Reportable Securities
means the same as the term used in Rule 204A-1, and includes any common stock, preferred stock, closed-end investment company, Reportable Fund, debt securities, any put, call, straddle, option or privilege on any security or on any group or index of securities, security future2, any interest or instrument commonly known as a “security”, and any other investment contract or other instrument that is considered a “security” under Section 202(a) (18) of the Advisers Act. “Reportable Securities” also include ETFs. However, the term does not include the following: ● Direct obligations of the U.S. Government; ● Bankers’ acceptances, bank certificates of deposit, commercial paper and High Quality Short-Term Debt Instruments, including short term municipal bonds and repurchase agreements; ● Shares issued by money market funds; ● Shares issued by open-end funds other than Reportable Funds and ETFs3; and ● Shares issued by unit investment trusts (other than ETFs) that are invested exclusively in one or more open-end funds, none of which are Reportable Funds.
