SEC Rule 15c2-11Restricted Securities

1 SEC Rule 15c2-11 Restricted Securities On September 28, 2021, new amendments to Rule 15c-211 under the Securities Exchange Act of 1934. went into effect to enhance investor protection and improve issuer transparency. These amendments restrict the ability of market makers to publish quotations for those companies that have not made required current financial and company information available to regulators and investors. Ahead of the regulatory enforcement date, TD Ameritrade will only accept orders to liquidate positions - ( no new buy orders) starting on or after September 3, 2021. Please note: Now that the amendment has officially gone into effect as of September 28, 2021, it may be more difficult to liquidate these Securities . Quoting and market liquidity may also be very limited. The list is below as of November 22, 2021 and is subject to change at any time. Symbol Cusip Company Name AACS 025199100 American Commerce Solutions, Inc. AAIIQ 01023E100 Alabama Aircraft Industries, Inc.

2 AASCF G01780108 ALL ACTIVE ASSET CAP LTD. AASL 03063J205 America's Suppliers, Inc. AATDF G0013T104 AA LTD. AATRL 00170F209 AMG Capital Trust II. AAVXF F00182109 Abivax SA. AAXT 00252R303 Aamaxan Transport Group, Inc. ABAKF Q0014D107 Aberdeen Asia-Pacific Income Investment Co. Ltd. ABBY 00287T308 Abby, Inc. ABDR 022909204 Ambassador Food Services Corp. ABDXF G00524101 Abingdon Health Ltd. ABENU 00790W103 Advanced Bioenergy LLC. ABEYF G00224108 Abbey Plc. ABFOF E0003D111 Abertis Infraestructuras SA. ABGOF E0002V179 Abengoa ABGOY 00289R102 Abengoa ABHBY 01543A109 Alfen Beheer ABILF G8789K124 Ability Inc. ABKB 02451T106 American Basketball Association, Inc. ABLE 003709102 Able Energy, Inc. ABLGF F02626103 Alten Boulogne-Billancourt ABNC 02407R105 American Bancorp, Inc. ABOIF Y0001Z104 Aboitiz Equity Ventures, Inc. ABPGF G0171W105 ALIBABA PICTURES GROUP Ltd. ABPPF Q0015N229 Abacus Property Group SEC Rule 15c2-11 Restricted Securities Symbol Cusip Company Name ABPR 00927Q102 Airborne Security & Protective Services, Inc.

3 ABRUF Q0320T101 AMERICAN PAC BURATE & LITHIUM LTD. ABSCF F0028W101 AB Science, Paris ABSOF Y00027105 ABS-CBN Holdings Corp ABTZY 003725306 Aboitiz Equity Ventures, Inc. ABVG 00831F101 Affinity Beverage Group, Inc. ABWN 00928L300 Airborne Wireless Network ABXWF 00258V118 ABAXX Technologies Inc. ABYB 023226103 Amboy Bancorporation ABZT 003695103 Ablaze Technologies, Inc. ABZUF 00400M206 Abzu Gold, Ltd. ACAVF 00440P409 ACE Aviation Holdings Inc. ACBCQ 013288105 Albina Community Bancorp ACCA 00389L104 Acacia Diversified Holdings, Inc. ACCEF J00076109 ACCRETE INC. ACEEU 00441B102 Ace Ethanol LLC. ACFL 001642107 AMC Financial Holdings, Inc. ACGI 022624100 Amacore Group, Inc. (The). ACGJ 000875104 ACI Global Corp. ACIBF E0011J100 ACCION IBEX 35 ETF FI. ACLD 004901104 Acquire Ltd. ACNE 016096109 Alice Consolidated Mines, Inc. ACNI 02520T103 American Community Newspapers, Inc. ACNV 00434W105 Accelera Innovations, Inc. ACOSF F0367L104 Archos ACRB 04521A109 Asia Carbon Industries, Inc.

4 ACSEF M01773106 ACS Motion Control, Ltd. ACTL 04300F105 Artec Global Media, Inc. ACUS 00511R854 Acusphere, Inc. ACWEF G8406H231 SSGA SPDR ETFS Europe I PLC. ADBN 030556104 Americana Distribution, Inc. ADCUF M0000W105 ADS CRUDE CARRIERS PLC. ADCV 00512R200 AD Capital , Inc. ADDC 006698203 Addmaster Corp. ADDXF H00479107 Addex Pharmaceuticals Ltd. ADEC 02152D103 Alternative Energy Development Corp. SEC Rule 15c2-11 Restricted Securities Symbol Cusip Company Name ADFS 025351107 American Defense Systems, Inc. ADFT 00687B105 Adfitech, Inc. ADGL 01677T106 AllDigital Holdings, Inc. ADGO 00775N102 Advantego Corporation ADHG 034224105 Ando Holdings Ltd. ADIA 00687W109 Adia Nutrition, Inc. ADKCF J0011Q109 Adeka Corp. ADKIL 007045107 Adkins Energy LLC. ADKT 007014103 Adirondack Trust Co. (Saratoga Springs, NY). ADLI 02744X104 American Medical Technologies, Inc. ADMV 00548E108 Adamas Ventures Inc. ADST 00737P104 AdStar, Inc. ADSV 01951W205 Allied Security Innovations, Inc.

