EFTA Document EFTA01372424

(a) (b) (c) (d) (e) (0 (9) (h) (i) (k) (I) (m) (n) (o) (P) r F r r -1 -1 -"I 1 "1 XI 1 r r r r F broker-dealer, municipal securities dealer, or government securities broker or dealer other investment adviser (including financial planners) registered municipal advisor registered security-based swap dealer major security-based swap participant commodity pool operator or commodity trading advisor (whether registered or exempt from registration) futures commission merc