EFTA Document EFTA01372369

(3) Do you sell products or provide services other than investment advice to your advisory clients? Rate Derivative Exchange Derivative . (c) Credit : Derivative (d) Equity Derivative (e) Commodity Derivative (f) Other Derivative Less than 10% yo yo yo % % % 10-149% $ $ % f yo yo yo yo % 150% or more $ $ yo 04 yo 0/0 04 04 Optional: Use the space below to provide a narrative description of the strategies and/or manner in which borrowings and derivatives are used in t