Serial Number: 79105516

Reg Number: 4266181

Word Mark: NIKKO ASSET MANAGEMENT

Translation: The English translation of the word "NIKKO" in the mark is "Japan being prosperous".

Goods and Services: IC 036. US 100 101 102. G & S: Banking services, namely, acceptance of deposits including substitute bond issuance and acceptance of fixed interval installment deposits; loans financing and discount of bills; domestic exchange settlement, namely, debit settlement services, credit to current accounts services and money collection services; liability guarantee in the nature of underwriting commercial collateral liability insurance and acceptance of bills in the nature of bill payment services and bill consolidation services; offering of securities subscriptions in the nature of hedge funds, private equity funds, securities and derivatives for others; private placement in the nature of hedge funds, private equity funds, securities and derivatives or others; securities offering in the nature of fund investment services featuring securities offered according to previously established criteria in order to maintain a predetermined level of payments to the account holder; financial services, namely, assisting others in the completion of financial transaction of securities or offering and transaction of private placement in the nature of hedge funds, private equity funds, securities and derivatives for others; securities brokerage, namely, buying and selling of securities; securities underwriting; financial services, namely, issuing of securities beneficiary certificates; instruction on trust assets investment; advisory services relating to investment decisions based on securities values or securities value analysis; advisory services relating to investment or investment decisions based on discretionary investment contract concerning securities; life insurance brokerage; providing information relating to life insurance; consultancy and advisory services for life insurance; agencies for non-life insurance

Mark Drawing Code: (5) WORDS, LETTERS, AND/OR NUMBERS IN STYLIZED FORM

Filing Date: 09/29/2011

Current Basis: 66A

Original Filing Basis: 66A

Owner: (REGISTRANT) SMBC Nikko Shoken Kabushiki Kaisha (SMBC Nikko Securities Inc.) CORPORATION JAPAN 3-1, Marunouchi 3-chome Chiyoda-ku Tokyo 100-8325 JAPAN

Attorney of Record: Mitchell E. Radin

Disclaimer: NO CLAIM IS MADE TO THE EXCLUSIVE RIGHT TO USE "ASSET MANAGEMENT" APART FROM THE MARK AS SHOWN

Description of Mark: Color is not claimed as a feature of the mark.

Type of Mark: SERVICE MARK

Register: PRINCIPAL

Live/Dead Indicator: LIVE

Prior Registrations: 3470287

SiteNo: 50021