List of Participants and Participant Statements for Roundtable on Rule 12b-1

Participants

Brad M. Barber
Professor of Finance
University of California, Davis

Martin G. Byrne
Managing Director
Office of General Counsel
Merrill Lynch & Co., Inc.

Mark R. Fetting
Senior Executive Vice President
Legg Mason, Inc.

Matthew P. Fink   (statement)
Former President
Investment Company Institute

Joel H. Goldberg
Partner
Willkie Farr & Gallagher LLP

Richard W. Grant
Partner
Morgan, Lewis & Bockius LLP

Paul G. Haaga, Jr.
Vice Chairman
Capital Research and Management Company

John A. Hill
Independent Chairman
Putnam Funds

Mellody Hobson
President
Ariel Capital Management, LLC
Chairman
Ariel Mutual Funds Board of Trustees

Jeffrey C. Keil
Principal
Keil Fiduciary Strategies LLC

Kathryn Bradley McGrath
Partner
Mayer, Brown, Rowe & Maw LLP

John R. Morris
Senior Vice President
Charles Schwab & Co., Inc.

Avi Nachmany   (statement)
Director of Research, E.V.P.
Strategic Insight

Charles Nelson   (statement)
Senior Vice President
Great-West Retirement Services

Don Phillips
Managing Director
Morningstar, Inc.

Richard M. Phillips
Partner
Kirkpatrick & Lockhart Preston Gates Ellis LLP

Barbara Roper
Director of Investor Protection
Consumer Federation of America

Joseph R. Russo   (statement)
Chairman and Chief Executive Officer
Advantage Financial Group, Inc.

Thomas M. Selman
Executive Vice President
NASD

Michael J. Sharp
General Counsel
Citi Global Wealth Management

Robert W. Uek
Independent Trustee
MFS Funds

Shannon Zimmerman
Investment Analyst
The Motley Fool

http://www.sec.gov/spotlight/rule12b-1/rule12b-1-parts.htm