Code of Ethics in the Capital Markets Industry

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EQUUS TOTAL RETURN, INC. CODE OF ETHICS
Code of Ethics
EQUUS TOTAL RETURN, INC.
Capital Markets
2009
JOINT CODE OF ETHICS FOR PENNANTPARK FLOATING RATE CAPITAL LTD. PENNANTPARK INVESTMENT ADVISERS, LLC
Code of Ethics
PennantPark Floating Rate Capital Ltd.
Capital Markets
2011
JOINT CODE OF ETHICS FOR PENNANTPARK INVESTMENT CORPORATION PENNANTPARK INVESTMENT ADVISERS, LLC
Code of Ethics
PENNANTPARK INVESTMENT CORP
Capital Markets
2011
EQUUS TOTAL RETURN, INC. CODE OF ETHICS (Last revised August 7, 2009)
Code of Ethics
EQUUS TOTAL RETURN, INC.
Capital Markets
2010
EQUUS CAPITAL MANAGEMENTCORPORATION JOINT CODE OF ETHICS
Code of Ethics
EQUUS TOTAL RETURN, INC.
Capital Markets
2005