Plunkett Research^®, Ltd.

U.S. Investment & Securities Industry Overview

Amount

Units

Date

Source

Estimated Total Assets of 401(k) Plans, 2010

3.0

Tril. US$

2010

ICI

Estimated Total Assets of 401(k) Plans, Q2 2011

3.2

Tril. US$

Jun-11

ICI

Estimated Total Participants in 401(k) Plans

49.0

Million

2009

EBRI/ICI

Percent of 401(k) Plans Invested in Mutual Funds

60.9

%

Jun-11

ICI

Interest Rate on 3-Month Treasuries (Average)

0.05

%

2011

UST

Interest Rate on 10-Year Treasuries (Average)

2.81

%

2011

UST

Total Corporate Underwritings, U.S.

1,480.0

Bil. US$

2010

TR

Total Corporate Underwritings, U.S. (YTD 2011)

1,327.8

Bil. US$

Nov-11

TR

Total Municipal Bond Underwriting, U.S.

433.1

Bil. US$

2010

TR

Total Municipal Bond Underwriting, U.S. (YTD 2011)

266.9

Bil. US$

Nov-11

TR

Total Revenue Bonds

283.4

Bil. US$

2010

TR

Total General Obligations

147.0

Bil. US$

2010

TR

Total Mutual Fund Assets, U.S.

11,660.5

Bil. US$

Oct-11

ICI

Equity

5,355.7

Bil. US$

Oct-11

ICI

Hybrid

845.1

Bil. US$

Oct-11

ICI

Bond

2,851.8

Bil. US$

Oct-11

ICI

Money Market

2,607.9

Bil. US$

Oct-11

ICI

ETF Assets, U.S.

1,054.9

Bil. US$

Oct-11

ICI

Average Daily Stock Market Volume

NYSE

1,391.4

Mil. Shares

Nov-11

NYSE

AMEX

332.8

Mil. Shares

Nov-11

AMEX

NASDAQ

1,857.0

Mil. Shares

Nov-11

NASDAQ

Average Daily Value Traded on the Stock Market

NYSE

40.1

Bil. US$

Nov-11

NYSE

NASDAQ

49.8

Bil. US$

Nov-11

NASDAQ

Employment In Companies Involved In Securities, Commodity Contracts & Investments, U.S.

807.4

Thousand

Oct-11

BLS

EBRI = Employee Benefits Research Institute

ICI = Investment Company Institute

UST = U.S. Dept. of the Treasury

BLS = U.S. Bureau of Labor Statistics

TR = Thomson Reuters

ETF = Exchange Traded Funds

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