june 23, 2011 chairman u.s. securities and exchange commission 100 · pdf filejune 23, 2011 ....

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June 23, 2011 The Honorable Mary L. Schapiro Chairman U.S. Securities and Exchange Commission 100 F Street NE Washington, DC 20549 Re: Petition Supporting a Fiduciary Standard for Financial Professionals Dear Chairman Schapiro: The Financial Planning Coalition (“the Coalition”) is pleased to send you a petition signed by more than 5,200 financial planning professionals urging the Securities and Exchange Commission (the Commission) to apply a fiduciary standard to anyone providing personalized investment advice to retail clients. 1 The Coalition, which consists of Certified Financial Planner Board of Standards, Inc. (CFP Board), the Financial Planning Association (FPA), and the National Association of Personal Financial Advisors (NAPFA), represents financial planning professionals across the country with diverse business and compensation models who are committed to acting in the best interest of their clients. The Coalition appreciates the leadership you have shown in your support of a fiduciary standard for advice provided to retail investors. We are deeply concerned that current regulations governing the delivery of personalized investment advice are insufficient to protect investors. A recent study conducted by the Coalition, the Consumer Federation of America, and other groups confirmed that investors remain confused about the advice they receive. 2 Retail investors do not understand the regulatory differences between broker-dealers and investment advisers, or the standards of care that apply to each. Most American investors mistakenly believe stockbrokers and insurance agents are required to act in the best interest of their clients. 1 In signing the petition, individuals were given the option not to provide personal information. Of those who signed the petition, approximately 787 chose this option. 2 Letter from Barbara Roper, Director of Investor Protection, Consumer Federation of America, Denise Voigt Crawford, President, North American Securities Administrators Association, David G. Tittsworth, Executive Director, Investment Adviser Association, Kevin R. Keller, CEO, CFP Board, Marvin W. Tuttle, Jr., Executive Director/CEO, FPA, Ellen Turf, CEO, NAPFA, and David P. Sloane, Senior Vice President, Government Relations and Advocacy, AARP, to the Honorable Mary L. Schapiro, Chairman, SEC (Sept. 15, 2010), available at http://sec.gov/comments/4-606/4606-2748.pdf.

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Page 1: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

June 23, 2011 The Honorable Mary L. Schapiro Chairman U.S. Securities and Exchange Commission 100 F Street NE Washington, DC 20549

Re: Petition Supporting a Fiduciary Standard for Financial Professionals Dear Chairman Schapiro: The Financial Planning Coalition (“the Coalition”) is pleased to send you a petition signed by more than 5,200 financial planning professionals urging the Securities and Exchange Commission (the Commission) to apply a fiduciary standard to anyone providing personalized investment advice to retail clients.1 The Coalition, which consists of Certified Financial Planner Board of Standards, Inc. (CFP Board), the Financial Planning Association (FPA), and the National Association of Personal Financial Advisors (NAPFA), represents financial planning professionals across the country with diverse business and compensation models who are committed to acting in the best interest of their clients. The Coalition appreciates the leadership you have shown in your support of a fiduciary standard for advice provided to retail investors. We are deeply concerned that current regulations governing the delivery of personalized investment advice are insufficient to protect investors. A recent study conducted by the Coalition, the Consumer Federation of America, and other groups confirmed that investors remain confused about the advice they receive.2

• Retail investors do not understand the regulatory differences between broker-dealers and investment advisers, or the standards of care that apply to each.

• Most American investors mistakenly believe stockbrokers and insurance agents are required to act in the best interest of their clients.

                                                            1 In signing the petition, individuals were given the option not to provide personal information. Of those who signed the petition, approximately 787 chose this option. 2 Letter from Barbara Roper, Director of Investor Protection, Consumer Federation of America, Denise Voigt Crawford, President, North American Securities Administrators Association, David G. Tittsworth, Executive Director, Investment Adviser Association, Kevin R. Keller, CEO, CFP Board, Marvin W. Tuttle, Jr., Executive Director/CEO, FPA, Ellen Turf, CEO, NAPFA, and David P. Sloane, Senior Vice President, Government Relations and Advocacy, AARP, to the Honorable Mary L. Schapiro, Chairman, SEC (Sept. 15, 2010), available at http://sec.gov/comments/4-606/4606-2748.pdf.

Page 2: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

• Retail investors overwhelmingly believe that all financial professionals who give personalized investment advice should be required to act in the best interest of their clients and disclose conflicts of interest.

For these reasons, the Coalition has advocated that the Commission use the authority granted under section 913 of the Dodd-Frank Wall Street Reform and Consumer Protection Act to establish a strong and uniform fiduciary standard of conduct for broker-dealers and investment advisers that is no less stringent than that under the Investment Advisers Act of 1940. The Coalition’s petition, the text of which is below, urges the Commission to move forward with this important rulemaking.

Fiduciary Standard for Financial Professionals We, the undersigned, believe a fiduciary standard should apply to anyone providing personalized investment advice to retail clients. Following a fiduciary standard is simple: it includes providing clients with advice that is in their best interest without regard to compensation or other interests. Full disclosure of all material conflicts of interest is essential, regardless of how the advisor is compensated. Most consumers assume their financial services providers are already required to provide advice that is in their best interest. Unfortunately, this is not the case. As a financial service provider, I can choose to operate under different regulatory structures, each with different standards and requirements for how I treat my clients. Some require me to put my clients’ financial interests ahead of my own, some do not. But there is no easy way for consumers to distinguish. In a report issued in January 2011, the SEC recommended that the fiduciary standard be extended to all professionals providing personalized investment advice. Requiring financial professionals to act under the fiduciary standard is a common sense way to greatly increase consumer financial protection. As a financial service provider, I believe that those who provide personalized investment advice to retail clients should be required to act in their clients’ best interests. I urge the SEC to enact a rule implementing a fiduciary standard so millions of American consumers can be guaranteed that the financial advice they’re getting is in their best interests.

The Financial Planning Coalition and thousands of financial planners across the nation believe that those who provide personalized investment advice to retail clients should be held to a fiduciary standard. Requiring advisors to act in their clients’ best interests should help restore the confidence of millions of American investors in the securities markets and facilitate the needed return to the markets as the economy continues to recover. We appreciate this opportunity to provide the attached petition and signatures. If you have any questions about the petition or the Financial Planning Coalition, please contact Marilyn Mohrman-Gillis, Managing Director, Public Policy and Communications, CFP Board, via telephone at (202) 379-2235 or via e-mail at [email protected]; Dan Barry, Managing Director of Government Relations and Public Policy, FPA, via telephone at (202) 449-6343 or via e-mail at [email protected]; or Karen Nystrom, Manager of Public Policy and Advocacy, NAPFA, via telephone at (847) 483-5182 or via e-mail at [email protected].

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Page 3: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Respectfully submitted,

Kevin R. Keller Chief Executive Officer CFP Board

Marvin W. Tuttle, Jr. Executive Director/CEO FPA

Ellen Turf Chief Executive Officer NAPFA

cc: The Honorable Kathleen L. Casey, Commissioner

The Honorable Elisse B. Walter, Commissioner The Honorable Luis A. Aguilar, Commissioner The Honorable Troy A. Paredes, Commissioner Ms. Eileen Rominger, Director, Division of Investment Management Mr. Robert W. Cook, Director, Division of Trading and Markets Senator Daniel Inouye, President Pro Tempore, United States Senate Senator Harry Reid, Majority Leader, United States Senate Senator Mitch McConnell, Minority Leader, United States Senate Senator Richard Durbin, Assistant Majority Leader, United States Senate Senator Jon Kyl, Assistant Minority Leader, United States Senate Representative John Boehner, Speaker, United States House of Representatives Representative Eric Cantor, Majority Leader, United States House of Representatives Representative Kevin McCarthy, Majority Whip, United States House of Representatives Representative Nancy Pelosi, Democratic Leader, United States House of Representatives Representative Steny Hoyer, Democratic Whip, United States House of Representatives Representative Jeb Hensarling, Republican Conference Chairman, United States House of Representatives Representative Tom Price, Republican Policy Committee Chairman, United States House of Representatives Representative James Clyburn, Assistant Democratic Leader, United States House of Representatives Representative John Larson, Democratic Caucus Chairman, United States House of Representatives Members of the United States Senate Committee on Banking, Housing and Urban Affairs Members of the House Committee on Financial Services 

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Page 4: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Financial Planning Coalition Petition:

To: Securities and Exchange Commission Subject: SEC: Extend the Fiduciary Standard to Broker-Dealers

Dear Securities and Exchange Commission Chairman Schapiro and Commissioners: We, the undersigned, believe a fiduciary standard should apply to anyone providing personalized investment advice to retail clients. Following a fiduciary standard is simple: it includes providing clients with advice that is in their best interest without regard to compensation or other interests. Full disclosure of all material conflicts of interest is essential, regardless of how the advisor is compensated. Most consumers assume their financial services providers are already required to provide advice that is in their best interest. Unfortunately, this is not the case. As a financial service provider, I can choose to operate under different regulatory structures, each with different standards and requirements for how I treat my clients. Some require me to put my clients’ financial interests ahead of my own, some do not. But there is no easy way for consumers to distinguish. In a report issued in January 2011, the SEC recommended that the fiduciary standard be extended to all professionals providing personalized investment advice. Requiring financial professionals to act under the fiduciary standard is a common sense way to greatly increase consumer financial protection. As a financial service provider, I believe that those who provide personalized investment advice to retail clients should be required to act in their clients’ best interests. I urge the SEC to enact a rule implementing a fiduciary standard so millions of American consumers can be guaranteed that the financial advice they’re getting is in their best interests. Visit the Financial Planning Coalition at www.financialplanningcoalition.com

Page 5: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Petition Signatures:

Name City and State Date A, BRUCE CARRI CONCORD, NH 04/25/11A. DALE ZINN 06/10/11A. Perry Hubbs II, MBA, CFP® Tarpon Springs, FL 05/03/11A. Wayne Cranfill CFP(r) 06/15/11A. Webster Hewitt 06/02/11Aaron Coates Goshen, IN 05/26/11Aaron Jackson, CFP 06/02/11Aaron Kolkman St Louis Park, MN 05/27/11Abigail Kovach Lafayette, CO 05/26/11Adam Cornwell 06/15/11Adam Mosbach 06/02/11Adam Obrecht Waukee, IA 05/04/11Adam Schwallier Grand Rapids, MI 04/25/11Adil Masani 06/11/11Afolabi Odejimi Phoenix, AZ 04/25/11Ajamu C. Loving, Ph.D. 06/15/11Akio L. Bley, CFP(r) 06/11/11Al Whalen 06/12/11Alan Adducci Naperville, IL 04/25/11Alan Brennecke 06/10/11Alan Campbell Lancaster, PA 04/26/11Alan De Michele Croton on Hudson, NY 04/25/11alan friedberg bedford, NH 04/25/11Alan Gammel Tacoma, WA 05/03/11alan goldfarb dallas, TX 04/25/11Alan Goodstein encino, CA 04/25/11Alan H. Cohn CFP Hauppauge, NY 04/25/11Alan Haggard San Diego, CA 04/27/11ALAN HEWITT CFP EA PALMDALE, CA 05/04/11Alan J. Baron 06/01/11Alan Lee Mill Valley, CA 05/05/11Alan MacFarlane Minneapolis, MN 05/01/11Alan McKnight Duluth, GA 05/26/11Alan Moore Rapid City, SD 04/25/11Alan Rupp 06/02/11Alan Schapire Media, PA 04/25/11Alan Segal Raleigh, NC 04/26/11Alan Smith Eureka, MO 05/03/11

Page 6: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Alan T. Matsuda 06/11/11alan tucker hoffman estates, IL 04/25/11alan whitby miami, FL 05/03/11alan zevin neshanic station, NJ 05/06/11Albert Gelsthorpe Needham, MA 05/31/11Albert Mah Como, Australia 04/27/11Alberta Jones Asbury Park, NJ 05/08/11Alberto Zarraluqui Sarasota, FL 04/25/11Alex Gonzalez 06/09/11Alex Myers Westmin, MD 04/26/11alexander feick denver, CO 05/31/11Alexander H. Sickert 06/15/11Alexander Hernandez 06/13/11Alexander Kimura Torrance, CA 05/05/11Alexander Navarro Key Biscayne, FL 04/25/11Alexander Zeltser Lutherville, MD 04/25/11Alfred Olsen Spokane, WA 05/05/11Alfredo Ocasio Howard Beach, NY 04/25/11Alfredo Perez Rincon, PR 04/26/11Alicia Guevara Buenos Aires, Argentina 04/27/11Alicia Ivancovich 06/10/11Allan Moskowitz San Pablo, CA 04/25/11Allen Davis Hadley, MA 04/25/11Allen Hughes Salt Lake City, UT 05/04/11allen Purkiss Ridgefield, CT 05/04/11Allen W. Marshall III 06/10/11alvaro a castellanos 06/01/11Alvin Gebhart Fallbrook, CA 04/25/11Alvin Rogers Little Rock, AR 05/04/11Alyson Hardin 06/02/11Alyson Ross Mechanicsville, VA 04/25/11Amanda Alexander San Diego, CA 04/26/11Amanda M., CFP 06/13/11Amanda Medrow Myers Duluth, GA 05/04/11Amanda Rock Lancaster, PA 04/25/11Amy Barrett Lake Geneva, WI 04/25/11Amy Harrison Rochelle Park, NJ 05/04/11Amy House 06/06/11Amy Irvine Corning, NY 05/19/11Amy Jo Lauber 06/02/11Amy Libertoski Weston, WI 04/25/11

Page 7: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

amy mcIlvaine bellingham, WA 04/25/11Amy Mullen Poulsbo, WA 04/25/11Amy Wolken Sierra Vista, AZ 04/25/11Anders Lundegard Viernna, VA 04/25/11Andre Rabie 06/04/11Andrea McNamara Boston, MA 04/25/11Andrea Winterer 06/01/11Andreas ehlebracht miami, FL 04/25/11Andreia Capelo Funchal, Portugal 04/28/11andres flores miramar, FL 04/25/11Andrew Barkley Cleveland, OH 04/25/11Andrew Brown Conyers, GA 04/26/11Andrew Chou, CFP Century City, CA 05/18/11Andrew Clark norwich, NY 05/03/11Andrew Del Beato Newtown Square, PA 04/25/11Andrew Gardener Houston, TX 05/05/11Andrew Husmann, CPA, CFP 06/10/11Andrew Jones Charlotte, NC 04/26/11Andrew Maimona Stow, OH 05/03/11Andrew Moyer Solon, OH 04/25/11Andrew Ramsey Woodstock, GA 04/26/11Andrew S Marulis 06/01/11Andrew S. Weissman 06/10/11Andrew Thurlow Henderson, NV 05/05/11Andrew Wheeler Duluth, MN 04/25/11Andrew Zawada 06/01/11andy berg atlanta, GA 05/04/11Andy Claybrook Franklin, TN 04/28/11Andy Hedrick San ntonio, TX 05/18/11Andy Kark 06/01/11Andy Sinsigalli 06/02/11Andy Tiede Sioux Falls, SD 05/09/11ANDY WOOD 06/15/11Angela Creech 06/10/11Angela Kiefer 06/01/11Angelica Vrondos Clearwater, FL 05/03/11Anindita Dhar Edison,, NJ 04/25/11Anja Luesink New York, NY 05/04/11Ann D. Felldin 06/11/11Ann d. Jevne 06/04/11Ann Harrod Keswick, VA 04/29/11

Page 8: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Ann Holland 06/01/11Ann Pendley Evansville, IN 05/09/11Anna MAria Waechter Marstons Mill, MA 05/18/11Anne Gamache Holland, MI 05/03/11Anne Niesen San Mateo, CA 04/27/11Anne O'Brien North Brookfield, MA 04/25/11Anne Santos Houston, TX 05/09/11Anne Ward Minneapolis, MN 04/25/11Anne Zvirblis Renton, WA 04/25/11Anneta Chapman 06/01/11Annette Simon Bethesda, MD 04/25/11Annie Spearman Encino, CA 05/04/11Anonymous Mosheim, TN 04/28/11Anonymous 06/10/11Anonymous 06/10/11Anonymous 06/10/11Anonymous Annapolis, MD 05/31/11Anthony Cottone 06/02/11Anthony D Konecny 06/13/11Anthony Davis 06/13/11Anthony Delauney Durham, NC 05/18/11Anthony G. Schiano 06/02/11Anthony J. Losh 06/07/11Anthony Konecny Columubus, OH 04/27/11Anthony Krance Green Bay, WI 04/25/11Anthony Luckhardt Cincinnati, OH 04/26/11Anthony Mancuso Batavia, NY 04/25/11Anthony Rossetti Winter Park, FL 04/25/11Anthony Spatafore Jericho, NY 04/25/11Anthony Steuer Alameda, CA 04/28/11ANTON BAYER San Jose, CA 04/26/11Antonio Vilallonga Miami, FL 05/18/11Anwesha Basu 06/03/11Aprill Shepherd Lexington, KY 05/04/11Archibald Hoxton Shepherdstown, WV 05/22/11Ariadne Horstman Palo Alto, CA 05/07/11Arlin Bornschlegl Rochester, MN 05/18/11Arlyn Nelson Kirkland, WA 05/18/11Armand Prestidge 06/01/11Art Spiller Pearland, TX 05/04/11Arthur Albin Portage, MI 04/25/11

Page 9: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Arthur Ambarik 06/17/11Arthur J Canter 06/02/11Arthur S. Rothschild Milwaukee, WI 05/09/11Artie Green Sunnyvale, CA 04/25/11Ashley C. Dyer 06/10/11Ashley Murphy San Francisco, CA 05/05/11Attah-jundwe Obiajulu, CFP, CLU, CLTC

06/11/11

Atul C. Dubal 06/01/11Audre' Suzanne Robertson, CFP®

06/22/11

Audrey Coleman 06/10/11Audrey Jones Casselberry, FL 04/25/11Audrey Jones, CFP®, CWA™ 06/01/11Audry Batiste 06/10/11Augustus Abel Powell, OH 05/18/11Austin Chinn San Jose, CA 04/26/11Austin Farrar Falmouth, ME 04/26/11Austin G Robertson Jr Shreveport, LA 04/25/11Avi Pai 06/01/11Aziz Hamidi Tampa, FL 04/25/11B. Kenneth Townsend Columbus, GA 05/04/11Barbara Bruen Fort Collins, CO 04/25/11Barbara Coffey Silverdale, WA 04/25/11Barbara Comer Manchester Center, VT 04/25/11Barbara Fleeman 06/01/11Barbara Fried Glen Ellyn, IL 05/04/11Barbara Gawdzik Oak Park, IL 04/26/11Barbara Gilliard Mill Valley, CA 04/25/11Barbara Healy Scottsdale,, AZ 05/04/11Barbara Hein Clive, IA 05/06/11Barbara J Andre, CPA 06/10/11Barbara J Davis 06/11/11Barbara McCormack Atlantra, GA 04/25/11Barbara McMahon Kansas City, MO 04/25/11BARBARA R. FLEMING 06/14/11Barbara Ristow, CFP(r) Charleston, SC 04/25/11Barbara Schelhorn 06/10/11Barbara Wallis Upper St. Clair, PA 04/27/11Barclay carriar St Cloud, MN 05/05/11Barron Gray McKinney, TX 05/06/11barry cui 06/02/11

