Filed April 9, 2010

Serial No. 85010721

Registered Nov. 23, 2010

Registration No. 3,879,663

Class Financial services of brokers selling mutual funds to employer-sponsored 401(k) plans and other defined contribution plans subject to ERISA (Employee Retirement Income Security Act of 1974), namely, providing investment-related support and information to the plan sponsor and the plan's fiduciaries with respect to their duty to select, monitor and replace funds in the plan's investment menu, providing financial counseling, financial retirement planning services and asset allocation assistance to plan participants, and partnering with the plan sponsor to promote, facilitate and encourage retirement savings to plan participants; 100; 101; 102; 100; 101; 107

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