| 40 Split Income Trust - Capital units |
SFO.UN |
Sandy McIntyre |
| 40 Split Income Trust - Preferred securities |
SFO.PR.A |
Sandy McIntyre |
| Alliance Split Income Trust - Capital units |
ASI.UN |
Sandy McIntyre
Michael Simpson |
| Alliance Split Income Trust - Preferred securities |
ASI.PR.A |
Sandy McIntyre
Michael Simpson |
| Balanced Class |
NCE520 |
Gordon Higgins |
| Balanced Fund |
NCE720 |
Gordon Higgins |
| Blue-Chip Income Trust |
SIT.UN |
Gordon Higgins |
| Canadian Energy Growth Class |
NCE501 |
Sandy McIntyre
Laura Lau |
| Canadian Energy Growth Fund |
NCE701 |
Sandy McIntyre
Laura Lau |
| Canadian Income Class |
NCE517 |
Sandy McIntyre
Michael Simpson |
| Canadian Income Deposit Notes Series 1 |
JHN601 |
Sandy McIntyre
J. Andrew Guy |
| Canadian Income Deposit Notes Series 2 |
JHN603 |
Sandy McIntyre
J. Andrew Guy |
| Canadian Income Deposit Notes Series 3 |
JHN605 |
Sandy McIntyre
J. Andrew Guy |
| Canadian Income Deposit Notes Series 4 |
JHN607 |
Sandy McIntyre
J. Andrew Guy |
| Canadian Income Deposit Notes Series 5 |
JHN609 |
Sandy McIntyre
J. Andrew Guy |
| Canadian Income Deposit Notes Series 6 |
JHN612 |
Sandy McIntyre
J. Andrew Guy |
| Canadian Income Deposit Notes Series 7 |
JHN614 |
Sandy McIntyre
J. Andrew Guy |
| Canadian Income Deposit Notes Series 8 |
JHN627 |
Sandy McIntyre
J. Andrew Guy |
| Canadian Income Deposit Notes Series 9 |
JHN630 |
Sandy McIntyre
J. Andrew Guy |
| Canadian Income Deposit Notes Total Return Class Series 1 |
JHN611 |
Sandy McIntyre
J. Andrew Guy |
| Canadian Income Deposit Notes Total Return Class Series 2 |
JHN616 |
Sandy McIntyre
J. Andrew Guy |
| Canadian Income Deposit Notes Total Return Class Series 3 |
JHN629 |
Sandy McIntyre
J. Andrew Guy |
| Canadian Income Deposit Notes Total Return Class Series 4 |
JHN632 |
Sandy McIntyre
J. Andrew Guy |
| Canadian Income Fund |
NCE717 |
Sandy McIntyre
Michael Simpson |
| Canadian Income Management Inc. - Debentures |
CAI.DB |
Sandy McIntyre |
| Canadian Income Management Trust - Trust units |
CNM.UN |
Sandy McIntyre |
| Canadian Income Management Trust - Warrants |
CNM.WT |
Sandy McIntyre |
| Canadian Resource Class |
NCE711 |
Kevin MacLean
Laura Lau |
| CAPVEST Income Corp. - Common shares |
CSV |
Sandy McIntyre
J. Andrew Guy |
| CAPVEST Income Corp. - Debentures |
CVS.DB |
Sandy McIntyre
J. Andrew Guy |
| China Fund |
CHZ.UN |
Halbis Capital Management (Hong Kong) Limited |
| Commercial and Industrial Securities Income Trust (COINS) |
COI.UN |
Sandy McIntyre
Michael Simpson |
| Commodities Income Trust |
SSJ.UN |
Sandy McIntyre
Diapason Commodities Management S.A. |
| Diversified Income Trust |
SDT.UN |
Sandy McIntyre |
| Diversified Income Trust II |
DTT.UN |
Sandy McIntyre |
| Diversified Preferred Share Trust |
DPS.UN |
Gordon Higgins |
| Diversified Total Return Fund |
NCE722 |
Gordon Higgins |
| Dividend Fund |
NCE723 |
Gordon Higgins |
| Equity Linked Y.I.E.L.D. Notes Series I |
JHN600 |