Page 10: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Barry Flagg Tampa, FL 04/25/11Barry Freedman Fort Myers, FL 05/04/11Barry J. Ellison 06/06/11Barry Katz Plantation, FL 05/31/11Barry Kohler Portland, ME 04/25/11barry korb Potomac, MD 04/25/11Barry Mulholland 06/13/11barry o'shea Colo Springs, CO 05/03/11Barry Shelley West Chester, OH 04/26/11Barry Swanson, CFP 06/10/11Bart Gadlage 06/08/11Basil Herzstein Rockville, MD 04/25/11Becky Connery Downers Grove, IL 05/31/11Bedda D'Angelo Durham, NC 04/26/11Ben Birken 06/11/11Ben Gurwitz San Antonio, TX 04/25/11Ben Joyce San Francisco, CA 04/25/11Ben Pettigrew 06/10/11Ben Wheeler Minneapolis, MN 04/25/11Benjamin A Tobias Asheville, NC 06/01/11Benjamin brandt 06/06/11Benjamin Koehlinger Signal Hill, CA 04/25/11

Benjamin Maynard, CFA, CFP(r) New Orleans, MA

05/18/11Benjamin Messinger Kennewick, WA 04/26/11Benjamin Strange Kaiserslautern, Germany 05/05/11Bennett Gordon Hollywood, FL 04/25/11Bernard Bowhuis 06/02/11Bernard Downing 06/16/11Bernard J. Bandish, Jr. 06/02/11Bernard Kiely Morristown, NJ 04/25/11Bernard Mack 06/10/11Bert Whitehead Birmingham, MI 05/04/11Beth Hearn 06/10/11Beth Pickenpaugh Columbus, OH 05/05/11Beth Sparks Lancaster, OK 04/25/11Beth W Dominguez, CFP(r), CPA 06/03/11Betsey Archer Roseville, CA 04/25/11Betty Hedrick Mercer Island, WA 04/25/11Betty J Neal, CFP 06/02/11Betty Loftus Goldl River, CA 04/25/11

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Beverly Bowers Phoenix, AZ 04/25/11Beverly Fogle Vancouver, WA 04/25/11Beverly Tanner Mill valley, CA 05/04/11Bill Carlson 06/10/11Bill Dickens 06/13/11Bill Dix Raleigh, NC 04/25/11Bill DuBose McLean, VA 04/25/11Bill Kearney 06/01/11Bill Marley 06/16/11Bill Penland Jr 06/15/11Bill Russo, CFP Solon, OH 04/25/11Bill S Childers 06/02/11Bill Schretter Lebanon, OH 04/27/11Bill Simpson Portsmouth, NH 05/05/11Bill Staton, MBA, CFA 06/15/11Bill Winterberg Dallas, TX 04/27/11Bill Zaika 06/10/11Billie G. Houk, CFP*, LUTCF 06/13/11Billy Williams Mobile, AL 04/25/11BJ WILLSON RENO, NV 05/03/11Blaine Aikin Pittsburgh, PA 04/26/11Blaine Dunn Winchester, VA 05/31/11Blaise Stevens, MBA, CFP® 06/02/11Blythe M. Doane 06/11/11Bob Ericson Los Gatos, CA 04/25/11Bob Garey Tampa, FL 05/05/11Bob Hjort 06/02/11Bob Tankesley 06/10/11Bobbie Munroe Atlanta, GA 05/03/11Bonnie Hill 06/10/11Brad Araki 06/10/11Brad Baumann Calabasas, CA 05/09/11Brad Blackburn 06/10/11Brad Foy 06/15/11Brad heaps 06/01/11Brad Kucharo 06/20/11Brad Ledwith 06/01/11Brad Michels Floyds Knobs, IN 04/25/11Brad Nicholson Jackson, CA 04/25/11Bradford A. Gann 06/01/11Bradford Umbarger 06/01/11Bradley Allen Poulsbo, WA 04/25/11

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bradley baer Fair Oaks, CA 05/03/11Bradley Berger University Place, WA 04/27/11Bradley Bronk Simi Valley, CA 06/01/11Bradley Burnfield 06/01/11Bradley Graham St. Louis, MO 04/26/11Bradley Stephenson San Clemente, CA 04/25/11Brady Siegrist Greenwood Village, CO 05/04/11Bragg Comer Rockwall, TX 04/25/11Brandan Pratt 06/10/11Brandon Jenkins 06/02/11Brandon Kane 06/10/11Brandon Wood Saint Anthony, MN 05/25/11Brant Donis St. Louis, MO 05/23/11Brenda Baier Indianapolis, IN 05/03/11Brenda Janikowski Casper, WY 05/23/11Brenda Ramsey 06/12/11Brent A. Lindell 06/02/11Brent Boraas 06/10/11Brent Bowman 06/13/11Brent D. Bergin 06/01/11Brent Dickerson Amarillo, TX 04/25/11Brent Ericksen 06/10/11Brent Eugenides Groton, CT 04/25/11Brent Fields St. Charles, IL 04/25/11Brent Graham Baton Rouge, LA 05/18/11Brent Hamilton 06/14/11Brent Horvath Cleveland, OH 05/06/11Brent Jepson Caribou, ME 04/26/11Brent K. Sandino, Certified Financial Planner

06/02/11

Brent Kessel Pacific Palisades, CA 05/17/11Brent Perry Indianapolis, IN 05/04/11Brent Thummel Derby, KS 04/25/11Brent Walker Indianapolis, IN 05/18/11Brett Carleton Houston, TX 04/26/11Brett Coffman Fort Mill, SC 04/26/11Brett Horowitz Coral Gables, FL 04/25/11Brett Tushingham 06/10/11Brian Bishop Hudson, OH 04/25/11Brian Bovard Atlanta, GA 04/25/11Brian C Lock 06/10/11

Page 13: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Brian Carlton Forest, VA 04/27/11Brian Clarke 06/01/11Brian Cochran 06/01/11Brian Dietz Cape Elizabeth, ME 05/20/11brian doughney 06/01/11Brian Emery Long Beach, NY 04/25/11Brian Fenn Charlotte, NC 05/06/11Brian Fricke Winter Springs, FL 05/04/11Brian J. Breen 06/10/11Brian Kurrus Vienna, VA 05/03/11Brian L. Rucks 06/10/11Brian Lippe 06/02/11Brian Lottman 06/10/11Brian M. Hill 06/10/11Brian McDaid Montvale, NJ 05/18/11Brian McKenna Bennington, VT 05/09/11Brian Mills 06/01/11Brian Niemann Cumberland, WI 04/25/11Brian Oettinger 06/10/11Brian Peterson 06/10/11Brian Riley 06/10/11Brian Roehl Troy, MI 05/04/11Brian Rolfe 06/02/11Brian Sava 06/01/11Brian Scanlon Wilton, CT 04/26/11Brian Schmehil Oakbrook Terrace, IL 05/10/11Brian Sells Denver, CO 04/25/11Brian Sohn 06/01/11Brian stafford Mount pleasant, SC 04/25/11Brian Standefer Houston, TX 04/25/11Brian Stephens Houston, TX 05/25/11brian stertzer hilton head island, SC 04/25/11Brian Sullivan 06/02/11Brian Sutliff Columbus, OH 05/04/11Brian V Calgary, Canada 04/27/11Brian Wegrzyn Mount Prospect, IL 05/04/11Brian Weir 06/20/11Brian Wong Los Angeles, CA 04/26/11Briggs Price 06/02/11Brigid Mulroy Bingham Farms, MI 04/25/11Brigid Nurnberg Franklin, MA 04/26/11Brint Detwiler Phoenixville, PA 04/25/11

Page 14: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Britt Bazemore Albany, GA 05/11/11Brittany Brower Montgomery, IL 05/04/11Bronwyn Shone Hercules, CA 05/03/11Brooke Henderson Oklahoma City, OK 05/05/11Brooks C. Sackett 06/10/11Brown Kitchens Atlanta, GA 04/25/11Bruce Barton, CFP CFA San Jose, CA 05/05/11Bruce Berno Cincinnati, OH 05/06/11Bruce Bracco 06/02/11Bruce Butterfield El Dorado, AR 04/25/11Bruce Campbell Huntersville, NC 05/03/11Bruce Coldsmith Mobile, AL 04/26/11Bruce Dzieza 06/01/11Bruce E. Holdridge 06/01/11Bruce Galvin Seattle, WA 04/25/11Bruce Glor 06/13/11Bruce Graev Marco Island, FL 04/25/11Bruce Haydu Oakhurst, NJ 04/25/11Bruce Heling Brookfield, WI 05/05/11Bruce Hydier 06/01/11Bruce J. Berno, CFP 06/10/11Bruce Jentner Akron, OH 04/25/11Bruce Krohn 06/01/11Bruce Pretzinger Pasadena, CA 05/18/11BRUCE ROBSON SALISBURY, MD 05/18/11Bruce Ruud New Braunfels, TX 04/26/11Bruce Tucker Sparta, NJ 04/26/11Bruce Wiener Potomac, MD 04/27/11BRUCE WISE Kingwood, TX 04/25/11Bryan Beatty Vienna, VA 04/26/11Bryan Cheeseman 06/02/11Bryan Graczyk Saginaw, MI 05/05/11Bryan J Connolly 06/15/11Bryan K BURRIS Morrison, CO 05/03/11Bryan K Poirier, CFP 06/11/11Bryan Karsner Odenton, MD 04/26/11Bryan Kettel 06/01/11Bryan Lee Plano, TX 04/25/11Bryan Lee, CFP, MBA 06/15/11Bryan McSweeney 06/10/11Bryan P. Fay 06/14/11

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Bryan Smalley Whitehouse Station, NJ 05/08/11Bryan Snowden Granbury, TX 04/29/11Bryant Andrus Annapolis, MD 06/01/11Bryant Engebretson Bellingham, WA 05/05/11Bryson McKinney 06/13/11Bud Heintz Phoenix, AZ 05/03/11Bugra Bakan Mill Valley, CA 04/25/11Burt Williamson 06/20/11Buz Livingston Santa Rosa Beach, FL 04/25/11Byrke Sestok Mamaroneck, NY 05/09/11C G Macon, GA 05/04/11C. Bryan Wood Marietta, GA 04/25/11C. Michael Luck 06/10/11Caleb Brown Tallahassee, FL 04/26/11Calvin Guyer, CFP(R) 06/01/11Cameron M. Thornton, CFP 06/02/11Camilla Neri San Jose, CA 05/03/11Camilo Pardo 06/06/11Candace Kaplan Bethesda, MD 04/25/11Carin Roman Palatine, IL 05/04/11Carl Andrew Millard Tryon, NC 04/25/11Carl Linde Renton, WA 04/26/11Carl Trevisan Alexandria, VA 05/06/11Carl W Benedict 06/10/11Carla Stohlmann 06/02/11carlee trent springfield, OH 04/28/11carlos dominguez 06/10/11carlos leon Aurora, IL 04/30/11Carlton Brown 06/02/11Carmen Aiken Chicago, IL 05/04/11Carmine D'Avino New York, NY 05/26/11Carol Appel los Angeles, CA 04/25/11Carol Burton Westport, CT 04/25/11Carol Dixon Longmont, CO 04/28/11Carol Doerr St Petersburg, FL 05/18/11Carol Foster Highlands Ranch, CO 05/03/11Carol Friedhoff Dublin, OH 05/05/11Carol Grosvenor Los Angeles, CA 04/27/11Carol Harlow Miami, FL 04/25/11Carol Johnson 06/02/11Carol K Lampe Pittsburgh, PA 04/25/11

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carol Lee Roberts Joppa, MD 05/31/11Carol Lewis centennial, CO 04/25/11Carol Pankros Palatine, IL 05/04/11Carol Remy Greensboro, NC 04/26/11Carol Ringrose Alexander Oklahoma City, OK 05/18/11Carol S. Craigie 06/02/11Carol Smith Darien, IL 04/28/11Carol Van Bruggen 06/01/11Carolanne Chavanne Torrance, CA 04/25/11carole hagen warrenton, OR 05/08/11Carole Zhou 06/10/11Caroline Doerflinger Bronx, NY 05/10/11Carolyn Edwards 06/02/11Carolyn Larsen-Wieber Raleigh, NC 05/31/11Carolyn McClanahan Jacksonville, FL 04/25/11Carolyn Tomlinson 06/17/11Carolyn Walder National Harbor, MD 05/31/11Carolynn Tomin Naples, FL 05/31/11Carrie Houchins-Witt, CFP 06/10/11Cary J. Cowan 06/10/11Cassandra Shawn Anderson, CFA, CFP

San Mateo, CA 04/25/11

Cassi Vanderpool 06/06/11cate murray Langley Park, Durham, United Kingdom 05/20/11Catherine Birmingham Weigel Concord, MA 05/31/11Catherine Conheady Rush, NY 04/26/11Catherine Gearig Rochester Hills, MI 04/27/11Catherine Green Chesapeake, VA 05/03/11Catherine Latto Charleston, SC 04/25/11Catherine R Smith Anchorage, AK 05/04/11Catherine Seeber 06/12/11Catherine Straub Anchorage, AK 04/25/11Cathie Reisler 06/02/11Cathy Daigle 06/10/11Cathy Pareto Coral Gables, FL 04/25/11Cecily Welch 06/10/11Cedric Alexander Marina del Rey, CA 05/03/11Celeste Whisenant 06/12/11Celia Baehr Mobile, AL 05/05/11Celia Mueller 06/01/11Cesar A Casas 06/14/11

Page 17: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Chad Davis 06/10/11Chad Jones Fort Collins, CO 04/26/11Chad Norfolk Columbia, MD 05/03/11Chad Parmenter 06/01/11Chad Peterson Columbus, OH 06/01/11Chad Sander Evansville, IN 05/31/11Chad Smith 06/07/11Chad Stevens indianapolis, IN 04/25/11Chad Teders 06/01/11Chad Tillery 06/10/11Chadderdon O'Brien 06/10/11Chanley Christman 06/10/11chanyoung moon 06/12/11Char Larsen Shawano, WI 05/18/11Charissa Spach Calabasas, CA 05/05/11Charleen S. Barnes 06/10/11Charlene Guess ATHENS, TX 05/03/11Charles Becker White Hall, AR 04/28/11Charles Bianchi Fredericksburg, VA 04/26/11Charles C. Justice 06/10/11Charles Capasso Mount Pleasant, SC 04/26/11Charles Carroll Portland, OR 04/25/11Charles D. Dodds Jr. 06/10/11Charles D. Miller Chicago, IL 05/03/11Charles F Jenks Jr Stuart, FL 05/04/11Charles Frazier Suwanee, GA 04/25/11Charles Grimm New York, NY 06/01/11Charles Haines Birm, AL 04/26/11Charles Jakober Aberdeen, SD 04/25/11Charles Johnson Newburyport, MA 05/04/11Charles Jones Mobile, AL 04/25/11Charles Kingsley Perkins 06/01/11Charles Lesko, Jr. Binghamton, NY 05/12/11Charles M. Lloyd 06/06/11Charles Massie Fort Myers, FL 05/11/11Charles McCarn Birmingham, AL 04/25/11Charles McGee Newport News, VA 05/04/11Charles Moore Matthews, NC 04/27/11Charles Noegel 06/06/11Charles O Overbey Jr 06/12/11Charles O'Connor Torrance, CA 05/10/11

Page 18: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Charles Parker Houston, TX 05/31/11Charles Prudhomme Portag, MI 04/26/11Charles R Jones 06/16/11Charles Roberson Westwood, NJ 05/04/11Charles Russo Westlake Village, CA 04/25/11Charles Sandmel 06/02/11Charles Sauberan Orchard Park, NY 04/26/11Charles Stanley Hamilton, NJ 05/05/11Charles Steege Doylestown, PA 04/25/11Charles T. Neff 06/10/11Charles Terry Charlotte, NC 04/25/11Charles Terry Birmingham, AL 05/18/11Charles Tompkins Seattle, WA 05/05/11Charles Trent Charlotte, NC 04/25/11Charles Valenzuela 06/02/11Charles Vaughan Cincinnati, OH 04/26/11Charles W Cairnes Jr CPA CFP 06/07/11Charles W. Hayes Coronado, CA 05/04/11Charles Wilfong 06/01/11Charles Yost Norwalk, CT 04/25/11Charles, CFP(r) Steege Doylestown, PA 05/04/11Charlie Fitzgerald Maitland, FL 04/26/11Charlotte Adama Amarillo, TX 05/03/11Chase Armer Sacramento, CA 05/03/11Chase Cranford 06/10/11Chase Mouchet 06/03/11Cherril L. Brown 06/10/11Chery Smith Rutherfordton, NC 05/03/11Cheryl Chapis Bristol, CT 05/01/11Cheryl Curran Seattle, WA 04/27/11Cheryl Krueger Schaumburg, IL 04/25/11Cheryl Sherrard Charlotte, NC 05/31/11Cheryl Sommese Londonderry, NH 05/01/11Cheryl Sparks Lynnwood, WA 04/25/11Chip Hasty 06/11/11Chris Battreall, CFP 06/01/11Chris Berg 06/01/11Chris Butler Vancouver, WA 04/26/11Chris DeShano 06/02/11Chris Garcia Plano, TX 05/03/11Chris Kleman 06/01/11

Page 19: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Chris Klinetob 06/12/11Chris Koerber, CFP 06/10/11Chris Korte 06/11/11Chris Lott Dallas, TX 05/03/11chris mcfadden helotes, TX 04/25/11Chris Miller Muncie, IN 04/25/11Chris Olsgard 06/02/11Chris Parker 06/10/11Chris Rand San Diego, CA 05/30/11Chris riffle 06/10/11Chris Rowley Houston, TX 05/05/11Chris S. Barthel, CFP, ChFC 06/14/11Chris Sadkowski Beverly, MA 05/04/11Chris Scotchler Bothell, WA 05/04/11Chris Toadvine Maitland, FL 04/25/11Chris White 06/02/11Chris Wrench Raleigh, NC 04/26/11CHrisitina Worley, CPA/PFS,CFP

West Palm Beach, FL 05/03/11

Christian Hertl 06/13/11Christian Jeeves 06/02/11Christiane Tomasi 06/02/11Christina D'Amore Laguna Hills, CA 04/25/11Christine Armstrong Green Bay, WI 04/25/11Christine Berberich West Chester, PA 05/03/11Christine Carleton Cincinnati, OH 04/25/11Christine Carlin Tucson, AZ 05/04/11christine Crawford San Francisco, CA 05/05/11Christine Falvello Sugarloaf, PA 04/25/11Christine Falvello Sugarloaf, PA 05/04/11Christine Lemond Toms River, NJ 05/27/11Christine McLynn Charlotte, NC 04/25/11Christine Messmer Collegeville, PA 04/26/11Christine Thomas Naperville, IL 04/25/11Christopher A Howard 06/10/11Christopher Brown Rockville, MD 05/19/11Christopher Chouinard, CFP® Waltham, MA 04/25/11Christopher Collins 06/02/11Christopher COnner Gainesville, FL 04/26/11Christopher Cooper Texarkana, TX 04/25/11Christopher Criswell 06/10/11

