| U.S. Investment & Securities Industry Overview |
| | Amount | Units | Date | Source |
| Estimated Total Assets of 401(k) Plans, 2008 | 2.4 | Tril. US$ | 2008 | ICI |
| Estimated Total Assets of 401(k) Plans, 2009 | 3.0 | Tril. US$ | Dec-09 | ICI |
| Estimated Total Participants in 401(k) Plans | 49.8 | Million | 2008 | EBRI/ICI |
| Percent of 401(k) Plans Invested in Mutual Funds | 46.5 | % | 2008 | ICI |
| Note: EBRI estimates that 401(k) plans lost up to 25% of their value in 2008, depending on job tenure. |
| Interest Rate on 3-Month Treasuries | 0.07 | % | 12/23/2009 | FR |
| Interest Rate on 10-Year Treasuries | 3.77 | % | 12/23/2009 | FR |
| Total Corporate Underwritings, U.S. | 1,168.5 | Bil. US$ | 2008 | T |
| Total Corporate Underwritings, U.S. (YTD 2009) | 1,092.0 | Bil. US$ | Oct-09 | T |
| Total Municipal Bond Underwriting, U.S. | 391.2 | Bil. US$ | 2008 | T |
| Total Municipal Bond Underwriting, U.S. (YTD 2009) | 334.6 | Bil. US$ | Oct-09 | T |
| Total Revenue Bonds | 276.7 | Bil. US$ | 2008 | T |
| Total General Obligations | 110.0 | Bil. US$ | 2008 | T |
| Total Mutual Fund Assets, U.S. | 10,688.3 | Bil. US$ | Oct-09 | ICI |
| Equity | 4,596.2 | Bil. US$ | Oct-09 | ICI |
| Hybrid | 604.5 | Bil. US$ | Oct-09 | ICI |
| Bond | 2,126.4 | Bil. US$ | Oct-09 | ICI |
| Money Market | 3,361.2 | Bil. US$ | Oct-09 | ICI |
| ETF Assets Under Management, U.S. | 739.0 | Bil. US$ | Nov-09 | SSGA |
| ETFs in Operation, U.S. | 802.0 | Bil. US$ | Nov-09 | SSGA |
| Average Daily Stock Market Volume |
| NYSE | 1,967.7 | Mil. Shares | Oct-09 | NYSE |
| AMEX | 365.1 | Mil. Shares | Oct-09 | AMEX |
| NASDAQ | 2,338.5 | Mil. Shares | Oct-09 | NASDAQ |
| Average Daily Value Traded on the Stock Market |
| NYSE | 49.3 | Bil. US$ | Oct-09 | NYSE |
| NASDAQ | 50.4 | Bil. US$ | Oct-09 | NASDAQ |
| Employment In Companies Involved In Securities, Commodity Contracts & Investments, U.S. | 795.2 | Thousand | Nov-09 | BLS |
| EBRI = Employee Benefits Research Institute | ICI = Investment Company Institute |
| FR = Board of Governors of the U.S. Federal Reserve | BLS = U.S. Bureau of Labor Statistics |
| T = Thomson Financial | SSGA = State Street Global Advisors |
| ETF = Exchange Traded Funds | | | | |
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| Source: Plunkett Research, Ltd. Copyright © 2010, All Rights Reserved |
| www.plunkettresearch.com |