Gordon Higgins |
| FIDAC U.S. Mortgage Trust |
SSF.UN |
none |
| Focused 50 Income Fund |
NCE718 |
Sandy McIntyre
Michael Simpson |
| Focused Growth & Income Trust |
SFG.UN |
Sandy McIntyre |
| Global DiSCS Trust 2004-1 |
DST.UN |
Gordon Higgins |
| Global Dividend Growth Notes, R.O.C. Class, Series 1 |
JHN618 |
Gordon Higgins |
| Global Dividend Growth Notes, R.O.C. Class, Series 2 |
JHN620 |
Gordon Higgins |
| Global Dividend Growth Notes, R.O.C. Class, Series 3 |
JHN622 |
Gordon Higgins |
| Global Dividend Growth Notes, R.O.C. Class, Series 4 |
JHN624 |
Gordon Higgins |
| Global Dividend Growth Notes, R.O.C. Class, Series 5 |
JHN626 |
Gordon Higgins |
| Global Dividend Growth Notes, Total Return Class, Series 1 |
JHN617 |
Gordon Higgins |
| Global Dividend Growth Notes, Total Return Class, Series 2 |
JHN619 |
Gordon Higgins |
| Global Dividend Growth Notes, Total Return Class, Series 3 |
JHN621 |
Gordon Higgins |
| Global Dividend Growth Notes, Total Return Class, Series 4 |
JHN623 |
Gordon Higgins |
| Global Dividend Growth Notes, Total Return Class, Series 5 |
JHN625 |
Gordon Higgins |
| Global Index Income Trust |
SGT.UN |
Gordon Higgins |
| Global Real Estate Fund - Class F units |
N/A |
Sandy McIntyre
Dennis Mitchell |
| Global Real Estate Fund - Class F warrants |
N/A |
Sandy McIntyre
Dennis Mitchell |
| Global Real Estate Fund - Listed units |
GRE.UN |
Sandy McIntyre
Dennis Mitchell |
| Global Real Estate Fund - Listed warrants |
GRE.WT |
Sandy McIntyre
Dennis Mitchell |
| Global Small Cap Fund |
NCE725 |
Gordon Higgins |
| Global Value Fund |
NCE726 |
Gordon Higgins |
| Lazard Global Listed Infrastructure Fund |
GLS.UN |
Lazard Asset Management LLC (Lazard) |
| MBS Adjustable Rate Income Fund |
MTF.UN |
none |
| MBS Adjustable Rate Income Fund II |
MGS.UN |
Pacific Income Advisers Inc. |
| Mining Opportunities Class |
NCE524 |
Kevin MacLean |
| Money Market Class |
NCE519 |
Gordon Higgins |
| Money Market Fund |
NCE719 |
Gordon Higgins |
| Mortgage-Backed Securities Trust (CAD) |
MF.UN |
none |
| Multi Select Income Trust - Capital units |
MST.UN |
Sandy McIntyre |
| Multi Select Income Trust - Preferred securities |
MST.PR.A |
Sandy McIntyre |
| NCE Diversified Flow-Through (04) Limited Partnership |
Rolled over |
none |
| NCE Diversified Flow-Through (05) Limited Partnership |
Rolled over |
none |
| NCE Diversified Flow-Through (05-2) Limited Partnership |
Rolled over |
none |
| NCE Diversified Flow-Through (06) Limited Partnership |
Rolled over |
none |
| NCE Diversified Flow-Through (06-2) Limited Partnership |
Rolled over |
none |
| NCE Diversified Flow-Through (07) Limited Partnership |
N/A |
Kevin MacLean
Laura Lau |
| NCE Diversified Flow-Through (07-2) Limited Partnership |
N/A |
Kevin MacLean
Laura Lau |
| NCE Diversified Flow-Through (08) Limited Partnership |
N/A |
Kevin MacLean
Laura Lau |
| NCE Flow-Through (2001-2) Limited Partnership |
Rolled over |
none |