Page 20: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Christopher Currin Dallas, TX 04/27/11Christopher Demarest 06/02/11Christopher Dykstra Edwardsville, IL 04/25/11christopher edwards houston, TX 05/06/11Christopher Gandia 06/02/11Christopher H. Bronson, CFP(r) 06/15/11Christopher Helwig 06/15/11Christopher Judge Croton on Hudson, NY 05/18/11Christopher Keegan 06/02/11Christopher Knox Plantation, FL 05/08/11Christopher Kuehne Pound Ridge, NY 05/04/11Christopher L. Cleland 06/10/11Christopher Martinez 06/01/11Christopher Occhuizzo Danbury, CT 04/25/11Christopher Olsen Lodi, CA 04/25/11Christopher P. Blakely 06/02/11Christopher Quinley 06/01/11Christopher Riley Wilmington, NC 05/03/11Christopher Schaefer Kensington, MD 04/25/11Christopher Thomas Vienna, VA 04/25/11Christopher W. Lowe, CFP® 06/11/11Christopher Wells Madison, MS 04/25/11Christy Barilotti Philadelphia, PA 04/25/11Chuck Carrick 06/10/11Chuck Rutenberg Fot Collins, CO 04/26/11Chuck Weber Shawnee, KS 05/18/11Chyrle Pinkerton Garden City, ID 05/31/11Ciciily Maton Chicago, IL 04/26/11Cinda Jones, CFP 06/12/11Cindi Berdar Spokane Valley, WA 05/03/11Cindi Hill San Dieog, CA 05/04/11Cindy Brower Chicago, IL 04/27/11Cindy Burke Warrenton, MO 05/04/11Cindy Golub Mamaroneck, NY 05/19/11Cindy Kester Seattle, WA 04/28/11Cindy Malzan West Seneca, NY 04/25/11Cindy Phelan Atlanta, GA 04/25/11Cindy Reninger 06/20/11Cindy Storm Fischer 06/02/11Clare Wherley Berkeley Heights, NJ 05/31/11Clarissa Alesevich Reno, NV 04/25/11

Page 21: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Clark Blackman II Kingwood, TX 04/28/11Clark Jolley Valencia, CA 04/25/11Clark Permann Yakima, WA 04/25/11Clarke Forsyth Provo, UT 04/25/11Clarke Hedrick Commack, NY 04/25/11Claudia Fitch San Francisco, CA 05/03/11CLAUDIA RUOTI NEWPORT, RI 05/06/11Claudie Johnson 06/10/11Clayton Janson Phoenix, AZ 04/25/11Cleveland Gantt, CFP 06/12/11Cliff O'Conner Norcross, GA 05/04/11Clifford Deck Cranston, RI 05/18/11Clifford J Camarda Orange Park, FL 04/25/11Clifford R Raynor 06/07/11Clifford Straub Middletown, CT 04/26/11Clifford Webster Boston, MA 05/03/11Clifford Weddington N. Charleston, SC 04/25/11Clint Adams Dallas, TX 04/25/11Clyde G. Hohenstein, CFP 06/02/11Clyde Hohenstein Vienna, VA 04/26/11cole Campbell 06/01/11Coleen Peters 06/01/11Colin Geiger 06/10/11Colleen Farley Greenville, RI 04/25/11Colleen Hallinan San Mateo, CA 04/25/11Colleen Johnson Madison, WI 04/25/11Colleen M. Giffin 06/03/11Colleen O'Donnell, CFP 06/15/11Colleen Soares Napa, CA 05/18/11Colleen Theuerkauf Farmington Hills, MI 05/05/11Colman Pierzchala York, SC 05/03/11Connie Brezik Casper, WY 05/04/11Connie Greenspon Nadrowski Longwood, FL 05/05/11Conrad A Roskelley Chandler, AZ 05/04/11Constance A Stone, CFP 06/06/11Constance Herrstrom Princeton, NJ 05/05/11Coy Hewett Midlothian, VA 04/25/11Craig Caldwell Sacramento, CA 04/25/11Craig Carnick Colorado Springs, CO 04/25/11Craig Cross Long Beach, CA 05/07/11Craig D. Laday 06/10/11

Page 22: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Craig Franzke 06/02/11Craig Hawkins 06/01/11Craig Martin San Jose, CA 04/25/11Craig Miller Austin, TX 04/25/11Craig Morgan San Antonio, TX 04/25/11Craig Narum 06/10/11Craig Richart Chicago, IL 05/18/11Craig Schmith Durham, NC 04/25/11Curt DiGiacomo 06/02/11Curt Morrow Columbus, OH 04/25/11Curt R. Christensen 06/10/11Curt S. Heinz 06/15/11Curt Weil Palo Alto, CA 04/26/11Curtis D. Harris Wayzata, MN 06/01/11Curtis Hearn 06/10/11Curtis Lawrence Lake Oswego, OR 04/25/11Curtis Reed 06/02/11Curtis Willardson Provo, UT 04/25/11Cyndi Mears Chicago, IL 04/25/11Cynthia B. Savage 06/21/11Cynthia Barnett 06/10/11Cynthia Fusillo New Providence, NJ 06/01/11cynthia g green lansing, MI 04/26/11Cynthia M Trombly 06/10/11Cynthia Taradash Whitefield, NH 04/27/11Cynthia Turoski East Greenbush, NY 04/28/11Cynthia Zickel Radnor, PA 04/26/11D. Alfred Jones Eau Claire, WI 05/07/11Dale Costello 06/02/11Dale Hearn 06/10/11Dale Perry Adrian, MI 05/04/11Dale Rains 06/10/11dale robinson Dearborn, MI 04/25/11Dale Sailors Laramie, WY 04/25/11Dale Woodward Anaheim, CA 05/14/11Dallas Coffman Wakefield, MA 04/25/11Dan Bussone Cincinnati, OH 04/26/11Dan Candura Braintree, MA 04/25/11Dan Darchuck Monterey, CA 04/25/11Dan Gensler 06/11/11Dan Hagler Bedford, NH 04/26/11

Page 23: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Dan Heitzman Marshfield, MA 04/25/11Dan Moisand Melbourne, FL 05/09/11Dan Reese Jackson, MI 05/18/11Dan Serra 06/07/11Dana Albright 06/01/11Dana Anspach Scottsdale, AZ 05/04/11Dana Menard Maple Grove, MN 05/18/11Dana Sippel Mclean, VA 04/25/11Dana Troske 06/15/11Dana Wong Plano, TX 05/06/11Danelle Jenetayeva New York, NY 05/05/11Daniel B. Fitzgerald 06/03/11Daniel Beatty Oakland, CA 04/25/11Daniel Beauchemin Nashua, NH 05/03/11Daniel Boyce Southfield, MI 04/25/11Daniel Bunting Virginia Beach, VA 04/26/11Daniel C. Fisher 06/14/11Daniel Chamberlin Helena, MT 05/19/11Daniel Charron Scottsbluff, NE 05/04/11Daniel Davis St. Louis, MO 04/25/11Daniel DeSimone, CFP Wilton, CT 04/25/11Daniel Drake Dallas, TX 05/03/11Daniel Drappo Black River, NY 04/26/11Daniel Dubay 06/10/11Daniel Dwyer Oakland Gardens, NY 04/25/11Daniel E Jobe 06/01/11Daniel Elie Miami, FL 05/19/11Daniel Forbes Providence, RI 04/25/11Daniel G. Quible 06/13/11Daniel Getsch Maplewood, MN 04/26/11Daniel Gibson Madison, WI 04/26/11Daniel Grover Waxhaw, NC 05/04/11Daniel Hunteman Wauwatosa, WI 04/25/11DANIEL J ASPENLEITER CFP®

06/03/11

Daniel J. Roundtree, CFP 06/01/11Daniel Johnson Fort Collins, CO 04/28/11Daniel Leonard, CFP 06/02/11DANIEL MACDONALD BRONXVILLE, NY 05/03/11Daniel Mantell Needham, MA 05/05/11Daniel McLeod Fairhope, AL 05/04/11

Page 24: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Daniel Meyerovitz 06/01/11Daniel N. Mathews, CFP(R) 06/10/11Daniel O'Leary Olympia, WA 05/03/11Daniel Osgood San Diego, CA 04/25/11Daniel P. Lash, CFP®, AIF® 06/14/11Daniel Prosser Chesterfield, MO 05/03/11Daniel R. De Jong 06/03/11Daniel Roberts, MSFS Tustin, CA 04/25/11DANIEL Roe COLUMBUS, OH 05/05/11Daniel S Huston 06/13/11Daniel S. Miller 06/01/11Daniel S. Russell 06/10/11Daniel Speer Charlotte, NC 04/26/11Daniel Stobba Franklin, WI 04/27/11Daniel Taylor San Carlos, CA 04/25/11Daniel Weeks Overland Park, KS 04/25/11Daniel Yasharel 06/02/11Danielle Daley 06/10/11Danielle Howard Basalt, CO 04/26/11Danny Matthews Flowood, MS 05/03/11Darcy Jones St Pete Beach, FL 05/04/11Darin Luze Fort Collins, CO 04/25/11Darin Martinelli San Leandro, CA 04/25/11Darin R Shebesta 06/01/11darius dirzinskas london, United Kingdom 04/29/11Darleen Gilmore Austin, TX 04/25/11Darrell Claridge 06/10/11Darren Kalb San Diego, CA 04/25/11Daryl Ellis Baton Rouge, LA 04/25/11Daryl Goughnour Burnsville, MN 05/31/11Daryl Kim Miller Redmond, WA 04/25/11dave bahnick Center Valley, PA 04/26/11Dave Forbes Colorado Springs, CO 05/31/11Dave Livran 06/06/11Dave Martula Hadley, MA 05/04/11Dave Samuels San Jose, CA 04/26/11Dave Williams 06/14/11Dave Yeske San Francisco, CA 04/25/11DAVID BAILEY Stokesdale, NC 04/26/11David Barker Bridgton, ME 04/26/11David Beck Cupertino, CA 04/25/11

Page 25: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

david becker 06/12/11David Berdow Narberth, PA 04/25/11david bobrowsky walnut creek, CA 04/25/11David Bonebrake, CFP(R) Eugene, OR 04/25/11David Boyle Shaker Heights, OH 04/25/11David Breuer Elkhart, IN 04/25/11david bugen new vernon, NJ 04/25/11David Burnham Miami, FL 05/04/11David Buskirk 06/01/11David C Whitmore, Jr LEXINGTON, MA 06/01/11David C. Lewis, 06/13/11David C. Mills 06/13/11David Carboni Hamden, CT 04/25/11David Clarken 06/02/11David Coult 06/11/11David Cowles San Francisco, CA 05/18/11David Cyrs Rockford, IL 05/19/11David Darmour 06/01/11David De Rhodo 06/13/11David Demming Aurora, OH 05/18/11David Demming Jr Chagrin Falls, OH 04/25/11David DeWolf Culver City, CA 04/26/11DAVID DUTTENHOFER laguna beach, CA 05/19/11David Eggleston Jacksonville, FL 04/26/11David Evans Dallas, TX 04/26/11David Feldman Parsippany, NJ 04/25/11David Firth Palo Alto, CA 04/27/11David Flanders, CPA/PFS, CFP(r)

Bel Air, MD 04/25/11

David Fuhrman, CFA, CFP 06/02/11DAVID G ELLIOTT BURIEN, WA 04/25/11David Garrison Lee's Summit, MO 05/03/11David Goldberg 06/16/11David Gurnee Granger, IN 05/03/11david halfaker Tampa, FL 04/25/11David Hamra Tucson, AZ 04/25/11David Hansch, CFP Dana Point, CA 05/03/11David Harbeitner Eldersburg, MD 05/31/11David Heide 06/01/11David Hensley Spencer, IN 05/03/11David Hergert Houston, TX 05/05/11

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David Hill The Woodlands, TX 04/25/11david hodges chattanooga, TN 05/02/11David Holan Chicago, IL 05/03/11David Hollands Plano, TX 05/03/11David Hoyer 06/15/11David Hultstrom Woodstock, GA 04/25/11David Hunter Asheville, NC 04/25/11David J. Drucker 06/10/11David J. Keosaian 06/14/11David J. Oestreicher, CPA/PFS, MBA, CLTC

06/13/11

David J. Strutzel 06/01/11David Jacobs Kailua, HI 04/25/11David Jazo Phoenix, AZ 05/24/11David Joe Scottsdale, AZ 04/25/11David Joe Scottsdale, AZ 04/26/11David K Binns-Loveman 06/06/11David Kozlowski Midlothian, VA 05/04/11David Kuebelbeck 06/01/11David LaMay Old Saybrook, CT 04/25/11David Lesnick 06/06/11david lindau el paso, TX 05/03/11David Little Royersford, PA 04/25/11David Lobacz Olney, IL 05/04/11David M. Curles 06/10/11David M. Nelson 06/02/11David Mayes Hampton Falls, NH 05/04/11David McKee Centreville, VA 05/06/11David McPherson Falmouth, MA 04/25/11David Mertz Irvine, CA 05/19/11david mickley madison, PA 04/26/11David Morgan Oak Brook, IL 05/04/11David Munn Maumee, OH 05/06/11David Murdock Los Angeles, CA 04/25/11David Mysliwiec Albany, NY 05/06/11David Nienaber Cincinnati, OH 04/25/11David Niggel 06/14/11david nobles Fayetteville, NC 05/18/11David O'Block 06/06/11David O'Brien Midlothian, VA 04/25/11David Odiorne Ashburn, VA 05/03/11

Page 27: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

David Otto Katonah, NY 04/25/11David P. Meglay 06/11/11David Pace 06/10/11David Pacer 06/13/11David Patterson Waterford, MI 04/26/11David Pedley Northfield, IL 04/26/11david Poole bwood, SC 05/03/11David R Cohen Houston, TX 04/25/11David R. Price 06/03/11David Rae la, CA 04/25/11David Rhodes Nekoosa, WI 05/03/11David Robinson 06/14/11david rosenthal scottsdale, AZ 04/27/11David Roskoph Gig Harbor, WA 05/03/11David Rousse hammond, LA 04/25/11David Sadler 06/16/11David Schreiber Arlington, MA 04/25/11David Scott Fisheer 06/13/11David Sheehan Ashburn, VA 04/25/11David Shen 06/10/11David Silverberg 06/02/11David Simmons Tucson, AZ 05/04/11David Smith Camarillo, CA 04/25/11David Stallard Park City, UT 04/25/11David Stewart 06/14/11David Stone Pickerington, OH 04/27/11David Stott Verona, WI 05/18/11David Strege West Des Moines, IA 05/06/11David Suess Addison, TX 04/25/11David T Maddux 06/10/11David T. Lumley, CFA, CFP(R) 06/02/11David Teel Sugar Land, TX 05/03/11David Thomas Madisonville, KY 04/26/11David W Rommelmann 06/02/11David W. Swapp 06/13/11David Walz Oak Park, IL 04/27/11david ward alpharetta, GA 04/25/11david waters philadelphia, PA 04/25/11David Wayne Garrett CPA, CFP 06/10/11David Welch Wellesley, MA 05/06/11David White Clemmons, NC 04/25/11

Page 28: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

David Wiley Minneapolis, MN 04/26/11David Wilke 06/11/11David Wilson 06/01/11David Worthington 06/01/11David Yarn Gaithersburg, MD 05/04/11David Zolt Lakewood, OH 05/31/11David Zuckerman Los Angeles, CA 04/25/11David\ Fedor West Springfield, MA 04/25/11Davita Alford-Cooper Columbia, MD 05/06/11Dawn Donato 06/02/11Dawn Edwards chicago, IL 04/29/11Dawn M Kirchner 06/10/11Dawn Starks Asheville, NC 04/26/11Dayne Wendling 06/10/11Dean Boebinger Houston, TX 05/05/11Dean Cherpitel Overland Park, KS 05/06/11Dean Dawson 06/10/11Dean Harman The Woodlands, TX 04/25/11Dean Suzuki 06/10/11Deana Arnett Manassas, VA 04/25/11DeAnne Mathis 06/13/11Debbie Freeman Lincoln, CA 04/25/11Debbie Grose Arbuckle, CA 04/25/11Debbie Heap 06/11/11Debbie Pursey 06/13/11Deborah Gdisis Wichita, KS 04/26/11Deborah Heim Great Falls, MT 04/27/11Deborah Hoskins Colorado Springs, CO 05/31/11Deborah J. Fritsche 06/05/11Deborah Lane 06/02/11Deborah Levenson Needham, MA 04/26/11Deborah Maher Katonah, NY 04/25/11Deborah Posada 06/06/11Deborah R. Blankenship 06/10/11Deborah Rivosa New Providence, NJ 05/26/11Deborah Tayloe New Bern, NC 05/20/11deborah thomas portland,, OR 04/26/11Debra C. Kriebel 06/10/11Debra Gallant Gaithersburg, MD 04/25/11Debra Neiman watertown, MA 05/09/11Dee Balliett Winter Park, FL 05/31/11

Page 29: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Dee-Ann Fox New York, NY 05/05/11Deena Katz Lubbock, TX 04/25/11Deidra Fulton Plano, TX 05/22/11Delia Fernandez Los Alamitos, CA 05/31/11Delores Remo Mechanicsville, VA 04/25/11dena minning treasure island, FL 04/26/11Denis Higgins Boston, MA 05/03/11Denise Lant 06/20/11Denise Smith Salt Lake City, UT 05/04/11DENISE WILCOX HENDERSON, NV 05/18/11DENNIS A. CASTIGLIA BUFFALO, NY 04/25/11Dennis Bush Gig Harbor, WA 04/25/11Dennis Donahue East Hartford, CT 05/18/11Dennis Dow, CFP 06/11/11Dennis Eichinger Grand Junction, CO 05/03/11Dennis F. Mahoney, M.S., CEBS,CFP(r)

06/13/11

dennis felcher hollywood, FL 04/25/11Dennis Foegen Tulsa, OK 04/25/11Dennis Gero Northampton, MA 04/25/11Dennis Gogarty Washington, DC 04/25/11Dennis Hebert, CLU ChFC MSFS RFC AEP AIF CFP

Liverpool, NY 04/27/11

Dennis Holzwarth Dallas, TX 04/25/11Dennis Koch Crookston, MN 05/04/11dennis L. Stacy CFP 06/15/11Dennis M. West 06/10/11Dennis Meade Chicago, IL 05/24/11Dennis Menard Longwood, FL 05/01/11Dennis Muehlenbach 06/01/11Dennis N. Mainard 06/02/11Dennis Suckstorf Sykesville, MD 04/27/11Derek Hicks Minneapolis, MN 04/26/11Derek Lenington Portland, OR 05/19/11Derek Munchow 06/01/11Derek Packett Nesconset, NY 04/26/11Derek Pantele Newport Beach, CA 05/05/11Derek R. Stanley, CFP 06/02/11Derek Vaughn Plano, TX 05/05/11Derrick Johnson Grand Forks, ND 04/25/11Devonee Kershner 06/02/11

