| Katherine S. Addleman Partner Haynes and Boone, LLP |
| James B. Adelman General Counsel Commonwealth Financial Network |
| Clifford J. Alexander Partner K&L Gates LLP |
| Brian T. Applegate Chief Compliance Officer ING DIRECT Investing & ShareBuilder Advisors |
| Adan D. Araujo Chief Compliance Officer Oak Hill Investment Management |
| Norman L. Ashkenas SVP, Chief Compliance Officer Fidelity Brokerage Services LLC |
| Lee D. Augsburger, CSCP Director, International Invesment Compliance Prudential Financial, Inc. |
| Susan F. Axelrod* Executive Vice President FINRA |
| James E. Ballowe, Jr. General Counsel E*TRADE Brokerage Holdings, Inc. |
| Glen P. Barrentine Special Counsel Cadwalader, Wickersham & Taft LLP |
| Lindi Beaudreault Counsel Shearman & Sterling LLP |
| Kenneth Bell Vice President, Audit Cetera Financial Group |
| J. Bradley Bennett* Executive Vice President of Enforcement FINRA |
| Nell M. Blatherwick Principal RCP Advisors, LLC |
| Jeffrey R. Blumberg Partner Fox, Hefter, Swibel, Levin & Carroll, LLP |
| Bradley J. Bondi Partner Cadwalader, Wickersham & Taft LLP |
| Jon E. Boustany Managing Director, Deputy General Counsel Legg Mason, Inc. |
| Andrew J. Bowden* Associate Director U.S. Securities and Exchange Commission |
| Torstein M. Braaten, CSCP CEO & CCO TriAct Canada Marketplace LP |
| Ndenisarya M. Bregasi Partner K&L Gates LLP |
| Rachel Buie Compliance Manager True North Advisors LLC |
| Michael D. Burns Chief Compliance Officer PrimeVest Financial Services Inc. |
| A. Brad Busscher General Counsel Incapital Holdings LLC |
| Michael S. Caccese Counsel K&L Gates LLP |
| Melissa Callison Vice President, Compliance Charles Schwab & Co., Inc. |
| Mark T. Carberry Partner Schuyler, Roche & Crisham, P.C. |
| Norman Champ* Associate Regional Director U.S. Securities and Exchange Commission |
| Christopher D. Charles President Wulff, Hansen & Co. |
| Richard T. Chase General Counsel RBC Capital Markets, LLC |
| Kenneth M. Cherrier VP, Director of Internal Supervision Waddell & Reed |
| Yvette Christman* Senior Manager National Futures Association |
| Mary E. Cobb Consultant M. E. Cobb Consulting |
| Patricia L. Cushing* Associate Director, Compliance National Futures Association |
| Jerry C. Danielson AVP/Director-Compliance Audit Lincoln Financial Group |
| Aaron D. De Angelis Chief Compliance Officer Spring Mountain Capital, LP |
| David A. DeMuro Deputy General Counsel, Compliance and Reg. AIG, Inc. |
| Carlo V. di Florio* Director, OCIE U.S. Securities and Exchange Commission |
| Terence W. Doherty Principal Stikeman Elliott LLP |
| William E. Donnelly Attorney at Law Murphy & McGonigle, P.C. |
| James R. Downing Vice President Compliance Manager J.P. Morgan Chase & Co. |
| Daniel A. Driscoll* Executive Vice-President, Chief Operating Officer National Futures Association |
| Ellen R. Drought Attorney Godfrey & Kahn S.C. |
| Jennifer A. Duggins Chief Compliance Officer Chilton Investment Company, LLC |
| Janet Epstein VP, Chief Compliance Officer Charles Schwab & Co., Inc. |
| Toni Evans Managing Director TD Asset Management Inc. |
| Steven Farmer Chief Compliance Officer Mesirow Advanced Strategies, Inc. |
| Charles H. Field Managing Director, Chief Legal Officer Allianz Global Investors Capital |
| David E. Fischer-Lodike Capital Markets & Operations Compliance Edward D. Jones & Company L.P. |
| Joseph E. Floren Partner Morgan, Lewis & Bockius LLP |
| Patricia E. Flynn, CSCP VP & Chief Compliance Officer INTECH |
| Kimberly Garber Principal CORE-CCO, LLC |
| Daniel M. Gallagher, Jr. Commissioner U.S. Securities and Exchange Commission |
| Jason M. Gordon Chief Compliance Officer FX Solutions, LLC |
| Ronald Gorgen Principal Edward Jones |
| John H. Goselin II Partner Duane Morris LLP |
| Barry Y. Greenberg General Counsel and Chief Compliance Officer Swank Capital |
