| Dec. 20, 2022 | Bernard V. Canepa, Managing Director & Associate General Counsel, Securities Industry and Financial Markets Association |
| Dec. 9, 2022 | Sarah Kwak, Associate General Counsel & Office of General Counsel,
FINRA |
| Nov. 25, 2022 | Andrew Hartnett, NASAA President and Deputy Commissioner, Iowa Insurance Division |
| Nov. 23, 2022 | Eversheds Sutherland LLP |
| Nov. 23, 2022 | David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute |
| Nov. 22, 2022 | Hugh D. Berkson, President, Public Investors Arbitration Bar Association |
| Oct. 31, 2022 | Sandip Khosla, General Counsel, Two Sigma Securities, LLC |
| Oct. 31, 2022 | Kosha Dalal, Vice President and Associate General Counsel, FINRA |
| Oct. 25, 2022 | Mark Seffinger, Chief Compliance Officer, LPL Financial |
| Oct. 25, 2022 | Jennifer L. Szaro, CRCP, Chief Compliance Officer, XML Securities, LLC, et al. |
| Oct. 19, 2022 | Kevin Zambrowicz, Managing Director & Associate General Counsel, Securities Industry and Financial Markets Association and Bernard V. Canepa, Managing Director & Associate General Counsel, Securities Industry and Financial Markets Association |
| Sep. 6, 2022 | Christopher A. Iacovella, Chief Executive Officer, American Securities Association |
| Sep. 2, 2022 | The Huntington Investment Company Compliance Team |
| Aug. 25, 2022 | Andrew F. Viles, Chief Legal Officer, Canaccord Genuity LLC |
| Aug. 23, 2022 | Thomas M. Merritt, Deputy General Counsel, Virtu Financial, Inc. |
| Aug. 23, 2022 | Gavin Lucca, Manager, Branch Audit, Commonwealth Financial Network |
| Aug. 23, 2022 | Eversheds Sutherland LLP |
| Aug. 23, 2022 | Barbara Armeli, Managing Director, Chief Compliance Officer, Charles Schwab & Co., Inc. and Lynn Konop, Managing Director, Chief Compliance Officer, TD Ameritrade, Inc. |
| Aug. 23, 2022 | Karol Sierra-Yanez, Lead Counsel, Broker-Dealer and Investment Advisor Practice Group |
| Aug. 23, 2022 | Seth Miller, General Counsel, Chief Risk Officer, Cambridge Investment Research, Inc. |
| Aug. 23, 2022 | Gail Merken, Chief Compliance Officer, Fidelity Brokerage Services LLC; Janet Dyer, Chief Compliance Officer, National Financial Services LLC; and John McGinty, Chief Compliance Officer, Fidelity Distributor Company LLC |
| Aug. 23, 2022 | Michael S. Edmiston, Public Investors Advocate Bar Association |
| Aug. 23, 2022 | Kevin Zambrowicz, Managing Director & Associate General Counsel, Securities Industry and Financial Markets Association and Bernard V. Canepa, Managing Director & Associate General Counsel, Securities Industry and Financial Markets Association |
| Aug. 23, 2022 | Mark Sefflnger, Chief Compliance Officer, LPL Financial |
| Aug. 23, 2022 | David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Industry Regulatory Authority, Inc. |
| Aug. 23, 2022 | Mark Quinn, Director of Regulatory Affairs, Cetera Financial Group |
| Aug. 23, 2022 | Suzy Auletta, SVP, Chief Compliance Officer Chief Compliance Officer, Raymond James Financial Services, Inc. and Shawn Barko, SVP, Chief Compliance Officer, Raymond James & Associates, Inc. |
| Aug. 23, 2022 | Jim McHale, Executive Vice President, Head of WIM Compliance, Wells Fargo & Company and Robert Mulligan, Executive Vice President, Global Head of CIB Compliance, Wells Fargo & Company |
| Aug. 23, 2022 | Melanie Senter Lubin, North American Securities Administrators Association, Inc. |
| Aug. 22, 2022 | Jennifer A. Brunner, Chief Compliance Officer, ACA Foreside; Susan K. Moscaritolo, Chief Compliance Officer, ACA Foreside; Nanette K. Chern, Chief Compliance Officer, ACA Foreside; and Susan L. La Fond, Chief Compliance Officer, ACA Foreside |
| Aug. 19, 2022 | Peggy E. Chait, Managing Director, Integrated Solutions and Howard Spindel, Senior Managing Director, Integrated Solutions |
| Aug. 9, 2022 | Justin Dirico |
| Aug. 8, 2022 | Harmony Smith, Financial Advisor |
| Jul. 28, 2022 | Tamara K. Salmon, Associate General Counsel, Investment Company Institute |