Page 30: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Diahann Lassus Berkeley Heights, NJ 05/03/11Diana Bacon 06/15/11Diana G Simpson, MBA, CFP 06/14/11Diana L Holmes Boston, MA 06/01/11Diana Simpson Trussville, AL 04/25/11Diane Armstrong Columbus, OH 05/18/11diane haneklau 06/02/11Diane Jaworski-Faulhaber Castro Valley, CA 05/18/11Diane MacPhee Manahawkin, NJ 05/31/11Diane Maloney Plainfield, IL 04/25/11Diane Rosen Foxboro, MA 04/25/11Diane Sher St Louis, MO 04/29/11Dianne H Webster 06/02/11Dick Lee Grand Rapids, MI 04/27/11Dicran Haidostian 06/01/11Dieter Ramaekers 06/10/11Dieter Scherer Stevensville, MD 05/09/11Dinesh Sharma 06/08/11Dipal Patel 06/15/11Dirk Huybrechts Los Angeles, CA 05/04/11Dixie Powell Vero Beach, FL 04/25/11Dolf Dunn Huntersville, NC 04/25/11Don Atherton 06/10/11Don Camphausen Rochester, NY 04/25/11Don Clark Overland Park, KS 04/25/11Don Mahlen Webster, SD 04/25/11Don Seese St. Louis, MO 05/03/11Don St. Clair Roseville, CA 04/25/11Don Stalker Riverside, CA 04/25/11don stamas charlotte, NC 05/18/11Don Stringfield Macon, GA 04/25/11Don Tharp Hudson, OH 05/06/11Don Whalen Alpharetta, GA 05/31/11Don Wilson Tucker, GA 04/25/11Don Wilson Jefferson City, MO 05/18/11Donald A Woo 06/10/11Donald A. DeBernardi, Jr. 06/01/11Donald Acker Sioux City, IA 04/25/11Donald Ackley Williamsburg, VA 04/26/11Donald Arnold Baltimore, MD 04/26/11Donald Askey Newburyport, MA 04/25/11

Page 31: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Donald Baxter Wichita, KS 04/25/11Donald Brown Winston-Salem, NC 04/25/11Donald Burns Fairport, NY 05/05/11DONALD DeMUTH MECHANICSBURG, PA 05/31/11Donald Duncan Downers Grove, IL 05/14/11Donald E Lewis Lawrenceburg, KY 04/25/11Donald E. Jones 06/02/11Donald H Angel 06/03/11Donald Hausle 06/02/11Donald Loveless billings, MT 04/25/11Donald M Karpick Edina, MN 06/01/11Donald MacKay Frankfort, IL 05/06/11Donald Musnicki 06/21/11Donald Nestor Maitland, FL 05/06/11donald nicholson wilmington, DE 05/04/11Donald P. Lord 06/01/11Donald Penn Lafayette, IN 05/06/11Donald Purtill Highland Hts, OH 05/04/11Donald Riggs Santa Ana, CA 04/25/11Donald Sibbitt Campbell, CA 05/03/11Donald Wheeler Duxbury, MA 05/04/11Donald Wulf Napa, CA 05/04/11Donald Wylin Indianapolis, IN 04/25/11Donna Cygan Albuquerque, NM 05/04/11Donna F. Cuvar-Mariotti 06/02/11Donna Gordon Birmingham, AL 05/31/11Donna J. Kane 06/12/11DONNA MOCK MEDFORD, OR 04/28/11Donna R. Chapel 06/02/11Donna Wood Haymarket, VA 05/03/11Donnie Davis Tulsa, OK 05/09/11Doreen J Haller 06/10/11Dorothy cada loveland, CO 05/04/11Dorothy Cole Merrimack, NH 05/04/11Dorothy Strackbein 06/02/11Doug De Groote 06/01/11Doug Everett Portland, OR 05/03/11Doug Heimforth Boise, ID 04/27/11DOUG LEMON RICHLAND, MS 05/18/11Doug Loftus Cincinnati, OH 04/25/11Doug Naegele Lubbock, TX 04/25/11

Page 32: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Doug Vaughn DeWitt, MI 04/25/11Douglas Boring Granite Bay, CA 05/06/11Douglas Borstel Signal Hill, CA 05/05/11douglas brooks 06/10/11Douglas Darmstaetter Lancaster, PA 04/28/11Douglas DeGain Rochester Hills, MI 05/03/11Douglas Granger 06/11/11Douglas Hanke Tampa, FL 05/04/11Douglas Hockersmith Bellevue, WA 04/25/11Douglas Lyons 06/10/11Douglas M. King 06/15/11Douglas Molstad Warren, NJ 04/26/11Douglas Parrish Mamaroneck, NY 04/25/11Douglas Pease Carmel Valley, CA 04/25/11Douglas R Mavilia 06/02/11Douglas Roberts 06/02/11Douglas Robinson Bel Air, MD 05/31/11Douglas Taylor Torrance, CA 05/31/11Douglas Thorpe Parkersburg, WV 05/03/11Douglas Voisard Grand Rapids, MI 05/19/11Douglas W. DeGain, CFP 06/06/11Douglas Wm. Elliott, CFP(R) 06/06/11Dr Ronald D Miller CFP AIFA 06/14/11Dr. Gregg Dimkoff 06/13/11Drew Biehler Midlothian, VA 04/25/11Drew Harper 06/01/11Drew Malkin rocky hill, CT 04/25/11Dudley Barnes Clarksdale, MS 04/26/11Duffy G Elliott 06/02/11Dustin Granger 06/10/11Dustin L Bench 06/10/11Dustin L. Furrey 06/01/11Dustin R Granger 06/06/11Dwain Gump Coloraod Springs, CO 05/19/11Dwayne Adams 06/10/11Dwayne Snyder Nazareth, PA 04/25/11Dwayne Warrick Prescott, AZ 05/03/11Dwight A. Lydic 06/11/11Dwight Edwards Santee, CA 05/05/11Dwight Erskine CFP 06/10/11Dwight Mikulis Columbia, MD 04/25/11Dwight Pittenger 06/10/11

Page 33: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Dylan Ross Hightstown, NJ 04/25/11E Lori Smith Pottsville, PA 04/25/11E. Gail Ramos 06/02/11

E. Robert Branch III, CFP ChFC Ormond Beach, FL

04/26/11E. Vance Grange Smithfield, UT 05/04/11Earl Jefferson Plano, TX 04/25/11Earl R. Sims 06/15/11Earl Weedon Addison, TX 04/25/11Eban Barnett 06/02/11ed delorenzo hackensack, NJ 05/18/11Ed Green West Des Moines, IA 04/25/11Ed Mink 06/02/11Edmund Ricker Portland, ME 04/25/11Edna Thompsen Houston, TX 04/25/11Edward Brennan 06/02/11Edward Camp 06/02/11Edward Carson Simpsonville, SC 05/05/11Edward Costello 06/02/11Edward F. (Ned) Nagle II 06/02/11Edward Fatla 06/08/11Edward Fulbright Durham, NC 05/05/11Edward Gjertsen II 06/10/11Edward Goldstein 06/01/11Edward Holy Willowbrook, IL 04/25/11Edward J Kohlhepp 06/15/11Edward J. Mockler, CFP 06/10/11Edward Johnson Glendale, CA 05/13/11Edward Kohlhepp Doylestown, PA 04/26/11Edward Mora 06/02/11Edward Muse Raleigh, NC 05/03/11edward n smolar 06/01/11Edward Roth Pettisville, OH 05/18/11Edward Skalamera Berwyn, PA 04/26/11Edward Stuart Short Hills, NJ 04/25/11Edward Williams Brunswick, GA 04/25/11EDWARD ZABLOSKI OCEAN BLUFF, MA 05/03/11Edwin Drake Madison, WI 04/25/11Edwin R. Baldrige III 06/10/11Egon Menker 06/02/11Eileen J. Trott Rochester, NY 04/25/11

Page 34: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Eileen Novak Omaha, NE 05/24/11Elaine Bedel 06/10/11Elaine Collins Libertyville, IL 04/26/11Elaine Collins 06/15/11ELAINE KIERNAN Santa Cruz, CA 04/25/11Elaine Potash Greenwich, CT 04/25/11Eleanor Blayney McLean, VA 05/03/11Elihu Woolfson Brandon, FL 04/26/11Elissa Buie Vienna, VA 04/25/11Elizabeth A. Bailey, CFP 06/11/11Elizabeth Baer Lansing, MI 05/24/11Elizabeth Barrett Rochester, NY 04/25/11Elizabeth Bivings 06/21/11Elizabeth Cox REDDING, CT 04/26/11elizabeth harty atlanta, GA 05/18/11Elizabeth Jetton 06/03/11Elizabeth Kaye McBee Tulsa, OK 04/25/11Elizabeth L. Rabbitt 06/10/11Elizabeth Pavin Darien, IL 05/04/11Elizabeth Shabaker Phoenix, AZ 04/26/11Elizabeth Whitteberry 06/02/11Elizabeth Wu 06/10/11Ellen DeNelsky 06/02/11Ellen E Hull 06/10/11ELLEN H. OPPRECHT 06/02/11Ellen J Webber 06/10/11Ellen Siegel Miami, FL 04/26/11Ellen Siegel, CFP 06/01/11Ellen Timberlake Arlington, TX 04/25/11Elliott Ring, CPA,CFP,PFS,CFS,RFC,CPRC

06/10/11

Elliott S Collins 06/05/11Emily Beshlian La Vista, NE 04/25/11Enoch Chung wtertown, NY 06/01/11Enrique Aguilar San Antonio, TX 04/25/11Enrique Aguilar Moorpark, CA 06/01/11Eric A. Nordseth 06/01/11Eric Bruck, CFP 06/14/11Eric Cumley, CFP 06/01/11Eric Flett 06/13/11Eric Garrard 06/02/11Eric Golberg San Jose, CA 04/25/11

Page 35: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Eric Hess McLean, VA 05/03/11Eric Hutchinson Little Rock, AR 05/09/11Eric Kies Moline, IL 04/25/11Eric Korbitz Elm Grove, WI 04/26/11Eric LaBay Broomfield, CO 05/03/11Eric Lans Muskegon, MI 04/26/11Eric McClain Vestavia, AL 04/25/11Eric Moen 06/01/11Eric Mote Cedar Rapids, IA 04/25/11Eric Nelson 06/10/11Eric Rabbanian Austin, TX 05/19/11Eric Shaffer 06/01/11Eric Simons 06/10/11Eric Smith Seattle, WA 04/25/11Eric Steiner St. Louis, MO 04/27/11Eric Stokes 06/01/11Eric Swanson Camarillo, CA 04/25/11Eric Wasson 06/01/11Eric Weiss Tolland, CT 04/26/11Erik Christman Louisville, KY 06/01/11Erik Daniels Roswll, GA 04/25/11Erik M Lindgren, CFP ChFC 06/01/11Erik Melville 06/01/11Erik Milam, CFP®, RLP® 06/16/11Erik Streeter Salem, MA 05/01/11Erik Wolfers Piedmont, CA 04/25/11Erin Campbell Raleigh, NC 05/31/11Erin Freize, CFP 06/02/11Erin Ladwig West Bend, WI 04/25/11Erin Linnihan 06/10/11Ethan Bonar Dalas, TX 04/26/11Ethan Pepper Campbell, CA 05/04/11Eugene Fambrough San Juan Capistrano, CA 04/26/11Eugene Nazelrod Towson, MD 04/25/11Eugene Schnell Castle Rock, CO 05/03/11Eugene Smith 06/01/11Eugene von Mosch Duluth, MN 04/30/11Eva Wilde Bloomingdale, IL 05/03/11Evan Bedel 06/05/11Evan C. Barrett, CFP® 06/10/11Evan Peterson Round Rock, TX 04/25/11

Page 36: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Evan Russell, CFPtm Portland, OR 04/25/11Eve Kaplan Berkeley Heights, NJ 05/04/11Evelyn MacIntyre Bloomfield Hills, MI 04/26/11Evelyn Zohlen Huntington Beach, CA 04/28/11Everette B. Orr 06/10/11F Carl Walter Beachwood, OH 04/26/11F Dennis De Stefano Kihei Maui, HI 04/25/11F William Evanhoe Redding, CA 04/25/11F. James Ginnane 06/12/11Fabio Santos 06/09/11Faith Xenos Coral Gables, FL 05/05/11Farah Winkler 06/01/11Faron Daugs Libertyville, IL 04/27/11Faye Godwin Hillsborough, NC 05/05/11Faye Kathryn Doria 06/03/11Faye Sanders CFP 06/02/11Fern Alix LaRocca CFP EA Mountain View, CA 04/25/11Ferris Ahn McLean, VA 04/25/11Ford Barrett Wenatchee, WA 05/05/11Frances Goldman Washington, DC 04/26/11Frances Merryman 06/10/11Francesca Banci Woodbuty, NY 05/06/11Francis Kredit Fullerton, CA 04/25/11Francis P Garvan Rye, NH 04/26/11Francis Sellers S.Yarmouth, MA 04/25/11Francis St.Onge, CFP 06/10/11Frank Allen Ponte Vedra Beach, FL 04/28/11Frank Arnall Winter Park, FL 05/03/11Frank B. Robards, III 06/10/11Frank Bartolone Park Ridge, IL 04/25/11Frank Boucher Reston, VA 04/25/11Frank Brannon Atlanta, GA 04/25/11Frank C Presson, III Tucson, AZ 05/10/11Frank Cagnetti Montrose, CO 05/04/11Frank Garrick Kenilworth, NJ 05/26/11Frank Geremia 06/14/11Frank Kelly Little Rock, AR 04/27/11Frank Lehane Fullerton, CA 04/25/11frank lupul saratoga spgs, NY 05/05/11Frank Marrone 06/10/11Frank Mlynarczyk 06/02/11

Page 37: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Frank Nelson White Plains, MD 04/27/11Frank Patzke Palatine, IL 04/25/11Frank Ruffing Arlington, VA 05/04/11Franklin Mohri 06/10/11Franklin Williamson Durham, NC 04/25/11Fred Amrein Wynnewood, PA 05/04/11Fred Fisher Santa Barbara, CA 04/26/11Fred Holmes gulfport, MS 04/25/11Fred J Wilson 06/03/11Fred Soule Murray Hill, NJ 05/29/11Frederic Flower Annapolis, MD 04/26/11Frederic Rizzo Chicago, IL 05/03/11Frederick Brooks Solana Beach, CA 04/25/11Frederick Miller Waltham, MA 04/27/11Frederick R Parcells 06/14/11Fredric Goodman 06/10/11Fredrick Livingston Alpharetta, GA 04/25/11G Charles Mishler Wichita, KS 04/25/11G. Joseph Votava, Jr. Rochester, NY 04/25/11G. Ray Cauthen Jr CPA CFP 06/03/11Gabe Stepanic Cary, NC 04/25/11Gaetan Scalzo 06/01/11Gail A. Hicks 06/11/11Gail Parker Portland, OR 04/25/11Gale Johnston 06/10/11Gali sherman 06/10/11garth williams Los Altos, CA 04/26/11GARY A. FOCHESTO 06/10/11Gary A. Morris 06/15/11gary alfonso 06/16/11Gary Bowyer Park Ridge, IL 05/04/11Gary Calmes 06/07/11Gary D. Burger 06/15/11Gary Deardorff Glendale, AZ 04/27/11Gary DeLorenzo Huntington, NY 04/25/11Gary Domm Germantown, TN 04/25/11Gary Gray 06/01/11Gary Greenbaum Tucson, AZ 04/25/11Gary Hager Piscataway, NJ 04/25/11Gary Hess Harrisonburg, VA 05/05/11Gary Horowitz Deerfield Beach, FL 05/03/11

Page 38: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Gary Johnston Princeton, NJ 05/03/11Gary Kolodziejczyk, Sr. Syracuse, NY 04/25/11Gary l Twing 06/10/11Gary L. Popkes 06/02/11Gary Love ROckford, IL 04/25/11Gary Morris Dallas, TX 05/01/11Gary N. Krikorian , CPA, CFP 06/13/11Gary Orkin Berkeley, CA 04/25/11Gary Parks Olney, MD 05/04/11Gary Pittsford Indianapolis, IN 04/25/11gary r gauthier 06/13/11Gary Rennie Irvine, CA 05/05/11Gary Sidder Littleton, CO 05/03/11Gary Svatek Fairfield, CA 04/25/11Gary T. Moss Jr. 06/15/11Gary Tilley Kingsport, TN 05/04/11Gary Vawter 06/13/11Gary Vig Eden Prairie, MN 05/18/11Gary W Dicus 06/01/11Gary Ward Brentwood, TN 05/03/11Gayle Colman Carlisle, MA 04/25/11Gayle I Delfs 06/03/11Gene Balliett Winter Park, FL 05/31/11Gene Diederich Clayton, MO 04/26/11Gene Faddis Ambler, PA 04/25/11Gene Root Merced, CA 06/01/11Geoffrey Kanner North Haven, CT 04/25/11Geordie Crossan Westlake Village, CA 05/05/11George Bentley 06/15/11George Bernet Needham, MA 04/25/11George Durham Falls Church, VA 04/25/11George Englert 06/01/11George G Ross CPA PFS CFP® 06/10/11George Hall 06/10/11George Kinder Littleton, MA 05/17/11George Koeltl Valhalla, NY 05/19/11George Loomis Minneapolis, MN 04/25/11George Luciani Yardley, PA 04/25/11George M Dimitriu 06/02/11George Middleton Vancouver, WA 04/25/11George Mowrey Youngstown, OH 04/25/11

Page 39: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

GEORGE OSHIRO Diamond Bar, CA 04/25/11George Pierce Lexington, KY 05/19/11George Poole New York, NY 04/25/11George Squires Salt Lake City, UT 05/05/11George Syata Overland Park, KS 04/26/11George W Martin III 06/10/11George Warner Rowlett, TX 04/26/11George Waters Brewster, NY 05/05/11Georgeanna Fischetti Chicago, IL 04/26/11Georgette Frazer, CPA, CFP® Marshfield, WI 05/18/11Gerald Craig 06/16/11Gerald Gasber Folsom, CA 05/04/11Gerald Gortner 06/10/11Gerald Kasper Cary, NC 04/29/11Gerald Klump Madison, WI 04/25/11Gerald LaMalfa Branchburg, NJ 04/25/11Gerald M. Schwartz, CFP(r) 06/10/11Gerald P Motl 06/01/11Gerald Summers West Chester, OH 05/03/11Gerald Tyson Fitchburg, WI 04/25/11Geraldine "Carrie" Jones Jacksonville, FL 04/26/11Gerard Barrasso Smithtown, NY 05/04/11Gerard Stellwagen Venice, FL 05/03/11Gerard Thompson 06/14/11Gerry Ahern, CFP 06/17/11Gerry Finnegan Lincoln, NE 05/19/11Gifford Lehman Carmel, CA 04/25/11Gilbert Armour San Diego, CA 04/25/11Gilbert Bradley Fries Irvine, CA 05/06/11Giles Almond Charlotte, NC 04/25/11Glen Adams Napa, CA 04/26/11Glen Larsen 06/01/11Glen Merritt 06/02/11Glen Wright Idaho Falls, ID 04/26/11Glenda Bianchi Dallas, TX 04/27/11Glenn Cook Athens, GA 04/26/11Glenn Downing Miami,, FL 04/26/11Glenn E. Murphy 06/03/11glenn large downingtown, PA 04/25/11Glenn Smith Los Gatos, CA 04/25/11Glenn Tetley 06/10/11

