Karen Barr
General Counsel
Investment Adviser Association

Valerie Baruch
Assistant General Counsel
Investment Adviser Association

Jeffrey Blumberg
Partner
Drinker Biddle & Reath LLP

Monique Botkin
Senior Counsel
Investment Adviser Association

Barbara Brooke Manning
Chief Compliance Officer
ClearBridge Advisors

Holly Butson
Chief Compliance Officer
BHR Fund Advisors L.P.

Michael Caccese
Partner
K&L Gates LLP

Christian Cannon
Associate
Sutherland Asbill & Brennan LLP

Cheryl Cargie
Senior Vice President, Head Trader
Ariel Investments, LLC

William Cavell
Vice President
Compliance Institute
National Regulatory Services

Patrick Collier
Managing Director and Head of Equity Trading
ClearBridge Advisors

Richard Cortese
Vice President, Educational Services
National Regulatory Services

Lawrence Cowen
Of Counsel
Shartsis Friese LLP

Patricia Cushing
Associate Director, Compliance
National Futures Assoication

Mederic Daigneault
Senior Consultant
National Regulatory Services

David Dickstein
Partner
K&L Gates LLP

Peter Driscoll
Branch of Investment Management/
Exams #4, Chicago Regional Office
U.S. Securities and Exchange Commission

Deborah Eades
Shareholder
Vedder, Price, Kaufman & Kammholz, P.C.

Kelly Fetzer
Associate
Drinker Biddle & Reath LLP

Wendy Fox
Vice President/Chief Compliance Officer
Ariel Investments, LLC

Shanyn Gillespie
Associate
Sutherland Asbill & Brennan LLP

Michael Glazer
Partner
Paul, Hastings, Janofsky & Walker LLP

Paul Glenn
Counsel
Investment Adviser Association

Houston Goddard
Chief Compliance Officer/Chief Legal Officer
Girard Securities

Helen Goff Foster
Counsel
Manatt, Phelps & Phillips, LLP

Erica Gould
Branch Chief, IA/IC Examination Program
San Francisco Regional Office
U.S. Securities and Exchange Commission

Renee Hardt
Shareholder
Vedder, Price, Kaufman & Kammholz, P.C.

Ivan Harris
Partner
Morgan Lewis & Bockius LLP

Ethan Johnson
Partner
Morgan, Lewis & Bockius LLP

Brian Kawakami
Chief Compliance Officer
Lazard Asset Management

Mary Keefe
Managing Director and Director of Compliance
Nuveen Investments, Inc.

Satish Kini
Partner
Goodwin Proctor LLP

Jennifer Klass
Partner
Morgan, Lewis & Bockius LLP

Susan Krawvzyk
Partner
Sutherland, Asbill & Brennan LLP

Rebecca Leon
Associate
Morgan, Lewis & Bockius LLP

David Lui
Chief Compliance Officer
FAF Advisors/First American Funds

Richard Marshall
Partner
Ropes & Gray LLP

William R. Meck
Founder and Managing Partner
Meck Compliance Consulting

Joseph McGill
Executive Director, Chief Compliance Officer
UBS Global Asset Management (Americas) Inc.

Janet McWilliams
Chief Compliance Officer
Driehaus Capital Management

Christopher Menconi
Member of Counsel
Morgan, Lewis & Bockius LLP

Christina Mickelson
Associate
Shartis Friese LLP

Mitchell Nichter
Partner
Paul, Hastings, Janofsky & Walker LLP

Rebecca O'Brien Radford
Partner
K&L Gates LLP

Ann Oglanian
President and Founder
ReGroup, LLC

Timothy Parker
General Counsel
Matthews International Capital Management

Monica Parry
Of Counsel
Morgan Lewis & Bockius LLP

David Pickle
Partner
K&L Gates LLP

Alan C. Porter
Partner
K&L Gates LLP

John Ruark
Partner
Lawrence, Kamin, Saunders & Uhlenhop, LLC

Stephen Saxon
Partner
Groom Law Group

Richard Smirl
Chief Compliance Officer, Chief Counsel
William Blair & Company L.L.C.

Robert Stirling
Senior Consultant, Investment Adviser Services
National Regulatory Services

Al Vermitsky
Chief Compliance Officer
Hennion & Walsh Inc.

John Walsh
Associate Director, Chief Counsel,
Office of Compliance Inspections and Examinations
U.S. Securities and Exchange Commission

Michael Wise
Partner
Lawrence, Kamin, Saunders & Uhlenhop, LLC

Michael Xifaras
Consultant, Investment Adviser Services
National Regulatory Services