5 ADTC 007521107 Advanced Deposition Technologies, Inc. ADTM 00652J208 Adaptive Medias, Inc. ADTR 01863R104 Alliance Media Holdings Inc. ADTY 00738D100 International, Inc. ADVC 00761J206 Advant-e Corp. ADVNF Q0141D111 ADVANCED NANO TECHNOLOGIES LTD. ADVT 007614100 Advantis Corporation ADVV 00787A106 Adveco Group Inc. ADVYF W0517S117 ADVERTY AB. ADYX 00784D103 Adynxx, Inc. AECFF 00505Y105 Action Energy Inc. AEDC 02563A102 American Energy Development Corp. AEDFF B0130A108 Aedifica Sicafi, Bruxelles AEEI 02566W101 American Environmental Energy, Inc. AEEX 04521X208 Asia Equity Exchange Group, Inc. AEFSF T9336A102 AEFFE SPA. AEGG 025636200 American Energy Group, Ltd. (THE). AEGY 02152E200 Alternative Energy Partners Inc. AEICF J00223107 Aeria, Inc. AEMC 039490206 Archer Entertainment Media Communications, Inc. AENG 00758C107 Advanced Engine Technologies, Inc. AEOMF Q0146K128 Aeon Metals Ltd. AERAY 69343R101 PJSC Aeroflot Russian Airlines SEC Rule 15c2-11 Restricted Securities Symbol Cusip Company Name AERN 000944207 AER Energy Resources, Inc.

6 AERZY 69343R309 PJSC Aeroflot Russian Airlines AESO 048539100 Atlantic Energy Solutions, Inc. AEXE 00887T302 Aim Exploration Inc. AFAP 001038108 AFA Protective Systems, Inc. AFBG 02589V106 American Fiber Green Products, Inc. AFCJF N01011118 AFC Ajax NV. AFCL 02341G108 Amcor Financial Corp. AFFL 00827A108 Affiliated Resources Corp. AFFN 00829L102 Affinity Networks, Inc. AFFS 032359861 AmTrust Financial Services, Inc. AFFT 032359853 AmTrust Financial Services, Inc. AFFWW 88034E120 TENERITY INC. AFFY 00826A109 Affymax, Inc. AFIPA 001683101 AMFI Corp. AFML 007772106 Aerofoam Metals, Inc. AFOVF Q09592108 Australian Foundation Investment Co AFPW 022201305 AlumiFuel Power Corp. AFRMF D0823F107 Alphaform AG. AFSIA 032359408 AmTrust Financial Services, Inc. AFSIB 032359507 AmTrust Financial Services, Inc. AFSIC 032359705 AmTrust Financial Services, Inc. AFSIM 032359846 AmTrust Financial Services, Inc. AFSIN 032359820 AmTrust Financial Services, Inc. AFSIP 032359887 AmTrust Financial Services, Inc.

7 AFTM 00831X102 AfterMaster, Inc. AFYG 00829M100 Affinity Gold Corp. AGATF 25154H566 Deutsche Bank Aktiengesellschaft AGCZ 034197202 Andes Gold Corp. AGGG 03704T109 Antilia Group Corp AGGHF 00856K100 Agrios Global Holdings Ltd. AGGX 03475U301 AngioGenex, Inc. AGHC 00774U107 Aeon Global Health Corp. AGLT 034625202 Angel Telecom Corp. AGOAF E0002V203 Abengoa AGOWF E0002V716 Abengoa SA. SEC Rule 15c2-11 Restricted Securities Symbol Cusip Company Name AGPDF X01416118 Amer Sports Oyi AGPL 03785B100 Apple Green Holding, Inc. AGRIP 00850L203 Agribank FCB. AGRRU 00851A107 Agra Resources LLC. AGRS 00854C100 Agristar, Inc. AGSM 82825R101 Silver Stream Mining Corp. AGTK 00856J202 Agritek Holdings, Inc. AGTT 035203108 Angstrom Technologies, Inc. AGUNF 039675103 Arctic Glacier Income Fund AGVDY 05349V308 Avangardco Investments Public Ltd., Co. AGVYY 05349V209 Avangardco Investments Public Ltd., Co. AHAG 020781100 Alpha Technologies Group, Inc. AHCD 039574108 Archival CD.