| NCE Flow-Through (2002-1) Limited Partnership |
Rolled over |
none |
| NCE Flow-Through (2002-2) Limited Partnership |
Rolled over |
none |
| NCE Flow-Through (2003) Limited Partnership |
Rolled over |
none |
| NCE Flow-Through (2003-2) Limited Partnership |
Rolled over |
none |
| NCE Flow-Through (2004) Limited Partnership |
Rolled over |
none |
| Oil Sands and Energy Mega-Projects Trust |
OSM.UN |
Sandy McIntyre
Laura Lau |
| Oil Sands Split Trust - Capital units |
OST.UN |
Gordon Higgins |
| Oil Sands Split Trust - Preferred securities |
OST.PR.A |
Gordon Higgins |
| Precious Metals and Mining Trust |
MMP.UN |
Kevin MacLean |
| Precious Metals Growth Class |
NCE503 |
Kevin MacLean |
| Precious Metals Growth Fund |
NCE703 |
Kevin MacLean |
| Premier Value Income Trust |
PVN.UN |
Sandy McIntyre |
| Primary Metals Corp. - Common shares |
PME |
Kevin MacLean |
| Primary Metals Corp. - Warrants |
PME.WT |
Kevin MacLean |
| Principal-Protected Blue Chip Notes I |
SSC101 |
Sandy McIntyre
Gordon Higgins |
| Principal-Protected Blue Chip Notes II |
SSC102 |
Sandy McIntyre
Gordon Higgins |
| Principal-Protected Blue Chip Notes III |
SSC103 |
Sandy McIntyre
Gordon Higgins |
| Principal-Protected Blue Chip Notes IV |
SSC104 |
Sandy McIntyre
Gordon Higgins |
| Principal-Protected Blue Chip Notes V |
SSC105 |
Sandy McIntyre
Gordon Higgins |
| Principal-Protected Blue Chip Notes VI |
SSC106 |
Sandy McIntyre
Gordon Higgins |
| Pro-Vest Growth & Income Fund |
PRG.UN |
Sandy McIntyre
Gordon Higgins |
| R.O.C. Canadian Income Deposit Notes Series 1 |
JHN602 |
Sandy McIntyre
J. Andrew Guy |
| R.O.C. Canadian Income Deposit Notes Series 2 |
JHN604 |
Sandy McIntyre
J. Andrew Guy |
| R.O.C. Canadian Income Deposit Notes Series 3 |
JHN606 |
Sandy McIntyre
J. Andrew Guy |
| R.O.C. Canadian Income Deposit Notes Series 4 |
JHN608 |
Sandy McIntyre
J. Andrew Guy |
| R.O.C. Canadian Income Deposit Notes Series 5 |
JHN610 |
Sandy McIntyre
J. Andrew Guy |
| R.O.C. Canadian Income Deposit Notes Series 6 |
JHN613 |
Sandy McIntyre
J. Andrew Guy |
| R.O.C. Canadian Income Deposit Notes Series 7 |
JHN615 |
Sandy McIntyre
J. Andrew Guy |
| R.O.C. Canadian Income Deposit Notes Series 8 |
JHN628 |
Sandy McIntyre
J. Andrew Guy |
| R.O.C. Canadian Income Deposit Notes Series 9 |
JHN631 |
Sandy McIntyre
J. Andrew Guy |
| REIT Fund |
NCE705 |
Sandy McIntyre
Dennis Mitchell |
| Rogers International Commodity Index Principal-Protected Notes Series I |
SSC151 |
Diapason Commodities Management S.A. |
| Rogers International Commodity Index Principal-Protected Notes Series II |
SSC152 |
Diapason Commodities Management S.A. |
| Select 50 S-1 Income Trust |
SON.UN |
Sandy McIntyre |
| Select 50 S-1 Income Trust II |
SDE.UN |
Sandy McIntyre |
| Small Cap Income Fund |
NCE721 |
Michael Simpson
Sandy McIntyre |
| Strategic Energy Fund |
SEF.UN |
Sandy McIntyre
Laura Lau |
| Total Strategy Fund |
TSF.UN |
Gordon Higgins
Kevin MacLean
Sandy McIntyre
C.A. Bancorp Inc. |