NSCP.ORG

Marc Gilman

Holly Orefice 5/21/24 Holly Orefice 5/21/24

Marc Gilman

General Counsel and VP of Compliance

Theta Lake

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Adam Leber

Holly Orefice 5/20/24 Holly Orefice 5/20/24

Adam Leber

Global Chief Compliance Officer

Morningstar

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Anthony Cavallaro

Holly Orefice 5/19/24 Holly Orefice 5/19/24

Anthony Cavallaro

Senior Director and Chief Compliance Officer

Robinhood Financial, LLC

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Doug Baxley

Holly Orefice 5/19/24 Holly Orefice 5/19/24

Doug Baxley

Chief Compliance Officer

Merit Financial Advisors

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Shachi Bhatt

Holly Orefice 5/19/24 Holly Orefice 5/19/24

Shachi Bhatt

Chief Compliance Officer

Office of the NYC Comptroller - Bureau of Asset Management

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Noël Barnes

Holly Orefice 5/19/24 Holly Orefice 5/19/24

Noël Barnes

Assistant General Counsel

Commonwealth Financial Network

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Sonia Chowdhury

Holly Orefice 5/19/24 Holly Orefice 5/19/24

Sonia Chowdhury

Regulatory SME

Independent Consultant

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Brad Anderson

Holly Orefice 5/19/24 Holly Orefice 5/19/24

Brad Anderson

Chief Compliance Officer

Diversity Advisor Network

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Dabney O’Riordan

Holly Orefice 5/19/24 Holly Orefice 5/19/24

Dabney O’Riordan

Partner

Quinn Emanuel Urquhart & Sullivan LLP

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Ivy Duke

Holly Orefice 5/19/24 Holly Orefice 5/19/24

Ivy Duke

General Counsel

ImpactAssets, Inc.

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Hope Brown

Holly Orefice 5/19/24 Holly Orefice 5/19/24

Hope Brown

Executive Director, Legal and Compliance and Chief Compliance Officer

Calvert Research and Management

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Katrina Berishaj

Holly Orefice 5/19/24 Holly Orefice 5/19/24

Katrina Berishaj

Counsel

Stradley Ronon

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Frank Sensenbrenner

Holly Orefice 5/18/24 Holly Orefice 5/18/24

Frank Sensenbrenner

Senior Specialized Examiner

U.S. Securities & Exchange Commission

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Adam Aderton

Holly Orefice 5/18/24 Holly Orefice 5/18/24

Adam Aderton

Partner

Willkie Farr & Gallagher

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Lyman Terni

Holly Orefice 5/17/24 Holly Orefice 5/17/24

Lyman Terni

CISO

Havoc Defense, LLC

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Kurt Lofgren

Holly Orefice 5/17/24 Holly Orefice 5/17/24

Kurt Lofgren

Chief Compliance Officer

J.W. Cole Financial and J.W. Cole Advisors

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Robin Freeman

Holly Orefice 5/17/24 Holly Orefice 5/17/24

Robin Freeman

Chief Compliance Officer

LaSalle Investment Management

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Carie Heckler

Holly Orefice 5/17/24 Holly Orefice 5/17/24

Carie Heckler

Chief Compliance Officer

Lion Street Financial

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Margaret Dubil

Holly Orefice 5/17/24 Holly Orefice 5/17/24

Margaret Dubil

Director of PCG Surveillance

Stifel

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James Clements

Holly Orefice 5/16/24 Holly Orefice 5/16/24

James Clements

Chief Compliance Officer

Carson Group

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