Page 40: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Glenn Woody Costa Mesa, CA 04/25/11Gloria J. Patterson 06/02/11Gloria Monroe Grants Pass, OR 05/02/11Gordon Bennett Winchester, MA 05/04/11Gordon Carpenter Centennial, CO 04/25/11Gordon Peay Playa del Rey, CA 04/25/11Gordon S. Shearer Jr., CFP 06/17/11Gordon Sherard 06/10/11Grant Blindbury 06/03/11Gray Goudeau Metairie, LA 05/03/11Greg Aitkens Mission Viejo, CA 05/03/11Greg Damron Salt Lake City, UT 04/25/11Greg Doran 06/10/11Greg Hinkson Troy, MI 04/25/11greg johnson Newark, DE 05/18/11Greg Kimura Sherwood, OR 04/25/11Greg Kyde Boulder, CO 05/03/11Greg Palmer 06/10/11Greg Pearce Annapolis, MD 04/25/11Greg Perram 06/10/11Greg Stark Scottsdale, AZ 04/25/11Greg Walthorn Bath, MI 04/25/11Greg Werlinich Rye Brook, NY 04/25/11Greg Yahn 06/09/11Gregg Clarke Larkspur, CA 04/26/11gregg fortune west bloomfield, MI 04/25/11Gregg J. Timura 06/06/11Gregory Fasig Loveland, OH 04/26/11Gregory Fetters Lake Placid, NY 05/04/11Gregory Fong Torrance, CA 04/25/11Gregory Galecki Ft Wayne, IN 05/31/11Gregory Helser San Francisco, CA 05/05/11Gregory Herman-Giddens Chapel Hill, NC 04/25/11Gregory Johnston Peoria, IL 05/31/11Gregory Katzman Chicago, IL 05/05/11Gregory Lawrence Windham, NH 04/25/11gregory lucas Sacramento, CA 04/25/11Gregory M Visconti CFP 06/02/11Gregory Makowski Totowa, NJ 05/04/11Gregory Morse Los Angeles, CA 05/03/11Gregory Ostrowski Annapolis, MD 05/03/11

Page 41: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Gregory Richardson Rockville, MD 04/25/11Gregory Schaffer 06/01/11Gregory Schill, CFP 06/02/11Gregory Scrydloff 06/10/11gregory stapp olympia, WA 05/31/11Gregory W. Williams Salt Lake City, UT 04/26/11Gregory Wittland Quincy, IL 04/26/11Gregory Yahn Greensboro, NC 05/05/11Gregory Zimmer Hopewell Jct, NY 04/25/11Gretchen Mahaffey Louisville, KY 04/25/11Gretchen Mahaffey CFP, MBA 06/06/11Grgeory M Visconti CFP 06/02/11Gtant Blasdell 06/10/11Gustav Krantz 06/14/11Gwen Gepfert 06/01/11H. A. Kallio Santee, SC 04/25/11H. Dudley Wade, CFP(r) 06/13/11H. GLEN BURNS 06/17/11H. Lindsey Torbett, CPA, CFP 06/10/11H. Robert Bradley, CFP (TM) Rochester, NY 04/25/11Haider Sharifi 06/10/11Haiping Chen San Jose, CA 05/31/11Hali London Bethesda, MD 05/03/11Hank Mulvihill Richardson, TX 04/25/11Hap Cole 06/10/11Harlan Storey North Canton, OH 05/04/11Harold Bacheller 06/10/11Harold Evensky Coral Gables, FL 04/25/11Harold Richardson Stoneham, MA 04/25/11Harold Rogers Jacksonville, FL 04/25/11Harold Sasnowitz Binghamton, NY 05/05/11Harriet Brackey Miami, FL 05/17/11Harris Creech Solon, OH 04/25/11Harry McCullough Lafayette Hill, PA 04/25/11Harry Nathan McCall 06/02/11harry rivenburgh 06/01/11Harvey Koenig 06/13/11Harvey Maclary 06/15/11Harvey Ziegler Glencoe, MO 04/26/11Haynes Kendall San Juan Capistrano, CA 05/03/11Heather A. Brountas 06/02/11Heather Robison Bartlesville, OK 04/25/11

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Heather Robison 06/01/11Heidi Mulling Roswell, GA 04/25/11Helen Modly Warrenton, VA 04/25/11helen rouzanov Lynnwood, WA 04/25/11Helen Wunderlich Evansville, WI 04/25/11Helga Cuthbert Decatur, GA 05/19/11Henry Bragg Houston, TX 05/04/11Henry Davidson, CFP 06/10/11Henry Davis Knoxville, TN 04/26/11Henry H. Godbee III Little Rock, AR, AR 04/26/11Henry Hanau New York, NY 04/25/11Henry Spil, CPA, CFP 06/10/11Henry Watson Pittsford, NY 05/03/11herb keyser nevada City, CA 05/18/11Herb Montgomery 06/01/11Herbert Fulton 06/13/11Herbert Hughes Danville, CA 05/12/11herbert kim beaverton, OR 05/19/11Hillel Katzeff San Diego, CA 05/03/11hldy richelson blue bell, PA 05/04/11Holland Duell Sheridan, WY 05/18/11Holly Carroccio 06/02/11Holly Gallagher Grawn, MI 04/25/11Holly Sansing Pasadena, TX 05/04/11Holly Whittle Bellingham, WA 05/04/11Howard C. Young, CFP 06/10/11Howard Kuehl Henrico, VA 05/03/11howard lim Chino Hills, CA 05/06/11Howard Nellhaus 06/06/11Howard Pressman 06/20/11Howard Townsend Bonsall, CA 05/03/11Howard W Chan 06/10/11Hratch Panosian 06/02/11Hubert Ross Niceville, FL 04/25/11Hugh B. Phillips 06/14/11Hugh Cannon St. Louis, MO 04/27/11Hugh Cole Bedminster, NJ 06/01/11Hugh Parks Memphis, TN 04/25/11Hyrum Smith Blacksburg, VA 05/31/11Ian Harris Houston, TX 05/10/11IIDA EPSTEIN EAST MEADOW, NY 05/18/11

Page 43: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

ines vasquez caracas, Venezuela 04/25/11Inge Bacon 06/13/11

Ingrid Price Grt Manchester, United Kingdom

04/28/11Ione Cockrell columbia, SC 05/06/11Ira Zito 06/02/11Irene Garand Sturbridge, MA 05/06/11Irene Kanai Arlington Hts, IL 04/25/11Irene Kramer Atlanta, GA 04/25/11IRENE VILONALABONNE Fontana, WI 05/03/11Iris Dayoub Savannah, GA 05/04/11Ishmael Williams Jacksonville, FL 05/19/11israel Guitian Fort Myers, FL 06/01/11Isreal Miller Dallas, TX 04/25/11Ivan G Kerr Walnut Creet, CA 04/25/11Ivan L White 06/01/11Ivana Liberatore McMurray, PA 04/27/11Ivy Emerick Zionsville, IN 05/04/11J David Lewis Knoxvillle, TN 04/25/11J Jeffrey Lambert Folsom, CA 05/05/11J Lynch Des Moines, IA 04/25/11J Parker Mitchell 06/01/11J Randall Hoidahl 06/02/11J Timothy Cumming Leesburg, FL 04/25/11J. Brent Beene Morristown, NJ 04/25/11J. Donald Bird West Conshohocken, PA 04/26/11J. Gregory Kudlick 06/10/11J. Jerri Hewett Duluth, GA 05/04/11J. Joseph Roman Moorestown, NJ 05/04/11J. Michael Eldridge 06/14/11J. Michael Whitehead 06/10/11J. Michael Witaszek 06/15/11J. Richard Joyner 06/15/11Jac A Cerney, CFA, CFP 06/02/11Jace Brooks Suwanee, GA 04/25/11Jack B. Mace, CFP, CLU, ChFC 06/01/11Jack C. Harmon II, CFP, CIMA 06/13/11Jack Dugan San Diego, CA 04/25/11Jack Flynn Concord, MA 05/17/11Jack Ford Roseville, CA 04/25/11Jack Frost 06/01/11

Page 44: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Jack Jackson Saint Petersburg, FL 04/25/11Jack Riashi Grosse Pointe Woods, MI 04/25/11Jack White St. Charles, MO 04/25/11Jacob Kuebler Urbana, IL 05/31/11Jacqueline Thornhill 06/10/11Jacquelyn Nasca APO, AE 04/25/11Jacqui Friedrich Asheville, NC 05/18/11Jai T. Doshi 06/10/11Jaime Hinojosa Pleasant Hill, CA 04/26/11Jaime M. Rojkind, CFP 06/01/11Jaimee Hansen Lake Oswego, OR 04/25/11Jaimee Hansen, CFP(r) 06/01/11Jake Jacklich Virginia Beach, VA 04/29/11James K Rockford 06/02/11James Ahlschwede Denver, CO 05/06/11James Anderson Danville, IL 05/04/11james ashby Magnolia, AR 05/03/11James B. Sleyster 06/10/11James Baker Helotes, TX 04/25/11James Barnash Northbrook, IL 05/09/11James Bell Oakland, CA 04/25/11James Blakey 06/10/11james blazejewski 06/07/11James Bova Ridgefield, CT 04/25/11James Bray Seattle, WA 05/04/11James Brown Durham, NC 04/28/11James Bukowsky Houston, MO 05/08/11James C. Horlacher 06/06/11James C. Sexton III, CFP 06/01/11James Carbone Jr. Cincinnati, OH 06/01/11James Carr Jacksonville, FL 05/18/11James Christie Bethesda, MD 06/01/11James Conrad Birmingham, AL 05/04/11James Corbeau 06/11/11James Cornfeld Clayton, MO 04/25/11James Curran Menlo Park, CA 04/26/11James D Hallett 06/02/11James D Vaughan III 06/10/11James Dew Scottsdale, AZ 04/25/11James Donicht Big Canoe, GA 05/04/11James E. Van Meter 06/01/11

Page 45: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

James E. Wilson 06/12/11James F. Epperson Baton Rouge, LA 04/26/11James F. Seramba 06/15/11James Fallon Cornelius, NC 05/03/11James G Hofmann 06/13/11James Gallo New Providence, NJ 04/30/11James Glover 06/01/11James H Sanders 06/02/11James H White 06/02/11James Hachadorian altamonte sprgs, FL 05/04/11James Hankinson Augusta, GA 04/25/11James Hogan Lombard, IL 05/05/11James HOPSON PLano, TX 04/27/11James Houston Lewisville, TX 05/18/11James Hoveland Souderton, PA 04/26/11James Ison Marathon, WI 04/26/11James J. Mammarella, Jr. 06/02/11James Johnson Folsom, CA 04/25/11James Jung 06/10/11James Kaufmann Holbrook, NY 04/25/11James Keith Cox 06/02/11James Klima Columbia, MD 04/25/11James LeBlanc Sahuarita, AZ 04/25/11James Lee Vienna, VA 05/03/11James Ludwick Odenton, MD 04/25/11james m nordlund Fargo, ND 04/29/11JAMES M WESOLOWSKI 06/02/11James M. Bell CFP® 06/01/11James M. Chapman CFP 06/04/11James M. Dunphy 06/01/11James M. Knaus, CFP 06/01/11James M. Thompson, CFP Arlington, MA 05/05/11James Mabbutt Roseville, CA 04/25/11James Maher 06/10/11James McCurdy Houston, TX 05/05/11James McGehee Charlotte, NC 05/18/11James Mclaughlin Media, PA 04/26/11James Morrison Gallipolis, OH 04/26/11James Nathan Matheson 06/16/11James Noble Wayne, NJ 05/19/11James Norvell 06/01/11

Page 46: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

james okeefe coto de caza, CA 04/25/11James Owen Easton, PA 04/25/11James P. Sandstrom 06/10/11JAMES PARENTI El Dorado Hills, CA 05/04/11James Pasztor Aurora, CO 05/31/11James Pearman Salem, VA 04/25/11James Perry Fort myers, FL 05/07/11James R. Armagost 06/01/11James R. Sholder 06/15/11James R. Waters 06/01/11James Reardon Topeka, KS 05/06/11James Reding St. Louis, MO 05/31/11James Reilly Mprristown, NJ 04/25/11James Robinson Apharetta, GA 04/25/11James Ryan 06/12/11James S. Agostini 06/10/11James S. Miller Wilmington, DE 04/25/11James Sanders Charleston, SC 05/06/11James Sawyer Salem, OR 05/03/11James Schwartz Scottsdale, AZ 04/25/11James seagrave Middlefield, CT 05/22/11James Seramba Greensboro, NC 04/25/11James Shumway Orem, UT 05/04/11James Simm Baton Rouge, LA 05/03/11James Snelling Houston, TX 05/04/11James Stehr Alameda, CA 05/18/11James Stewart Gaithersburg, MD 05/04/11james titus Foster City, CA 04/25/11James W Trippel 06/10/11James W. Zeberlein. JR. CFP 06/13/11james walker charlotte, NC 04/25/11James Walker janesville, WI 05/15/11James Warner 06/16/11James Watkins Snellville, GA 05/06/11JAMES WATSON Marietta, OH 04/26/11James Watt Fort Colloins, CO 04/25/11James Weafer Owensboro, KY 04/25/11James Weeks Littleton, CO 04/27/11James Wilbur Redmond, WA 05/03/11JAMES WISE STOCKTON, CA 05/03/11

Page 47: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

James Wood St. Louis, MO 04/25/11James Wright Macomb, MI 04/26/11James Zeberlein SLC, UT 05/04/11James Zegers Albany, NY 04/25/11Jamie Horneman chicago, IL 05/25/11Jamie Milne West Danville, VT 05/31/11Jamie Scotland 06/02/11Jan Gerards 06/10/11Jana Davis Manhattan Beach, CA 05/20/11Jana Shoulders Tulsa, OK 05/04/11Jan-David Jansen Lake Oswego, OR 04/26/11Jane Alma Massie EA CFP® 06/10/11Jane Beule Redwood City, CA 05/04/11Jane Newton 06/13/11Jane Volden Newton, MA 04/26/11Janet Hroncich Fairfax, VA 05/06/11Janet Petran Itasca, IL 04/25/11Janet Rhodes Friedman Concord, MA 05/04/11Janet Stanzak Bloomington, MN 04/26/11Janet Tighe Boston, MA 05/03/11Janet Tyler Johnson Blanchardville, WI 04/25/11Janet Utech Minneapolis, MN 04/25/11Janice A. Ginsburg 06/15/11Janice Dreese Bloomsburg, PA 04/25/11Janice F. Del Toro 06/13/11Janice Swenor 06/10/11Janis C Shibata 06/10/11Jared Sweitzer Phoenix, AZ 05/18/11Jared W. Merchant 06/02/11Jas Arandia 06/16/11Jason Archambault PROVIDENCE, RI 04/26/11Jason Baker Charlotte, NC 04/29/11Jason Cole Leawood, KS 05/05/11Jason Folsom Davenport, IA 05/18/11Jason Frazier Memphis, TN 05/03/11Jason Good Edina, MN 05/07/11Jason Gray Houston, TX 05/03/11Jason Hoofnagle 06/10/11Jason Johnson 06/14/11Jason Kamler 06/02/11Jason Kirke, CFP(r) 06/10/11

Page 48: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Jason Labrum Carlsbad, CA 05/04/11Jason Landers Huntsville, AL 05/04/11jason lewis denver, CO 04/25/11Jason Loveless Dallas, TX 04/25/11Jason Martin 06/17/11Jason Moore Bloomfield Hills, MI 04/27/11Jason Palmer 06/10/11Jason R. Muench 06/07/11Jason R. Newcomb, CFP(R) 06/01/11Jason Scharp Huntington Beach, CA 04/25/11Jason Simac 06/10/11Jason Smith Hood River, OR 05/18/11Jason Vestal Fort Lauderdale, FL 05/03/11Jason Wheeler Wilmington, NC 04/25/11Jason White Safety Harbor, FL 04/26/11Jay Desai 06/10/11Jay F Mastilak 06/14/11Jay Frank Delafield, WI 04/27/11Jay Hutchins Lebanon, NH 04/25/11Jay L Fuller St Louis, MO 04/25/11Jay Leader 06/10/11Jay Penney Scottsdale, AZ 05/05/11Jayden Thome Miami, FL 04/29/11Jayne Ferrante Fresno, CA 04/25/11JD (Joe) Irlanda 06/06/11Jean Keener Keller, TX 05/19/11Jean McAllister Scotch Plains, NJ 05/26/11Jean Mote Cedar Rapids, IA 05/04/11Jeanette Gruber Peoria Hts, IL 04/26/11Jeanne Rabe Greensboro, NC 04/26/11Jeanne Weaver Mahwah, NJ 05/23/11Jeannette Jones Cincinnati, OH 05/03/11Jeannine Stecklair New Smyrna Beach, FL 04/25/11Jeff Auwinger 06/10/11Jeff Bergsbaken 06/01/11Jeff Bogue Wells, ME 04/26/11Jeff Burrow Modesto, CA 04/25/11Jeff Camarda, CFP, ChFC, CFA, CLU

