6 NYSE. AMU or NASDAQ equity and Mutual Fund shares valued at less than $1 0.00 per share will be (pm a Maximum "'Avarice Rate of 0% (Zero) and trill not be accepted as Collateral. Advance rates for AluMal Funds are subject to other internal guidelines and exposure limits as in effect front time to Confidential Conlidentlal 44178v12 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0093342 SDNY_GM_00239526 EFTA01389084