| Jan. 12, 2023 | David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial
Services Institute |
| Jan. 12, 2023 | Andrew Hartnett, NASAA President and Deputy Commissioner, Iowa Insurance Division |
| Jan. 12, 2023 | Sandip Khosla, General Counsel, Two Sigma Securities, LLC |
| Dec. 23, 2022 | Sam Smith |
| Dec. 15, 2022 | Kosha Dalal, Vice President and Associate General Counsel, Office of General Counsel, Financial Industry Regulatory Authority, Inc. |
| Dec. 7, 2022 | Mark Quinn, Director of Regulatory Affairs, Cetera Financial Group |
| Dec. 7, 2022 | Eversheds Sutherland LLP for the Committee of Annuity Insurers |
| Dec. 7, 2022 | David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute |
| Dec. 7, 2022 | Andrew Hartnett, NASAA President and Deputy Commissioner, Iowa Insurance Division, North American Securities Administrators Association, Inc. |
| Dec. 7, 2022 | Hugh D. Berkson, President, Public Investors Arbitration Bar Association |
| Nov. 9, 2022 | Sarah Kwak, 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. 30, 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. 8, 2022 | Erica Green, Principal Chief Compliance Officer, Vanguard Marketing Corporation |
| Sep. 6, 2022 | Mark Quinn, Director of Regulatory Affairs, Cetera Financial Group |
| Sep. 6, 2022 | Eversheds Sutherland (US) LLP |
| Sep. 6, 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 | Mackenzie Connick, Legal Intern and Christine Lazaro, Director of the Securities Arbitration Clinic and Professor of Clinical Legal Education |
| Sep. 6, 2022 | Jennifer L. Szaro, CRCP, Chief Compliance Officer |
| Sep. 6, 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 |
| Sep. 6, 2022 | David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute |
| Sep. 6, 2022 | Karol Sierra-Yanez, Lead Counsel, Broker-Dealer and Investment Advisor Practice Group, MML Investors Services, LLC |
| Sep. 6, 2022 | Helen Barnhill, Teachers Insurance and Annuity Association of America |
| Sep. 6, 2022 | Justine E. Tobin, Managing Partner, Tobin & Company Investment Banking Group LLC |
| Sep. 6, 2022 | Christopher A. Iacovella, Chief Executive Officer,
American Securities Association |
| Sep. 6, 2022 | Jacqueline A. Beauprez, Senior Vice President, General Counsel and Chief Compliance, D.A. Davidson & Co. and Brian Zellner, Vice President, Director of Wealth Management Compliance, D.A. Davidson & Co. |
| Sep. 6, 2022 | Seth Miller, General Counsel, EVP, Risk Management, Chief Risk Officer, Cambridge Investment Research, Inc. |
| Sep. 6, 2022 | Michael S. Edmiston, President, PIABA |
| Sep. 6, 2022 | Erica Green, Principal, Chief Compliance Officer, Vanguard Marketing Corporation |
| Sep. 6, 2022 | Dee O' Neill, SVP, Head of Branch Examinations, Raymond James & Associates, Inc., Raymond James Financial Services, Inc. |
| Sep. 6, 2022 | Gail Merken, Chief Compliance Officer, Janet Dyer, Chief Compliance Officer, John McGinty, Chief Compliance Officer, Fidelity Investments |
| Sep. 6, 2022 | William A. Jacobson,Esq., Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic |
| Sep. 6, 2022 | Mark Steffinger, Chief Compliance Officer, LPL Financial |
| Sep. 6, 2022 | Gavin Lucca, Manager, Branch Audit, Commonwealth Financial Network® |
| Sep. 5, 2022 | Peggy E. Chait, Managing Director, Integrated Solutions and Howard Spindel, Senior Managing Director, Integrated Solutions |
| Sep. 5, 2022 | Brad Ziemba, Chief Compliance Officer, Finalis Securities LLC |
| Sep. 1, 2022 | Stefanie Reel, Mgr. of Operations Compliance - Liberty Capital Investment Corp. |
| Aug. 23, 2022 | Melanie Senter Lubin, North American Securities Administrators Association, Inc. |