| Joseph A. Hanczor General Counsel and CCO Spectrum Asset Management, Inc. |
| Steven W. Hansen Partner Bingham McCutchen LLP |
| Patricia M. Harrison Director of Compliance Simmons & Company International |
| Laurence Herman Gerson Lehrman Group, Inc. |
| Alan J. Herzog Senior Counsel Wells Fargo Advisors, LLC |
| Robert J. Hille Chief Compliance Officer and General Counsel Laird Norton Tyee |
| Susan L. Hoffman Partner Bingham McCutchen LLP |
| Craig M. Hughes Managing Director, CREG Charles Schwab & Co., Inc. |
| Ben A. Indek Partner Morgan, Lewis & Bockius LLP |
| Michelle L. Jacko, CSCP Chief Executive Officer Core Compliance & Legal Services, Inc. |
| J. Christopher Jackson Senior VP & General Counsel Calamos Investments |
| Edward J. Johnsen Partner DLA Piper LLP |
| Daniel S. Kahl* Assistant Director U.S. Securities and Exchange Commission |
| Bruce Karpati* Assistant Regulatory Director U.S. Securities and Exchange Commission |
| Keith Kessel Special Counsel Procope & Hornborg Ltd. Attorneys at Law/Compliance International, LLC |
| Ivan B. Knauer Partner Pepper Hamilton LLP |
| Elizabeth M. Knoblock Partner Mayer Brown LLP |
| Korrine N. Kohm Vice President Ascendant Compliance Management, Inc. |
| Daniel S. Konar II Associate Skadden, Arps, Slate, Meagher & Flom LLP |
| Lawrence Lafer Managing Director, Global Compliance/Chief Compliance Officer The Bank of New York Mellon Corporation |
| Deborah A. Lamb, CSCP Chief Compliance Officer McKinley Capital Management, LLC |
| Edmund M. Laskowski Vice President, PWI Field Compliance Fidelity Investments |
| Miriam Lefkowitz General Counsel Shufro, Rose & Co., LLC |
| Melinda G. LeGaye President MGL Consulting Corporation |
| Julius Lehman-Carbia* Associate Director U.S. Securities and Exchange Commission |
| Thomas P. Lemke General Counsel Legg Mason, Inc. |
| Steven G. Lentz Attorney Faegre Baker Daniels LLP |
| Charles Lerner Principal Fiduciary Compliance Associates LLC |
| Christopher Lewis Deputy General Counsel Edward Jones |
| Jeannette L. Lewis Principal Deloitte & Touche LLP |
| Nancy Lininger Founder/Consultant The Consortium |
| Gerald T. Lins General Counsel ING Investment Management Co. |
| Michele F. Lipschultz Manager, GCO/Compliance Training Thrivent Financial |
| Kurt W. Lofgren SVP and Chief Compliance Officer Ameriprise Financial Services, Inc. |
| Barbara Brooke Manning Chief Compliance Officer ClearBridge Advisors, LLC |
| Joseph M. Mannon Attorney at Law Vedder Price P.C. |
| Keith S. Marks Partner Ascendant Compliance Management, Inc. |
| Richard D. Marshall Partner Ropes & Gray LLP |
| Martha J. Matthews Matthews Lindsay Wolf Inc. |
| Dianne Mattioli Chief Compliance Officer EIM Management USA Inc. |
| Carolyn R. May Compliance Consultant Carolyn May Consulting |
| Joseph D. McDermott, CSCP Chief Compliance Officer Keeley Asset Management Corp. |
| Joseph M. McGill Executive Director & Chief Compliance Officer UBS Global Asset Management, Inc. |
| Thomas J. McGonigle Attorney at Law Murphy & McGonigle, P.C. |
| John D. McGovern VP, CCO Pruco Securities |
| Lynn M. McGrade Partner Borden Ladner Gervais LLP |
| Mike McVoy Chief Compliance Officer U.S. Bancorp Fund Services, LLC |
| Carol B. Moody Senior Portfolio Manager CalPERS |
| Helane L. Morrison General Counsel and Chief Compliance Officer Hall Capital Partners LLC |
| Daniel A. Murphy VP, Chief Compliance Officer PlanMember Securities Corporation |
| Mark H. Nicholas Counsel Cetera Financial Group |
| Diane P. Novak Chief Compliance Officer Toyota Financial Services |
| Richard M. Nummi General Counsel and Managing Consultant Nummi & Associates, P.A. |
| Margaret R.A. Paradis Partner Morris, Manning & Martin, LLP |
| Christopher P. Parrington Partner Foley & Mansfield, PLLP |