Orange Parl, FL 04/25/11

Jeff Euting Simsbury, CT 04/25/11Jeff Fang Los Angeles, CA 05/20/11

Page 49: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Jeff Fortune 06/02/11Jeff Gale 06/02/11Jeff Hall Knoxville, TN 04/28/11Jeff Huizenga Mackinaw, IL 05/09/11Jeff Klauenberg 06/02/11Jeff Kostis Vernon Hills, IL 05/05/11Jeff Maas 06/01/11Jeff Muhle 06/01/11Jeff Ogle Littleton, CO 04/25/11Jeff Rall Jr 06/19/11Jeff Schmeltekopf Fort Worth, TX 04/25/11Jeff Segerstrom Mondovi, WI 05/04/11jeff seymour cary, NC 05/04/11Jeff Vistica Carlsbad, CA 04/25/11Jeff Witten Columbia, MO 04/26/11Jefferson Adcock Brentwood, TN 05/05/11Jefferson Correia Woburn, MA 05/06/11Jeffery Hwang Greensboro, NC 05/05/11Jeffery Nauta 06/02/11Jeffery Scot Uselton 06/13/11Jeffrey Abadie San Francisco, CA 05/03/11Jeffrey Armstrong Restion, VA 04/25/11Jeffrey Augustine Newton, MA 04/25/11Jeffrey Biggar Cleveland Heights, OH 04/25/11Jeffrey Blowers Brooklyn Park, MN 04/25/11Jeffrey Bogaard Murray, UT 05/06/11Jeffrey Botz 06/10/11Jeffrey Bright Portage, MI 04/27/11Jeffrey Broadhurst Lansdale, PA 04/25/11Jeffrey Carlson Columbia, MD 05/04/11Jeffrey D McClenning 06/07/11Jeffrey Daniher Cincinnati, OH 04/25/11Jeffrey Godshall Souderton, PA 04/26/11Jeffrey H. Massey, CFP® 06/13/11Jeffrey Hagerty Branchburg, NJ 05/18/11Jeffrey J. Pearce 06/02/11Jeffrey Kohls Springfield, MO 04/25/11Jeffrey Kuklinski Mequon, WI 05/03/11Jeffrey L Halbreich 06/01/11Jeffrey L. Harris, MBA, CFP Brooklyn, NY 05/03/11Jeffrey L. Kaylor Irvine, CA 04/25/11

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Jeffrey MacDonald Greenville, DE 05/04/11Jeffrey Massey Linconln, RI 05/07/11Jeffrey Mehler Essex, CT 05/04/11Jeffrey Morrison 06/01/11Jeffrey Puglia 06/20/11Jeffrey S Price 06/10/11Jeffrey S. Bankert 06/13/11Jeffrey Schaefer Centennial, CO 04/26/11Jeffrey Sloan Scottsdale, AZ 04/25/11Jeffrey Stouffer Herndon, VA 05/05/11Jeffrey West Wellesley, MA 04/25/11Jeffrey Woolf NewYork, NY 05/06/11Jeffrey Yamada Eugene, OR 05/19/11Jennefer Walsh Golden, CO 05/12/11Jennifer Baty 06/19/11Jennifer Cray Palo Alto, CA 04/25/11Jennifer Hall Greeneville, TN 05/01/11Jennifer Lazarus Durham, NC 05/05/11Jennifer Lotta Rochester, NY 05/04/11Jennifer Murray Morristown, NJ 05/04/11Jennifer Nicasio 06/10/11Jennifer Noah Augusta, GA 05/04/11Jennifer Pittsley 06/02/11Jennifer Preston Austin, TX 04/25/11Jennifer Quigley McLean, VA 04/27/11Jennifer Ragborg Burnsville, MN 04/26/11Jennifer Ryan 06/02/11Jennifer S. Rossettini 06/14/11Jennifer Sanchez Naperville, IL 05/03/11Jennifer Simes Rutland, MA 04/25/11Jennifer Smiljanich 06/02/11Jennifer Weinland 06/11/11Jeremiah Wyatt II Cornelius, NC 04/26/11jeremy armagost 06/13/11Jeremy David 06/01/11Jeremy Heller 06/02/11Jeremy Kovacevich 06/01/11Jeremy McCurdy Highland Village, TX 05/18/11Jeremy R George 06/02/11Jeremy Welther Madison, NJ 05/19/11Jeri Davidson Huntersville, NC 05/03/11

Page 51: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Jeri Lynn Davidson 06/14/11Jerod Fenton Valley Center, CA 05/03/11Jerold Wright 06/13/11Jerome Celmer Jr. 06/01/11Jerome Jezuit 06/10/11Jerome Miller Gaithersburg, MD 05/03/11jerrod colston 06/22/11Jerrold Slutzky Land O Lakes, FL 04/25/11Jerry Boisseau Toms River, NJ 05/27/11Jerry Brock Klich 06/15/11Jerry Broussard Kaplan, LA 04/29/11Jerry Carden Troy, AL 05/06/11Jerry F. Kralik, CFP 06/02/11Jerry mallonee dallas, TX 04/25/11Jerry Murphy 06/01/11Jerry Neal Novato, CA 04/25/11Jerry Searight 06/02/11Jerry Seibert Springfield, IL 05/06/11Jerry Sheby Long Beach, CA 05/03/11Jerry W. Fuhrmann 06/13/11Jerry Webb Naperville, IL 04/25/11Jess Kutch Washington, DC 04/26/11Jesse Crews Jacksonville, FL 04/25/11Jesse Gossett Kentfield, CA 05/03/11Jessica Andrus Middletown, NJ 06/01/11Jessica Bokhart Indianapolis, IN 05/09/11Jessica Greenway Seattle, WA 05/04/11Jessica Howe Portland, OR 05/05/11Jessica Plattner Brookline, MA 05/31/11Jessica Standifer 06/11/11Jill Boynton Newington, NH 05/05/11Jill Hollander Corte Madera, CA 05/05/11Jill Pietrusinski OFallon, IL 05/05/11Jim Birks 06/10/11Jim Blankenship New Berlin, IL 05/04/11Jim Boulay Omaha, NE 05/03/11Jim Burton Boulder, CO 04/26/11Jim Davis Columbus, OH 05/04/11Jim F. Baugh 06/14/11Jim Frazin San Francisco, CA 04/26/11Jim Gagnon Jr. 06/10/11

Page 52: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Jim Laneve Lynchburg, VA 04/26/11Jim M. Stewart 06/13/11Jim MacKay 06/02/11Jim McGurren 06/01/11Jim Mock Medford, OR 04/27/11Jim Nelson Valdosta, GA 04/25/11Jim O'Shea Houston, TX 05/04/11Jim Salerno Madison, WI 04/26/11Jim Stewart Covina, CA 05/03/11Jim Trull Cary, NC 04/25/11JIM VERMILLION Chicago, IL 05/03/11Jim Yurashak 06/10/11Jimmy Kull Austin, TX 04/26/11Jo Ann Numbers, EA, CFP 06/11/11Joan H. Peurifoy, CFP 06/01/11Joan Olson frankfort, IL 05/06/11Joan Peurifoy Dallas, TX 05/03/11Joan Rossi Minneapolis, MN 04/25/11Joan Sharp Wilmington, DE 05/04/11JoAnn May Riverside, IL 04/26/11Joann White 06/01/11Joanne Amorosi, CFP 06/02/11Joanne Marion Yorktown Heights, NY 04/25/11Joanne Snider Bayside, NY 04/26/11Jocelyn D. Wright 06/15/11Jocelyn Holzwarth Las Vegas, NV 05/09/11Jocelyn Wright Elkins Park, PA 04/26/11Jody D'Agostini 06/01/11Jody Duncan Portland, OR 05/31/11Joe B Gemmill, CFP 06/01/11Joe Bonaccorsy 06/17/11Joe Brockman 06/02/11Joe Campisi Fairview Village, PA 04/26/11Joe Downs Sarasota, FL 04/25/11Joe Fulmer 06/03/11Joe Kelly 06/02/11Joe McCartney Redmond, WA 04/25/11Joe Pires 06/01/11Joe Pitzl Saint Paul, MN 04/26/11Joe Wells 06/01/11Joe Yard Maple Grove, MN 04/26/11

Page 53: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Joel Bickmore St Simons Island, GA 05/03/11Joel Bird 06/10/11Joel Corush Crystal Lake, IL 04/27/11Joel Larsen Davis, CA 04/26/11Joel Radakovitz Machesney Park, IL 05/04/11Joel Schaffer Wilmette, IL 04/26/11Joel Shaps Los Altos, CA 04/27/11Joel Vander Meyden 06/11/11Johanna McMichael Wilton Manors, FL 05/06/11JOHANNA TURNER MAYFIELD, KY 05/05/11John 06/10/11John A Ungerman 06/15/11John A. Epeneter 06/01/11John Adams 06/11/11John Barrios Collierville, TN 04/25/11John Bender McLean, VA 04/25/11John Bergerson SaltLake City, UT 05/04/11John Bernards Alexandria, VA 05/04/11John Berry Mineral Wells, TX 05/18/11John Bird Salt Lake City, UT 05/31/11John Bradley Reid, CFP® 06/10/11John Brown Fairhope, AL 04/25/11John Bruce Morrill Jr 06/01/11John Bubula Park Ridge, IL 05/03/11John Burns San Francisco, CA, CA 04/25/11John Bysko Old Lyme, CT 05/18/11John C Girvin, CFP 06/02/11John C, Pawlik 06/06/11John Carberry Pittsburgh, PA 04/25/11John Carey Mount Pleasant, SC 05/31/11John Carrig Boca Raton, FL 05/19/11john carty-campbell canton, GA 05/04/11John Ceparano Lecanto, FL 04/26/11John Checki Plano, TX 04/25/11John Ciszewski 06/10/11John Classe 06/10/11John Clawson, CFP® Winchester, VA 04/25/11John Cooke Newport Beach, CA 04/25/11John Crosby Louisville, KY 06/01/11John D. Cozzuol,CFP 06/01/11John Dragonas Richmond, VA 05/05/11

Page 54: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

John Dragstrem Wheaton, IL 05/06/11John Driscoll North Andover, MA 04/27/11john eckel simsbury, CT 04/25/11John Ellison Fairfax, VA 05/31/11John Evans Erie, PA 04/25/11John Everson Martinsburg, WV 05/04/11John F McLaughlin III 06/02/11John F. Donovan 06/20/11John F. Landers 06/17/11John Farina Washington, DC 04/25/11John Ferguson 06/03/11John Fiege Onancock, VA 04/26/11John Frederick Rolling Meadows, IL 05/04/11John Frerichs Gainesville, VA 05/14/11John Frisch Woodbridge, VA 05/06/11John G. Meitner 06/02/11John Gattringer Seaford, NY 04/27/11John George The Villages, FL 05/23/11John Goddard Seattle, WA 05/04/11John Going Houston, TX 04/25/11John Goott 06/13/11John Grear 06/18/11John Groth Cleveland, OH 05/03/11John Gustavson Minneapolis, MN 04/26/11John Gutfranski Houston, TX 04/25/11John H. Wellfare, CFP(R) 06/16/11John Harms Newport Beach, CA 04/25/11John Harris 06/02/11John Hauserman 06/02/11John Hearn Huntersville, NC 04/25/11John Henry Decker 06/10/11John Herron Duluth, MN 04/25/11John Hillman 06/01/11John Hinrichs Bellaire, TX 04/25/11John Hochschwender Phjiladelphia, PA 05/09/11John Holmes Smith IV 06/13/11john j hanna 06/01/11John J ONeill 06/12/11John Jackson 06/17/11John Jay Hurford San Francisco, CA 04/25/11John Jenkins San Diego, CA 04/25/11

Page 55: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

John Kamola Santa Rosa, CA 04/25/11John Kostic Newport Beach, CA 05/05/11John Kvale Dallas, TX 04/26/11John LaBriola Newport Beach, CA 05/03/11John Lame Cincinnati, OH 05/04/11John LeBlanc Winthrop, MA 05/04/11John LeMieux Falmouth, ME 04/25/11John Leonard Douglas, MI 04/25/11John Leonardi Erie, PA 05/08/11John Liechty Goshen, IN 04/25/11John Little Virginia Beach, VA 04/25/11John Lowry Mexico, MO 05/18/11John M FitzPatrick Morris Plans, NJ 05/18/11John M Mousel 06/14/11John M. Coughlin Jr. 06/10/11John M. Driggers 06/01/11john male 06/10/11John Malzone Newtown, PA 05/03/11John Mangione williston, VT 04/26/11John MazakA 06/01/11John McElhenny 06/02/11john mcmillen Atlanta, GA 04/25/11John Micetich 06/10/11John Michael Wilburn 06/10/11John Morris 06/10/11John N Greenfield 06/11/11John Napolitano Braintree, MA 04/26/11John Neff CFP, ChFC 06/10/11john o allen jr 06/16/11JOHN OMALLEY CFP 06/02/11John Orlando 06/01/11John P Kirk 06/10/11John P. Krusac III 06/01/11John P. Witty 06/15/11John Palmer Falls Church, VA 04/25/11John Phillips Memphis, TN 05/03/11John Plaza San Jose, CA 04/28/11John Porter Portage, MI 04/25/11John Power Walpole, MA 04/26/11John Pulver Burbank, CA 04/25/11JOHN R FISHER 06/01/11John R Noonan, III, CFP(R) 06/06/11

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john r sabol 06/02/11John R. Feeney Northfield, NJ 06/01/11John R. Philpott 06/11/11John Raaf Portland, OR 04/25/11John Raleigh Sarasota, FL 04/25/11john ratchford 06/02/11John Rea Yardley, PA 05/06/11John Rees 06/16/11John Richardson Waynesville, NC 04/25/11John Ritter Cincinnati, OH 05/03/11John Rumbold Irvine, CA 04/26/11John Russell Plano, TX 04/25/11John Russell Lubbock, TX 05/18/11John S Riggle 06/21/11John S. Davis, CFP Elmhurst, IL 05/19/11John S. Ohmer, CFP 06/10/11John S. Philips CFP, CFA, CMB 06/10/11John Shannahan Simi Valley, CA 04/25/11John Sharp Sarasota, FL 04/25/11John Shay Jr Hagerstown, MD 04/26/11John Sleesman Durham, NC 05/06/11John Smartt Knoxville, TN 05/04/11John Smith San Diego, CA 04/25/11John Smith 06/10/11John Steigerwald 06/15/11John Stewart Mansfield, OH 05/02/11John Stiglich Joliet, IL 05/05/11john suh Sturgeon Bay, WI 06/01/11John Sullivan Palatine, IL 04/25/11John T. Souther, CFA, CFP, AIF 06/12/11John Tabb 06/10/11John Thomann Liberty, MO 04/25/11John Trevor Providence, RI 04/26/11John Tufts Madison, WI 05/04/11John Venne 06/01/11John Vucicevic panama City beach, FL 04/25/11John W Vires 06/10/11John Webbert Glen Arm, MD 04/26/11John Williams Leominster, MA 05/18/11John Wimbiscus 06/10/11John Wolfe Portage, MI 05/04/11

Page 57: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

John Wolff Leesburg, VA 05/18/11John Yagla, CFP 06/13/11JOHN YUKAWA Deerfield, IL 05/04/11Johnathan Finley Sugar Land, TX 04/25/11Johnne Syverson West Des Moines, IA 04/25/11Johnny Hector 06/02/11Johnny Roland Pleasanton, CA 05/04/11Jon Aldrich Rockford, IL 05/04/11Jon Beyrer San Diego, CA 05/31/11Jon Bicknell Waltham, MA 04/25/11Jon Emmet Shuler Spartanburg, SC 04/25/11Jon Guerra San Antonio, TX 05/04/11Jon King Dripping Springs, TX 04/25/11Jon Ten Haagen Huntington, NY 04/25/11Jonahan Brandt Eugene, OR 05/23/11Jonathan A. Moyer 06/10/11Jonathan Andre 06/01/11Jonathan Castle Jacksonville, FL 04/25/11Jonathan Cohen Bath, MI 05/03/11Jonathan Donnaway Durango, CO 04/25/11Jonathan J Edwards 06/01/11Jonathan Lawson Nashville, TN 04/25/11Jonathan Leidy San Rafael, CA 05/04/11Jonathan Liang Minneapolis, MN 04/25/11Jonathan Meaney 06/13/11Jonathan Phelan Marine City, MI 05/04/11Jonathan satovsky 06/01/11Jonathan Sowa Franklin, TN 05/25/11Jonathan Stoller Aspen, CO 05/01/11Jonathan T. Guyton, CFP(r) 06/08/11jonathan thorp Ft. Worth, TX 04/27/11Jonathan Torrens Fairlawn, OH 04/25/11Jonathan Wride 06/01/11Jordan Long 06/15/11Jorge A. Amy 06/11/11Jorge Padilla Miami, FL 05/05/11Jose C Campos, JD, MA, MS, CFP

06/10/11

Joseph A. Cipparone 06/02/11Joseph A. DiGangi 06/10/11Joseph Alfonso 06/01/11

Page 58: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Joseph Codrick Greensburg, PA 04/25/11Joseph D Stone III 06/10/11Joseph DeBonis 06/02/11Joseph Descant Alexandria, LA 04/29/11Joseph D'Orazio Falls Church, VA 04/25/11Joseph E. Kolb 06/02/11Joseph F. Tarantino Clifton, NJ 04/26/11Joseph Favorito 06/02/11Joseph Fernandez Tampa, FL 04/25/11Joseph Giangiulio Dallas, TX 05/03/11Joseph Grella 06/22/11Joseph Griffard 06/02/11Joseph H. Cutchin, III (Jay) 06/10/11Joseph Hebert 06/14/11Joseph Hersch New York, NY 05/03/11Joseph Hollen Reno, NV 05/20/11JOSEPH HUSTON THE WOODLANDS, TX 04/25/11Joseph Kasper 06/01/11Joseph Kopczynski Albuquerque, NM 04/26/11Joseph Kristovich 06/02/11Joseph L. Bernheimer 06/01/11Joseph Lander Farmington, CT 04/25/11JOSEPH LEUCHTMANN SAINT LOUIS MO, AL 05/05/11Joseph Livesay Meridian, ID 04/25/11JOSEPH MUHLBERGER Albuquerque, NM 05/27/11Joseph Murtagh Matthews, NC 04/26/11Joseph P Halpin 06/15/11Joseph P. Garrison 06/15/11Joseph Patton Easton, PA 04/26/11Joseph R Bonfiglio, CFP(r) 06/10/11Joseph R. Knecht 06/10/11Joseph Richmond Cincinnati, OH 05/04/11Joseph Salvati Boston, MA 05/03/11Joseph Saskiewicz Holland, PA 04/25/11Joseph Savio Marlton, NJ 04/25/11Joseph Smith Evanston, IL 05/04/11Joseph Sreshta Houston, TX 04/25/11Joseph Steiniger Poughkeepsie, NY 04/25/11Joseph Thomson Houston, TX 05/31/11JOSEPH VALZ ST PETERSBURG, FL 04/25/11Joseph VanDyke Grand Rapids, MI 04/25/11

Page 59: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Joseph Vu 06/10/11Joseph W. Fleischman, CFP 06/02/11Joseph Wismann Louisville, KY 04/25/11Josette Hewitt. CFP EA 06/05/11Josh Giminez 06/18/11Josh Itzoe 06/10/11Josh Miller Loveland, CO 04/25/11Josh Webskowski Rockford, MN 04/28/11Joshua L. Freitas 06/02/11Joshua Nelson 06/01/11Joshua S. Levine 06/01/11Joshua Schefers Alameda, CA 04/26/11Joshua Slocum Birmingham, AL 04/26/11Joshua Wolberg Eden Prairie, MN 04/25/11Joslyn G. Ewart 06/10/11Joy Kirsch 06/16/11Joy Sweet 06/11/11Joyce Ann Rolfes 06/01/11joyce chandler stafford springs, CT 05/04/11Joyce K Lapp Cumberland, MD 04/25/11Joyce Rolfes Phoenix, AZ 04/26/11Joyce Streithorst Baldwin, NY 05/04/11Joyce Thomson Murrysville, PA 05/06/11Juanita Causey, CFP 06/10/11Jubin Keyvan Coral Springs, FL 04/26/11Judi Hernandez W Bloomfield, MI 04/27/11Judith Abel Basel, Switzerland 04/28/11Judith Froehling 06/01/11Judith Gerthart Camarillo, CA 04/26/11Judith Heltzel Salem, OR 05/03/11Judith Illana Weisman 06/13/11Judith L Paulson 06/10/11Judith Sanborn Winter Park, FL 05/03/11Judy Gong 06/10/11Judy Hagar San Diego, CA 04/25/11Judy Lullo Houston, TX 05/09/11Judy Stewart Carlsbad, CA 05/04/11Judy Wetzel Wayne, PA 05/18/11Juerg Ciceri Long Beach, CA 05/03/11Julianne mazurek Scotts Valley, CA 05/06/11Julie Bynum 06/10/11Julie Goldsmith 06/06/11

