Published Indexes

Standard & Poors (GICS) NASDAQ/NYSE/AMEX RDG Indices
Dow Jones US Indexes (ICB) Dow Jones US Total Stock Market Other Indices

The SEC rules mandate the following:

A “published industry or line-of-business index” is one that is “accessible to the registrant’s security holders” and, if prepared by the registrant or an affiliate, is also “widely recognized and used.” Self-constructed indices (includes those prepared by a third party for the registrant and which are not “published”) are not prohibited or discouraged by Item 201(e).  However, they must be weighted by market capitalization (as are most published indices) and include identification of the component issuers.

*Please feel free to contact us for more information on these rules and interpretations.

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