
- TPZTortoise Power and Energy Infrastructure Fund Inc
- TSLXTPG Specialty Lending Inc.
- TYTri Continental Corporation
- TPVGTriplePoint Venture Growth BDC Corp.
- U
- GROWU.S. Global Investors Inc.
- V
- VCTRVictory Capital Holdings Inc.
- ZTRVirtus Global Dividend & Income Fund Inc.
- VGIVirtus Global Multi-Sector Income Fund of Beneficial Interest
- VRTSVirtus Investment Partners Inc.
- VRTSPVirtus Investment Partners Inc. 7.25% Series D Mandatory Convertible Preferred Stock
- ZFVirtus Total Return Fund Inc.
- IAEVoya Asia Pacific High Dividend Equity Income Fund ING Asia Pacific High Dividend Equity Income Fund of Beneficial Interest
- IHDVoya Emerging Markets High Income Dividend Equity Fund
- VOYAVoya Financial Inc.
- IGAVoya Global Advantage and Premium Opportunity Fund of Beneficial Interest
- IGDVoya Global Equity Dividend and Premium Opportunity Fund
- IDEVoya Infrastructure Industrials and Materials Fund of Beneficial Interest
- IIDVoya International High Dividend Equity Income Fund of Beneficial Interest
- IRRVoya Natural Resources Equity Income Fund of Beneficial Interest
- PPRVoya Prime Rate Trust Shares of Beneficial Interest
- W
- WDRWaddell & Reed Financial Inc.
- EODWells Fargo Global Dividend Opportunity Fund
- EADWells Fargo Income Opportunities Fund
- ERCWells Fargo Multi-Sector Income Fund no par value
- ERHWells Fargo Utilities and High Income Fund
- WEAWestern Asset Bond Fund Share of Beneficial Interest
- TLIWestern Asset Corporate Loan Fund Inc
- EMDWestern Asset Emerging Markets Debt Fund Inc
- GDOWestern Asset Global Corporate Defined Opportunity Fund Inc.
- EHIWestern Asset Global High Income Fund Inc
- HIXWestern Asset High Income Fund II Inc.
- HIOWestern Asset High Income Opportunity Fund Inc.
- HYIWestern Asset High Yield Defined Opportunity Fund Inc.
- WIAWestern Asset Inflation-Linked Income Fund
- WIWWestern Asset Inflation-Linked Opportunities & Income Fund
- SBIWestern Asset Intermediate Muni Fund Inc
- IGIWestern Asset Investment Grade Defined Opportunity Trust Inc.
- PAIWestern Asset Investment Grade Income Fund Inc.
- MMUWestern Asset Managed Municipals Fund Inc.
- DMOWestern Asset Mortgage Defined Opportunity Fund Inc
- MTTWestern Asset Municipal Defined Opportunity Trust Inc
- MHFWestern Asset Municipal High Income Fund Inc.
- MNPWestern Asset Municipal Partners Fund Inc.
- GFYWestern Asset Variable Rate Strategic Fund Inc.
- WHGWestwood Holdings Group Inc
- WHFWhiteHorse Finance Inc.
- WINSWins Finance Holdings Inc.
- WETFWisdomTree Investments Inc.
- X
- XFLTXAI Octagon Floating Rate & Alternative Income Term Trust of Beneficial Interest
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