Page 60: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Julie Kern 06/01/11Julie Schatz Menlo Park, CA 04/25/11Juliet Botescu 06/15/11June Schroeder Elm Grove, WI 04/25/11Justin Castelli 06/01/11Justin Farris Dallas, TX 04/26/11Justin Goodbread Knoxville, TN 05/18/11Justin Martello 06/01/11Justin Nichols Manhattan, KS 04/25/11Justin Sinnott 06/01/11Justin Smith, CFA, CFP 06/20/11Justin Victor Colorado Springs, CO 06/01/11Justin Wheeler Overland Park, KS 05/03/11Justine DeVito Tenney bertram, TX 06/01/11Justus Morgan Racine, WI 04/25/11Kallene West, CFP® 06/13/11Kaltheen Parks 06/10/11Kalvin Sid San Mateo, CA 04/25/11Kara Duckworth 06/10/11Kara V. Elbert 06/01/11Karen Clark 06/14/11Karen Cox Melbourne, FL 04/25/11Karen Dumont Broadview Heights, OH 05/18/11KAREN ELISE KILBRIDE PORTLAND, ME 05/19/11Karen F. Folk, Ph.D., CFP(r) 06/07/11Karen Hendrickson Milwaukee, WI 04/25/11Karen McGarvey East Alton,, IL 05/04/11Karen McIntyre Chalfont, PA 04/26/11Karen Miller 06/01/11Karen Norman Troy, MI 04/25/11Karen Numi O'Fallon, IL 05/06/11Karen Nystrom Northbook, IL 05/31/11Karen Powell Atlanta, GA 04/26/11Karen Purvis San Diego, CA 04/25/11Karen Ramsey seattle, WA 05/05/11Karen Wawrzaszek 06/10/11Karen Winslow Portland, ME 04/25/11Karl A. Mundt 06/02/11Karl Anderson 06/02/11Karl Ashliman St. George, UT 05/10/11Karl Dunajcik Chesterfield, MO 04/25/11

Page 61: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Karl Harrop Jackson, MS 04/25/11Karl Hicks Riverside, CA 04/25/11Karl Koppy 06/11/11Karl W. Blovet 06/01/11Karla McAvoy Lafayette, CA 04/26/11Karron Wages Maumelle, AR 05/06/11Kate Gregory Huntington Beach, CA 05/03/11Kate Hewell laguna Beach, CA 04/25/11Katherine Donaldson 06/02/11Katherine E. Kraeblen 06/10/11Katherine Roberts 06/02/11Kathleen Adams Manhattan Beach, CA 04/25/11Kathleen B. Leipprandt 06/10/11Kathleen Dollard Harvard, MA 05/04/11Kathleen Godfrey Latham, NY 05/17/11kathleen Grace-Schoeppl Boca Raton, FL 04/25/11Kathleen Kee Portland, OR 04/26/11Kathleen Lenover Denver, CO 05/03/11Kathleen Lyon Pittsford, NY 04/25/11Kathleen M Colpitts 06/01/11Kathleen M Murray 06/14/11Kathleen Muldoon 06/02/11Kathleen Parrish 06/10/11Kathleen Piaggesi Scarsdale, NY 04/25/11Kathleen Plummer Rose Valley, PA 05/31/11Kathleen S. Bowen, CFP, CLU, ChFC

06/10/11

Kathleen Small Glendora, NJ 04/25/11Kathleen Stewart 06/14/11Kathleen Tax Manassas, VA 05/07/11Kathryn Bickford Naples, FL 05/18/11Kathryn H Larson 06/13/11Kathryn Lund Westford, MA 05/04/11Kathryn Noel Bloomington, MN 05/09/11Kathryn Norris Avon, CT 05/04/11Kathy Koloze Dallas, TX 04/25/11Kathy Stanley Charlotte, NC 04/25/11Katie Mettler Honolulu, HI 05/06/11katrina goodwin hyattsville, MD 05/01/11Kay Drache St. Louis Park, MN 04/26/11Kay F. Byrum, CFP 06/01/11

Page 62: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Kay H. Kamin 06/10/11Kay Knuth Appleton, WI 04/26/11Kay Kramer EDINA, MN 05/06/11Kayla Koeber Leeds, UT 04/25/11Kayse Kress 06/02/11Kazuyo Deguchi Campbell, CA 04/26/11Kedric Rutz Smyrna, TN 05/25/11Keith Donnell Melrose Park, PA 05/12/11Keith Dougherty 06/03/11Keith H Newman, CFP 06/16/11Keith Henderson Springfield, VA 04/25/11Keith Kirk Germantown, TN 05/18/11Keith Loveland 06/11/11Keith Merson 06/01/11Keith Pelkey 06/10/11Keith Southwick Northville, MI 04/27/11Keith T Hamilton 06/11/11Kelley Hook 06/10/11Kelly A SHikany 06/01/11Kelly Brewer Dallas, TX 05/02/11Kelly Graves 06/15/11Kelly Newberry Savannah, GA 04/25/11Kelly Renner Augusta, GA 04/25/11Kelly Shikany Michigan City, IN 04/25/11Kelly Stanley Chicago, IL 05/05/11Ken Boone Dixon, IL 04/25/11Ken Buell 06/01/11Ken Diehl Gaithersburg, MD 05/04/11Ken Hanes Lafayette, LA 04/25/11Ken Haycraft 06/01/11Ken Perine 06/01/11Ken Weingarten Lawrenceville, NJ 04/25/11Kendall Borchardt Johns Creek, GA 04/25/11Kendall Maddox Birmingham, AL 05/05/11kenneth a gatto 06/07/11Kenneth A. Norman 06/17/11Kenneth Bell 06/01/11Kenneth Bogert Brick, NJ 04/25/11Kenneth Dean 06/14/11Kenneth F. Robinson, CFP(TM) 06/07/11Kenneth Frenke Arden, NC 05/04/11Kenneth Gott San Francisco, CA 04/25/11

Page 63: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Kenneth Gross Thousand Oaks, CA 05/31/11Kenneth J Hajdik 06/08/11Kenneth J. Graci, CFP 06/11/11kenneth knoppik boca raton, FL 05/02/11Kenneth Levy Charlotte, NC 04/26/11Kenneth Marlow Clearwater, FL 05/03/11Kenneth Okuno Pasadena, CA 04/25/11Kenneth Olson Manteca, CA 05/04/11Kenneth R. Solow 06/10/11Kenneth Rapp Mechanicsburg, PA 04/26/11Kenneth Rase 06/10/11Kenneth Robinson Cleveland, OH 04/25/11KENNETH RUHRUP CLEARWATER, FL 04/25/11KENNETH SMALL Nperville, IL 05/04/11Kenneth Stuckert 06/03/11Kenneth Turner Chillicothe, IL 06/01/11Kennethia Cochran 06/10/11Kenny B. Bauer 06/02/11Kent Grealish Daly City, CA 05/20/11Kent Wilson Salt Lake City, UT 05/04/11Kerry Cowan 06/16/11Kerry Niece Independence, MO 05/10/11Ketan Mehta Reston, VA 05/20/11Kevin B. Morton New York, NY 06/01/11Kevin Brosious Allentown, PA 04/26/11Kevin D Maher 06/11/11Kevin Dick Tiffin, OH 05/05/11Kevin Ellis Milwaukee, WI 04/26/11Kevin Engbers 06/10/11Kevin Haggard 06/06/11Kevin Hogan Eden Prairie, MN 05/02/11kevin judge 06/10/11Kevin Knobloch Baton Rouge, LA 05/01/11Kevin Kraus Marietta, GA 04/25/11Kevin Lewis 06/14/11Kevin Loser Reston, VA 05/31/11Kevin M. McCoy II 06/01/11Kevin McCulley Boulder, CO 05/03/11Kevin Moree Vero Bch, FL 05/03/11Kevin Nevin Naples, FL 05/17/11Kevin O'Reilly Phoenix, AZ 05/31/11

Page 64: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Kevin Paulsen EVANSTON, IL 04/25/11Kevin Pinto 06/13/11Kevin R Besore 06/16/11Kevin Swan 06/15/11Kevin Thompson Omaha, NE 05/05/11Kevin Yeoman northfield, IL 04/25/11Kevin Young Davis, CA 05/04/11Kevin Zywna, CFP Virginia Beach, VA 04/26/11Kim Feeney Zollo Wakefield, MA 04/25/11Kim Klawitter Hartland, WI 05/05/11Kim McNeil Salt Lake City, UT 05/31/11Kim Morton Scottsale, AZ 05/04/11Kim O'Connor N. Saanich, Canada 04/28/11Kimberly Bridges Scottsdale, AZ 04/26/11Kimberly F. Perreira 06/02/11Kimberly Maez Castle Rock, CO 04/25/11King Hurlock Hunt Valley, MD 04/26/11Kipley Lytel Santa Barbara, CA 05/04/11Kirby Jacobson 06/02/11Kirby Kleinsmith 06/02/11Kirk Kinder Bel Air, MD 05/31/11Kirk Loerwald Little Elm, TX 05/03/11Kirk Walton 06/01/11Kirsten Hollander 06/06/11Kirstin Hark Chesapeake, VA 05/06/11Kisha Linayao Palo Alto, CA 04/25/11Klaudio Negric Rijeka, Croatia 04/27/11Knut Rostad Falls Church, VA 04/26/11Kol Birke Waltham, MA 04/27/11kristen davies Chicago, IL 04/27/11Kristen Davis Rhyne 06/15/11Kristen Lanning Lincoln, IL 05/09/11Kristin W. Reed Bennington, VT 04/26/11Kristopher D. Johnson, CFP(r) 06/02/11Kristy DeBuhr 06/10/11Kristy Larm Salt Lake City, UT 05/31/11Kurt Angstadt 06/10/11Kurt Bogseth Urbandale, IA 05/05/11Kurt Box Houston, TX 04/26/11Kurt Langenwalter Alexandria, VA 05/03/11Kurt W Whitesell 06/10/11

Page 65: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Kurt W. Mattson, CFP® Atlanta, GA 04/25/11Kylan Lamont 06/15/11Kyle Burris Morrison, CO 04/25/11Kyle Findlay Huntsville, AL 05/05/11Kyle Hurt Englewood, CO 04/25/11Kyle Kuehner New Prague, MN 05/03/11Kyn Dellinger San Mateo, CA 04/25/11Kyra Morris Mt Pleasant, SC 05/03/11L BRIAN MCCABE FOUNTAIN HILLS, AZ 05/03/11LADON COPELIN Savannah, GA 06/01/11Laiping Yuen 06/01/11LaKhaun McKinley 06/02/11Lamont Change River Forest, IL 04/29/11Landy A Fleming 06/10/11Lannie Travis West Helena, AR 04/29/11Larry Berger Medicine Lake, MN 05/04/11Larry C. Belcher, CPA/CFP 06/10/11Larry D Flanagan 06/10/11Larry E Nolt 06/02/11Larry Eisenzimer Las Vegas, NV 04/25/11Larry Esparza 06/06/11Larry K Fox 06/03/11Larry Kearse Winston-Salem, NC 05/05/11Larry L Hyatt CPF(r) CIMA(r) 06/10/11Larry Mulcock 06/10/11Larry Olsen Davis, CA 05/03/11Larry Peterson Suite 102B, UT 04/25/11Larry Phillips 06/11/11Larry Pierce La Crosse, WI 04/26/11Larry R Glaze, CFP, CPA 06/01/11Larry R. Awbrey Edmond, OK 05/06/11Larry R. Brown Jr. 06/10/11larry schneider linwood, NJ 04/25/11larry schneider 06/15/11Larry Soukup Salida, CO 05/04/11Larry Tuohino Costa Mesa, CA 04/26/11Lars Landrie Bellevue, WA 04/25/11Laura Abbott DeCarolis Monroeville, PA 04/26/11Laura Barry 06/02/11Laura Cordell 06/15/11Laura Granger Landenberg, PA 05/18/11Laura J. LaTourette 06/14/11

Page 66: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Laura Jacobs Campbell, CA 04/25/11Laura James Birmingham, AL 05/05/11Laura LaTourette Dahlonega, GA 05/05/11Laura Leavitt Southport, CA 04/25/11Laura Medigovich 06/10/11Laura Rowley Houston, TX 05/06/11Laura Seymour Bloomington, MN 05/20/11Laura Seymour, CFP 06/13/11Laura Sundquist Simsbury, CT 05/04/11Laura Sundquist New Hartford, CT 05/31/11Lauren Klein Newport Beach, CA 04/25/11Lauren Lindsay Houston, TX 05/04/11Lauren Locker Little Falls, NJ 05/31/11Lauren Prince New York, NY 04/25/11Lauren Sigman Denver, CO 05/18/11Laurence A. Myers 06/02/11Laurence E. Greeley Wilton, CT 05/04/11Laurence Lof Tucson, AZ 04/25/11Laurie Lang 06/01/11Lawrence 06/01/11Lawrence A Hoof 06/01/11Lawrence Barnard Thompson's Station, TN 04/27/11Lawrence Blai 06/10/11Lawrence Botzman Somerset, KY 04/25/11Lawrence Brethauer Saginaw, MI 04/25/11Lawrence DiPietro Tallahassee, FL 05/04/11Lawrence H Friedrichs mesa, AZ 04/25/11Lawrence Hoffman Columbus, GA 05/18/11Lawrence M Wood Colorado Springs, CO 05/18/11Lawrence Rutherford Tustin, CA 04/25/11Lawrence Rutledge Orlando, FL 05/03/11Lawrence Sprung 06/01/11Lawrence Stevens Hendersonville, NC 05/18/11Lawrence W. Pelland, CFP 06/10/11Lawrence Westcott Jupiter, FL 04/25/11Layton John Indianapolis, IN 04/26/11Lazetta Braxton Chicago, IL 05/06/11Leal Deddens Fairfax, VA 04/25/11LeAnn Lenander Minneapolis, MN 05/06/11Lebbeus Woods Indianapolis, IN 05/18/11

Page 67: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

LeCount R. Davis, Sr. Potomac, MD 05/05/11Lee Baker Tucker, GA 04/26/11Lee Brooks Roanoke, VA 04/26/11Lee Cooper Tucson, AZ 05/03/11Lee Giobbie 06/07/11Lee Harris 06/10/11Lee Hyatt St Louis Park, MN 04/25/11LEE RIEGLER TROY, MI 05/08/11Lee Robinson Bridgeville, PA 06/01/11Lee Slater 06/01/11LeeAnn Brown Vashon, WA 04/25/11Leigh A. Muller 06/10/11Leigh Hlohinec 06/10/11Leisa Brown Arlington Heights, IL 05/04/11Len Fettig Rogers, AR 04/26/11Len Nassi Hollywood, FL 04/25/11Lenard Cohen Gaithersburg, MD 05/03/11Lennard van der Feltz 06/11/11Lenton Jenkins Jr 06/21/11Leon James Aliso Viejo, CA 05/05/11Leon LaBrecque 06/10/11Leon Rousso Ventura, CA 04/25/11Leon Rousso Ventura, CA 04/25/11Leona Lau 06/10/11Leonard Rea II Fiskdale, MA 04/29/11Leonard T.A. Hirst II Westport, MA 04/25/11Leota Goodney 06/02/11Les Szarka, CFP, ChFC North Olmsted, OH 04/26/11Lesley Brey Honolulu, HI 04/26/11Lesley Day 06/14/11Lesley Kilcullin Town & Country, MO 05/10/11Lesley Nystrom Roseville, MN 05/06/11Leslie Beck 06/13/11Leslie Corcoran Stuart, FL 04/26/11Leslie Couper Falmouth, ME 05/18/11Leslie Myers Denver, CO 05/09/11Lester Halstead Parowan, UT 04/25/11lester noisom Miami, FL 04/25/11Levin Manabat Portland, OR 05/03/11Lewis Bair Berkeley Heights, NJ 05/03/11Lewis Blythe 06/10/11

Page 68: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Lewis Gridley San Francisco, CA 04/25/11Liane Warcup Geneva, IL 04/25/11Lili Vasileff Greenwich, CT 05/31/11Lillian Deslandes Miami, FL 05/07/11Lily Poy Fairfax, VA 05/04/11Linda Crouse Portland, OR 05/06/11Linda D Stursberg, CFP, EA, ATA

06/10/11

Linda English Falls Church, VA 04/25/11Linda Erickson Greensboro, NC 05/03/11Linda F. Alvarez Chicago, IL 04/30/11Linda gadkowski centerville, MA 05/03/11Linda Gadkowski 06/01/11Linda Homsey Winchester, MA 04/25/11Linda Knight 06/01/11Linda Knott Laconia, NH 04/25/11Linda Kuehn Atlanta, GA 04/26/11Linda L Newell 06/13/11Linda Malone Bedford, NH 05/03/11Linda Nihoul 06/10/11Linda Snook Indian Rocks Beach, FL 04/25/11Linda Stratton 06/09/11Linda Underwood Crete, NE 05/18/11Lindenberg Samuel Harrisburg, PA 05/07/11Lindsay Elwood Athens, GA 04/25/11Lindsi Pantuso dallas, TX 04/27/11Lisa A Mason 06/02/11Lisa A. Malick 06/17/11Lisa Andrews Madison, WI 05/05/11Lisa Archer Louisville, KY 04/25/11Lisa Banning Mission Viejo, CA 04/27/11Lisa Boyer Arcola, IL 04/25/11Lisa Dickholtz Northbrook, IL 04/28/11Lisa Foster Hamilton, OH 04/25/11Lisa Fox Austin, TX 04/25/11Lisa Hatcher Byles Richmond, VA 04/25/11Lisa J.B. Peterson, CFP(R) 06/02/11Lisa Koehl Brooklyn, CT 04/28/11Lisa Lagorio San Ramon, CA 04/26/11Lisa McKnight Raleigh, NC 06/01/11Lisa Roche-Berlage 06/15/11

