EM Local Debt Fund / Page 4 LLP / iShares Barclays Short Treasury Bond Fund / DB Commodity Services LLC / Traded Index Funds / Dechert LLP / Sidley Austin Brown & Wood LLP / iShares S&P GSCI Commodity-Indexed Trust / Goldman Sachs & Co. / Growth Markets Equities / Underlying ETFs / Page 6 LLP / Page 3 LLP / Katten Muchin Rosenman LLP / Thailand Index Fund iShares MSCI Taiwan Index Fund / iShares Russell 2000 Index Fund / Bear Stearns Active ETF Trust / Bockius LLP / WisdomTree Asset Management Inc. / The Vanguard Group / Japan Equities / BUSINESS Dechert LLP / Foley & Lardner LLP / s&P / ALPS Distributors Inc. / Indonesia Index Fund iShares MSCI Singapore Index Fund / High Yield Corporate Bond Fund / Dow Jones / Adviser ALPS Advisors Inc. / Carter / Ledyard & Milburn LLP / PowerShares Actively Managed Exchange Traded Fund Trust / SPDR Barclays Capital / PageS LLP / ALPS Advisors Inc. / Year Treasury Bond Fund WisdomTree India Earnings Fund / The American Stock Exchange / iShares MSCI Singapore Index Fund iShares MSCI Malaysia / MSCI EAFE Value Index Fund / Vanguard Index Funds / Farr & Gallagher LLP / U.S. Treasuries Index ETF / Trust Actively Managed Fixed Income Exchange Traded Fund / Grail Advisors ETF Trust / StreetTRACKS Gold Trust / iShares Russell 1000 Index Fund / iShares FTSEfXinhua China 25 Index Fund / Management Inc. / IndexETF iShares MSCI Turkey Investable Market Index Fund / McGuire ofMorgan Lewis & BockillS LLP / ALPS ETF Trust / Page 7 LLP / iShares MSCI Mexico Investable Market Index Fund / Page 2 LLP / JPMorgan / Morgan Lewis & BockillS LLP / Page 8 LlP / AdvisorShares Trust / MSCI EAFE Growth Index Fund / Real Estate Index Fund / China 25 Index Fund WlSdomTree India Earnings Fund Fund / Walker LLP / Page 9 LlP / Clifford Chance US LLP / iShares Trust / Fund iShares MSCI Australia Index Fund / Morgan Lewis & Bockius LLP / /
Continent
Asia / /
Country
Thailand / Brazil / Australia / China / India / Taiwan / Mexico / Indonesia / Turkey / Malaysia / Russia / United States / Singapore / South Korea / /
Currency
USD / / /
Event
Business Partnership / Company Listing Change / Person Communication and Meetings / /
MarketIndex
MSCI Mexico Investable Market / Russell 2000 / NISCI / MSCI EAFE / FTSE China 25 / MSCI EAFE Growth / ETF / MSCI EAFE Value / MSCI Singapore Index Fund iShares MSCI Malaysia Index Fund iShares MSCI South Korea / MSCI Taiwan Index Fund iShares MSCI Hong Kong Index Fund Market Vectors Indonesia / MSCI Australia / Russell 1000 / MSCI South Korea Index Fund Market Vectors Indonesia IndexETF iShares MSCI Turkey Investable Market / /
Organization
PowerShares DB Gold Fund / office of Trading Practices and Processes / Division of Trading / DB Commodity Index Tracking Fund / Creation Unit / iShares Barclays Short Treasury Bond Fund / Securities and Exchange Commission / U.S. Treasury / Index Fund Vanguard MSCI Emerging MarketsETF iShares S&P GSCI Commodity-Indexed Trust / Year Treasury Bond Fund iShares Barclays 20+ Year Treasury Bond Fund / Fresco Index Shares Fund / Securities Industry Association / Division of Market Regulations / Products Committee / Board of Trustees / Josephine J. Tao Assistant Director Division of Trading / /
Person
W. John McGuire / Jack P. Drogin / Michael Schmidtberger / Ira Hammerman / Richard F. Morris / George T. Simon / Benjamin Haskin / Brian A. Bussey / Mary Joan Hoene / Catherine McGuire / Stuart Strauss / Domenick Pugliese / James A. Brigagliano / Stuart M. Strauss / Racquel L. Russell / James Brigagliano / Kathleen H. Moriarty / James A Brigagliano / Joseph Furey / Claire P. McGrath / Josephine J. Tao / JEREMY SENDEROWICZ / / /
Position
Assistant Director Division ofTrading and Markets / Vice President and Special Counsel / Assistant Director Division of Trading and Markets / investment adviser / Director ofthe Division of Market Regulation / Chief Counsel / Division of Market Regulation / Director / Division of Trading and Markets / Branch Chief / Deputy Director Division ofTrading and Markets / Director / Division of Market Regulation / President and General Counsel / Acting Associate Director / Division of Market Regulation / Assistant Chief Counsel / Division of Market Regulation / Adviser / Acting Co-Chief Counsel Division of Trading and Markets / Assistant Director / Division of Market Regulation / /
Request of ALPS ETF Trust for Exemptive, Interpretive or No-Action Relief from Rule lOb-I7 and Rules 101 and 102 of Regulation M promulgated under the Securities Exchange Act of 1934 for Index-Based ETF ofETFs