| Vinita Paul General Counsel and Chief Compliance Officer Heartland Advisors, Inc. |
| Robert E. Plaze Associate Director U.S. Securities and Exchange Commission |
| Manoj "Tito" K. Pombra Chief Compliance Officer Matthews International Capital Management, LLC |
| David W. Porteous Partner Ulmer & Berne LLP |
| Thomas K. Potter, III Partner Burr & Forman, LLP |
| John Ramsay Deputy Director U.S. Securities and Exchange Commission |
| Laura J. Rauman Principal Vista360, LLC |
| Adam J. Reback Chief Compliance Officer J. Goldman & Co., L.P. |
| Sander Ressler Chief Compliance Officer EMG Capital, LLC |
| Lori A. Richards Partner-Financial Services Regulatory Group PricewaterhouseCoopers |
| Scott E. Richter Managing Director/Associate General Counsel JPMorgan Asset Management |
| Z. Jane Riley, CSCP Compliance Officer The Leaders Group, Inc./TLG Advisors, Inc. |
| Wesley L. Ringo Senior Vice President, Chief Compliance Officer J.J.B. Hilliard, W.L. Lyons, LLC |
| David E. Rosedahl Attorney Briggs and Morgan, P.A. |
| John H. Roth Counsel and CCO Venor Capital Management LP |
| Lisa J. Roth CEO, CCO Keystone Capital Corporation |
| Henry Sanchez, Jr. Associate Director Oyster Consulting, LLC |
| Theodore J. Sawicki Partner, Securities Litgation Group Alston & Bird LLP |
| Peter Schifsky Chief Legal Officer LaCrosse Global Fund Services, A Wells Fargo Company |
| Stephen Selby Director, Regulatory Services LIMRA |
| Charles V. Senatore, CSCP Enterprise Chief Compliance Officer Fidelity Investments |
| Fred Shane Due Diligence Officer Commonwealth Financial Network |
| Kimberly Shaw Elliott Partner Roberts Elliott, LLP |
| Scott N. Sherman Attorney Baker, Donelson, Bearman, Caldwell & Berkowitz, PC |
| Linda A. Shirkey President The Advisor's Resource |
| Timothy M. Simons, CSCP Senior Managing Member Focus 1 Associates LLC |
| Christine M. Slate VP, Client Services & Chief Compliance Officer Barrett Capital Management, LLC |
| Andrew C. Small General Counsel Scottrade, Inc. |
| Holly H. Smith, CSCP Partner Sutherland Asbill & Brennan LLP |
| David M. Sobel Chief Compliance Officer, Exec. VP Abel/Noser Corp. |
| Jeffrey M. Squires Principal Vista360, LLC |
| John H. Sturc Partner Gibson, Dunn & Crutcher LLP |
| Lisa L. Tharpe Partner Foley & Lardner LLP |
| Stephen Thwaits Major Account Director (Audit, Compliance & Risk) Thomson Reuters |
| David J. Thelander Managing Director Promontory Financial Group, LLC |
| M. Catherine Tuckwell Chief Compliance Officer Scotia Asset Management L.P. |
| Robert Tull, CSCP Chief Compliance Officer CBRE Clarion Securities |
| Paul M. Tyrrell Of Counsel Bingham McCutchen LLP |
| Krien VerBerkmoes, III, CSCP VP/Broker Dealer Sales Practice VALIC Financial Advisors, Inc. |
| Karyn D. Vincent Consultant Vincent Performance Services LLC |
| Peter von Maur Director, Senior Counsel RBC Capital Markets, LLC |
| Christopher Walmsley Director & Senior Counsel, RBC Law Group RBC Capital Markets, LLC |
| John H. Walsh Partner Sutherland Asbill & Brennan LLP |
| Craig R. Watanabe, CSCP Financial Adviser Penniall & Associates, Inc. |
| Tracy K. Webb, CSCP Director of Compliance Division of Pension Investments and Cash Management |
| Harry J. Weiss Partner Wilmer Cutler Pickering Hale and Dorr LLP |
| Gwen K. Weithuas, CSCP Assistant Director Broker Dealer Compliance Northwestern Mutual Investment Services, LLC |
| Judy B. Werner Chief Compliance Officer Gardner Lewis Asset Management |
| Edward J. Wiles President Right Brain Financial Consulting, LLC |
| Michael Wise Partner Lawrence, Kamin, Saunders & Uhlenhop LLC |
| Michael D. Wolk Partner Bingham McCutchen LLP |
| Jennifer Woods Burke Principal CompliGuide, LLC |
| Pamela K. Ziermann, CSCP Senior Vice President Compliance Dougherty Financial Group LLC |
| Krista S. Zipfel President & CEO Advisor Solutions Group, Inc. |