8 AHELF 02650G202 American Helium Inc. AHFCF 343449203 Flow Cap Corp. AHGIF 02090B102 Alternate Health Corp. AHII 02650U201 American Heritage International Inc. AHLD 04683P100 ATD New Holdings Inc. AIABF Y0029V101 AirAsia Group BHD. AIAPF G0519G101 Ascential Group Ltd. AIBEF G0177R100 Air Berlin plc AIBRF G0R4HJ106 AIB Group PLC. AICMF Y000YN105 AIM COML GROWTH LEASEHOLD REIT. AIDA 008721102 AIDA Pharmaceuticals, Inc. AIFIF G0532X107 Asia Financial Holdings Ltd. AIFM 00875A109 AIFarm Ltd. AIGI 04315X109 Artistmss International Group, Inc. AIKO 02155W207 Alternative Investment Corporation AINPF J00602102 Ain Pharmaciez Inc AIOM 05463W108 Axiom Holdings, Inc. AIOSF E0728T102 Atresmedia Corporacion De Medios De Comunicacion SA. AIPG 00145L109 AI TECHNOLOGY GROUP INC. AIRMF G0135T107 Airmate Cayman International Co Ltd. AISFF L021A4301 AMUNDI INDEX SOLUTIONS SICAV. AITA 982593105 Wunong Asia Pacific Company Limited AIVTF G0629M105 Aurora Investment Trust PLC. SEC Rule 15c2-11 Restricted Securities Symbol Cusip Company Name AKAVF 43758P108 HOMERUN RES INC.

9 AKBDY 009719303 Akbank Turk Anonim Sirketi AKRRF R6980X109 Philly Shipyard ASA. AKRTF R0138P118 Aker Solutions Holding ASA. AKSY 010196103 Aksys, Ltd. AKVA 040732109 Arkanova Energy Corp. ALAN 011612702 Alanco Technologies, Inc. ALAXL 020279105 Almacenes Exito ALCCF Q0182A109 Alicanto Minerals Ltd. ALCN G06055100 Atlantic Central Enterprise Ltd. ALGBF W0470R221 Alligator Bioscience AB. ALGLF 02009L100 ALMA GOLD INC. ALGWF 01861C109 Alliance Growers Corp ALIF 04314Q105 Artificial Life, Inc. ALIOF H0032X135 Actelion Ltd. ALKHF 01170T108 Alaska Hydro Corp. ALKN 01642L105 Alkane, Inc. ALLDF Y0040W104 ALLDAY MARTS INC. ALLN 019924208 Allin Corp. ALLPF W1552W104 Arocell AB Uppsala ALLVF N0R25F103 Altice Europe N V. ALMC 01626K206 Alimco Financial Corporation ALME 011295102 Alamo Energy Corp. ALMY 01374L109 Alchemy Creative, Inc. ALNRF G5960R100 Mediclinic Intl PLC. ALORY 016279101 Alior Bank SA. ALPC 02075V107 Alpha Investment Inc. ALPE 02072E108 alpha-En Corporation ALPKF P01703100 Alpek SAB DE CV.

10 ALRY 018265108 Allenergy Inc. ALSE 021152202 Alseres Pharmaceuticals, Inc. ALSRF D0378R100 Alstria Office AG, Hamburg ALVRQ M0861T118 Alvarion Ltd. ALVVF N0R25F111 Altice Europe N V. ALYE 02260T305 Aly Energy Services, Inc. AMAZ 02314N205 Amazing Energy Oil & Gas Co. SEC Rule 15c2-11 Restricted Securities Symbol Cusip Company Name AMBD 02755P107 American Mobile Dental Corp. AMBG 00166G104 AMBG INC. AMBKP 02503Q209 American Capital Trust I. AMCF 67086W105 Andatee China Marine Fuel Services Corp AMCUF Y0099Y126 Amata Corp. Public Co., Ltd. AMDHF Q2096E102 CardieX Ltd. AMDIF L021A4574 AMUNDI INDEX SOLUTIONS SICAV. AMGY 027462209 American Metal & Technology, Inc. AMHD 40435L104 HLK Biotech Holding Group, Inc. AMIN 02686Y300 American International Industries, Inc. AMIUF Y0200M102 Abra Mining & Industries AR. AMLC 023438104 Amelco Corp. AMLZF G0114P100 African Minerals Ltd. AMNE 02639T200 American Green Group, Inc. AMNZF G0387P100 AMBRIAN PLC. AMPCF Y0126C105 Amorepacific Group Inc.