Page 69: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Lisa Saxton San Diego, CA 04/25/11Lisa Woodside Scottsdale, AZ 05/04/11Lizz Schneider 06/06/11Lloyd Howell Redlands, CA 04/25/11Lloyd Yamada Cupertino, CA 04/25/11Loic LeMener Dallas, TX 04/25/11Lois Anthonisen 06/03/11Lois G Richardson 06/08/11Lois Grove Jeffery (Bobbi) 06/13/11Lois Isbell Midland, TX 04/25/11Lois Richardson Pasadena, CA 05/08/11Lon Merritt New Hartford, NY 05/06/11Lonnie Brooks Jacksonville, FL 04/25/11Lonny P Jochim 06/12/11Lora Murphy Milwaukee, WI 04/25/11Lora Rommel Laguna Hills, CA 04/26/11Lorelie Rogers Rochester, NY 04/25/11Loren Rex 06/10/11Loretta Nolan, CFP (R) Old Greenwich, CT 05/04/11Lori A Davis 06/10/11Lori J Miller Itasca, IL 04/26/11Lori Kegler San Pedro, CA 04/28/11lori weber johnson city, TN 04/28/11Lorraine Salvo Morristown, NJ 05/09/11Lou Speed Ringwood, NJ 04/25/11Louis Baeriswyl 06/12/11Louis Balogh Havelock, NC 04/26/11Louis Lopez La Jolla, CA 04/25/11Louis Mann Mount Laurel, NJ 04/25/11Louis Schwarz Bethesda, MD 04/25/11louis scipione fair lawn, NJ 04/25/11Louise Bryant 06/01/11Louise Cole, CFP 06/02/11Louise Schroeder Stillwater, OK 05/20/11Lucas Bucl, CFP(r) 06/02/11Lucinda Richey Parkville, MO 04/25/11Luis J. Soto Jr. 06/06/11Luis R DaCosta 06/10/11Luke Dean Wayne, NJ 05/17/11Luke Xiong FENTON, MI 05/04/11luther dearborn northbrook, IL 04/26/11

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Lydia Palmin Oakland, CA 04/25/11Lydia Sheckels Philadelphia, PA 05/04/11Lyle Fogel Crawfordsville, IN 05/04/11Lyman Black Savannah, GA 04/26/11Lynn Ballou 06/06/11Lynn Mander West Chester, PA 05/04/11Lynn Miori Victoria, TX 04/27/11Lynn Zoller Sarasota, FL 04/26/11Lynne Strynchuk Melbourne, FL 05/31/11M H Racine, WI 04/25/11M Mock Medford, OR 04/28/11M Patric Mascorro 06/01/11M Wayne Neff, CFP 06/20/11M. David Gracy Jr. Moline, IL 06/01/11M. Wayne Neff Lewisberry, PA 04/26/11Maarten Rietveld bethesda, MD 04/25/11Madeline Giordano New York, NY 04/25/11Madeline NAVARRO Brighton, MI 04/25/11Madeline Noveck New York, NY 04/25/11madelyn anusbigian shrewsbury, MA 04/25/11Madelyn Mallory Oakland, CA 04/25/11MAHESH DESAI HOUSTON, TX 04/27/11Mahmud Jetha 06/10/11Malachi Sturlin 06/01/11Malissia Johnson Brentwood, TN 04/26/11Mamdoh "Mark" Abas, CFP Laguna Beach, Ca 92651, CA 05/03/11Mamie Liu 06/10/11Mandy Sessler Southlake, TX 05/19/11Marc Agel Glenmont, NY 05/18/11Marc Berman Norton, MA 05/04/11Marc Cohn 06/10/11Marc Fragola South Burlington, VT 05/18/11Marc Gitlitz Highlands Ranch, CO 05/21/11Marc Kadomatsu Portland, OR 04/26/11Marc Kowalski 06/01/11Marc Kreuser Newark, NY 04/25/11Marc Levy Mt Pleasant, SC 04/25/11Marc Roland Solana Beach, CA 04/25/11Marc Schindler Bellaire, TX 04/25/11Marc Shaffer Overland Park, KS 04/25/11MARC WEAVER 06/11/11

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Marcus B. Walker 06/02/11Marcus Hamilton Roseland, NJ 05/18/11Marcus S Conrad, CFP 06/03/11Margaret Carbonell Smith Tualatin, OR 04/25/11Margaret Doviak Norman, OK 04/25/11margaret eddy San Diego, CA 05/31/11Margaret Guenther Atlanta, GA 05/03/11Margaret R. McDowell Miramar Beach, FL 05/31/11Margery Schiller Brandon, FL 04/26/11Margie Carpenter Chagrin Falls, OH 04/28/11MARGIE KRAUSE,CFP 06/10/11Margie Mullen Los Angeles, CA 05/04/11Margot Dorn San Diego, CA 04/25/11Marguerita Cheng 06/10/11MARI Lloyd Gilbert, AZ 05/03/11Maria Consuelo Tarazona 06/10/11Maria Elena De Zarraga 06/02/11Maria F. Verona, Italy 04/28/11Maria L. Saldana 06/10/11Maria Lagomasino Palm Beach Gardens, FL 04/29/11Maria Stoney 06/15/11Maria Tyler Miami, FL 05/04/11Marianne Commorato Clearwater, FL 04/26/11marianne merriman golden valley, MN 05/18/11Marie Booker Seattle, WA 04/25/11Marie Isabel Laurion Vienna, VA 04/25/11Marie W Liu 06/10/11Mariel McGehee Tulsa, OK 05/03/11Marilyn Carman 06/13/11Marilyn Dimitroff Bloomfield Hills, MI 04/25/11Marilyn Morrissey 06/02/11Mario Hernandez Walnut Creek, CA 04/25/11Marissa Beyer Macedonia, OH 05/06/11Marjorie Bennett Princeville, HI 05/04/11Marjorie Burnett Arlington, VA 05/31/11Mark A Doran 06/10/11Mark A. Badami 06/10/11Mark Antonich Charlotte, NC 05/13/11Mark Atherton Reston, VA 04/25/11Mark B Jackson 06/10/11Mark Baker Crest Hill, IL 05/06/11

Page 72: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Mark Beaver Atlanta, GA 04/25/11Mark Bell Chicago, IL 05/07/11Mark Berg Wheaton, IL 04/25/11Mark Boginsky Livingston, NJ 04/25/11Mark Boyer 06/02/11Mark Brown Naperville, IL 04/25/11Mark Brown 06/03/11Mark Butterworth 06/10/11Mark C. Sutherland 06/11/11Mark Cade Indianapolis, IN 04/26/11Mark Caldwell Bastrop, TX 05/18/11Mark Cannon Richardson, TX 04/25/11mark cavasino wethersfield, CT 04/25/11MARK CAVASINO 06/01/11Mark Coffey Bexley, OH 05/04/11Mark DiGiovanni Grayson, GA 05/18/11Mark Duder Eden Prairie, MN 04/25/11Mark Dutram Ft. Walton Beach, FL 04/25/11Mark E. Schweighart 06/02/11Mark Ferris Madison, CT 04/25/11MARK FEUCHT Fond du Lac, WI 05/03/11Mark Finke Kirkwood, MO 05/03/11Mark Gelbman 06/06/11Mark Gilbert Naperville, IL 05/31/11Mark Goetz Adrian, MI 05/18/11Mark Griffith Winter Garden, FL 05/18/11Mark Hansen Lebanon, NH 04/25/11Mark Heath, CFP 06/11/11Mark Heffernan Clayton, MO 05/18/11Mark Holmertz 06/14/11Mark Isenberg New Hope, MN 05/18/11Mark J Newfield 06/02/11Mark Jacobs 06/02/11Mark Jarecki 06/01/11Mark Jensen Santa Fe, NM 04/25/11Mark Kangas Pepper Pike, OH 04/25/11Mark Kelly Duxbury, MA 05/03/11Mark Kronemer 06/01/11Mark La Spisa South Barrington, IL 04/26/11Mark Lazar, CFP 06/01/11Mark Logan Bellingham, WA 04/25/11

Page 73: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Mark Loop Orlando, FL 04/25/11Mark Manges Lakewood Ranch, FL 05/19/11Mark McCauley Charlottesville, VA 05/11/11Mark McGahee Suffolk, VA 05/04/11Mark Miller Ft. Mitchell, KY 05/03/11Mark Muschick, CPA, CFP Chesterfield, MO 05/14/11Mark Peterson seattle, WA 05/03/11Mark Phillips Irvine, CA 05/06/11Mark Pogreba 06/14/11Mark Porter 06/10/11Mark Prendergast Huntington Beach, CA 05/07/11Mark Presky 06/10/11Mark Richards 06/16/11Mark Rioboli Wayne, PA 05/09/11Mark Royer Modesto, CA 04/25/11mark rylance newport beach, CA 05/04/11Mark S Limmer 06/10/11MARK S PESAVENTO 06/14/11Mark S. Banner 06/10/11Mark Schaefer 06/10/11Mark Seivert Merced, CA 04/25/11Mark Siekierski Beloit, WI 05/18/11Mark Sievers Fairfield, CA 04/29/11Mark Stancato Jersey City, NJ 04/25/11Mark Stein Scottsdale, AZ 04/25/11Mark Stempel Tucson, AZ 04/25/11Mark Stinson 06/03/11Mark Sudol Las Vegas, NV 04/25/11Mark T Youngs 06/10/11Mark Teachout Lansing, MI 04/25/11Mark Vander Linden Little Chute, WI 04/25/11Mark Vitek, CPA, CFP Raleigh, NC 04/25/11Mark Vlasic 06/14/11Mark W. Breneman 06/10/11Mark Weber Great Falls, VA 05/06/11Mark Winston Alpharetta, GA 05/06/11Mark Wolfe Erie, PA 05/18/11Marla C. Horwitz 06/10/11Marlene Stewart Portland, OR 04/26/11Marlin F. Schmidt 06/14/11Marsha Rhodes 06/10/11

Page 74: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Marsha Rhodes 06/10/11Marshall Gunn Jacksonville, FL 05/03/11Martha B Pierce 06/11/11Martha J Schilling Dresher, PA 05/19/11Martha Kapouch West Hartford, CT 05/04/11Martha Moore Hobson 06/14/11Martha O'Brien Atlanta, GA 05/06/11Marti Bott Virginia Beach, VA 06/01/11MARTIN BEARD tucson, AZ 05/01/11Martin Durbin Cleburne, TX 05/26/11Martin Hopkins Tolleson, AZ 06/01/11Martin J. Kubik 06/13/11Martin Klotovich Bozeman, MT 04/25/11Martin Knight Centreville, MD 04/25/11Martin Kurtz Moline, IL 05/19/11Martin Pulvers Mountain View, CA 05/04/11Martin Richwine, III Madison, NC 05/04/11Martin Rosenthal Pembroke Pines, FL 05/18/11Martin V Higgins 06/15/11Martin Weisberg Akron, OH 04/27/11Marty Reid Lincolnton, NC 05/19/11Marv Tuttle Centennial, CO 04/28/11MARVIN K DEGRAAFF 06/06/11marvin king richardson, TX 04/25/11marvin silva Honolulu, HI 05/06/11Mary B Kusske burnsville, MN 05/07/11mary baldwin Melbourne, FL 05/05/11Mary Beseke Minneapolis, MN 04/25/11Mary Beth Neeley Jacksonville, FL 05/06/11Mary Bradford Tallahassee, FL 04/25/11MARY BROWN COLUMBUS, IN 04/25/11Mary C Saylor Royal Oak, MI 04/25/11Mary Cardello Chapel Hill, NC 05/04/11Mary Caruso Northbridge, MA 05/05/11Mary Dean San Diego, CA 05/04/11Mary Dee Dickerson, Ph.D., CFP*

06/01/11

Mary Deshong-Kinkelaar Akron, OH 04/25/11Mary Dolansky 06/02/11Mary E. Schuh 06/01/11Mary Elizabeth Lehane Oakdale, NY 04/26/11

Page 75: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Mary Harrus 06/10/11Mary J. Anna 06/01/11Mary Jo Lyons Mooresville, NC 04/25/11Mary L Gibson 06/01/11Mary Malgoire Phoenix, AZ 06/01/11Mary Mar Laguna Hilla, CA 05/05/11Mary Patricia O'Malley New Providence, NJ 06/01/11Mary R. Alpers 06/06/11MARY RINALDI Houston, TX 04/25/11Mary S. Brock 06/11/11Mary Sherrill Ware 06/10/11Mary Shrode Spokane, WA 04/25/11Mary Spansky 06/10/11MARY SULLIVAN Pasadena, CA 05/12/11Mary Zamboni East Aurora, NY 04/25/11Matt and Stacy McMillan Santa Cruz, CA 04/27/11Matt Belardes, CFP(R) 06/10/11Matt Brennan Reston, VA 04/26/11Matt Buchanan 06/14/11Matt Hull STILLWATER, OK 05/06/11Matt Krull Sandy, UT 05/04/11Matt Wagner St. Louis, MO 04/25/11Matthew Anderson 06/14/11Matthew Bell San Antonio, TX 04/25/11Matthew Borland 06/02/11Matthew Brenneman Wilmington, NC 04/25/11Matthew Crane 06/15/11Matthew Daugavietis Campbell, CA 04/25/11Matthew Fannin 06/10/11matthew glova Raleigh, NC 04/25/11Matthew Hartman Clayton, MO 05/05/11Matthew Johnson Greensboro, NC 05/19/11Matthew Kempf Bellevue, WA 05/06/11Matthew Kempf, CFP(r) 06/07/11Matthew Kuhn 06/10/11Matthew Megorden 06/13/11Matthew P Boyle 06/06/11Matthew P. Kubicek 06/16/11Matthew R. Smith 06/02/11Matthew Reynolds 06/10/11Matthew Shaffer Westerville, OH 04/25/11Matthew Sliwa waltham, MA 04/25/11

Page 76: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Matthew Stroup Paramus, NJ 05/03/11Matthew Veenker Highlands Ranch, CO 04/25/11Matthew W Harris 06/01/11Maureen Demers 06/02/11Maureen North Shortsville, NY 04/28/11Maureen Verduyn 06/04/11Max El Tawil Spring Branch, TX 05/03/11MAY CHEUNG MIAMI, FL 04/26/11Maynard Keller Roanoke, VA 04/25/11Melanie Arena Seattle, WA 04/25/11Melinda L. Baran 06/10/11Melinda Warren Okla. City, OK 05/09/11Melisa R. Creel, CFP(R) 06/14/11Melissa Dixon Fort Collins, CO 04/28/11melissa hoyer boulder, CO 05/06/11Melissa Huml 06/13/11Melissa J. Stein 06/02/11Melissa Liu Atlanta, GA 04/25/11Melissa Wise Benbrook, TX 05/04/11Melody Townsend Mt. Sterling, KY 05/13/11Meredith Rice Houston, TX 04/25/11Meres lee Moffitt 06/03/11Meridee Maynard Milwaukee, WI 04/27/11Micah Porter 06/13/11Michael A. Aquino 06/01/11MICHAEL A. DARANY 06/01/11Michael A. Durante 06/01/11Michael A. Gemelli, CFP 06/10/11Michael A. Mlinac 06/15/11Michael A. Robertson,CFP® 06/15/11Michael Anderson Portland, OR 04/27/11michael b. anzel 06/16/11Michael Bacigalupi Prescott, AZ 05/03/11michael balderson spokane, WA 04/25/11Michael Battaglia 06/02/11Michael Bernard 06/10/11Michael Bird Kingsport, TN 05/09/11Michael Bishop Minneapolis, MN 04/26/11Michael Brandeberry 06/12/11Michael Branham, CFP(r) 06/06/11Michael Broadhurst Portsmouth, VA 05/03/11Michael Burdick Tucson, AZ 05/04/11

Page 77: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Michael Buroker Fishers, IN 04/25/11Michael Byman 06/02/11Michael C Creasman 06/15/11michael c valdez 06/01/11Michael Cahill 06/10/11Michael Calzolano Libertyville, IL 04/25/11Michael Carney Runnemede, NJ 04/26/11Michael Cassidy Minneapolis, MN 04/25/11Michael Clancy Conshohocken, PA 04/25/11michael cooper NY, NY 04/25/11Michael Cordrey Sacramento, CA 04/25/11Michael Creasman Asheville, NC 04/28/11Michael Cregge Mililani, HI 04/26/11Michael Crews 06/10/11Michael Cruce Anderson, SC 04/25/11Michael Dann Baldwin City, KS 04/25/11michael delehanty princeton, NJ 04/25/11Michael Di Lullo Amherst, NY 04/27/11Michael DiVito Erie, PA 05/04/11Michael Duckworth 06/10/11Michael Dunbar Tacoma, WA 05/18/11Michael E Raidt 06/02/11Michael E. Williams 06/10/11Michael Edwards 06/10/11Michael Eric Sales 06/02/11Michael Evans Tyler, TX 04/25/11Michael Feinstein 06/01/11Michael Feldman Wayne, PA 04/25/11Michael Fischer Phoenix, AZ 04/25/11Michael Flynn 06/10/11Michael Furois Phoenix, AZ 05/05/11Michael Furois 06/02/11MICHAEL G. GRINNELL 06/02/11Michael G. Sisney 06/02/11Michael Gerhard Aurora, IL 04/26/11Michael Godfrey Setauket, NY 04/25/11Michael Gorman Petaluma, CA 05/04/11michael greenspon Englewood, CO 05/19/11MICHAEL GRINNELL VIENNA, VA 04/25/11Michael Hansen Walnut Creek, CA 04/25/11Michael Hanson Camarillo, CA 04/25/11

Page 78: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Michael Helffrich Minneapolis, MN 05/03/11Michael Higgins 06/03/11Michael Hollars Sunnyvale, CA 04/25/11Michael Holt Campbell, CA 05/06/11Michael Irving Lakewood, CO 04/25/11Michael J Greve 06/02/11Michael J Pilato 06/10/11Michael J. Anderson 06/17/11Michael J. Crum 06/01/11Michael J. Hickey 06/02/11Michael Jacques Green Bay, WI 05/03/11Michael Jones Louisville, KY 04/27/11Michael K.Ruhland 06/10/11Michael Kennedy Elmhurst, IL 04/25/11Michael Kertes 06/01/11Michael Klimis Palm Harbor, FL 04/26/11Michael Krol pittsburgh, PA 04/25/11Michael Limbacher 06/15/11Michael Ling Boise, ID 04/25/11Michael M Hoffman 06/10/11Michael Macke 06/06/11Michael Mader Plantation, FL 05/18/11Michael Malinowski Garden City, NY 04/26/11Michael Maye Berkeley Hts, NJ 05/31/11Michael McDermott King of Prussia, PA 04/25/11Michael Meyers Naperville, IL 05/05/11Michael Miller Mansfield, TX 04/25/11Michael Miller Greenville, SC 05/03/11Michael Mitchell CFP Shelby, NC 05/04/11Michael Molloy 06/02/11Michael Moss Mentor, OH 05/06/11Michael Mulhern Columbus, OH 05/06/11Michael Murphy Blaine, MN 05/03/11Michael P. Burns CFP 06/02/11Michael P. Lawrence 06/02/11Michael P. Stanton 06/01/11Michael Pablo San Francisco, CA 04/25/11Michael Pace Seattle, WA 04/25/11Michael Paregian Wilmington, DE 05/03/11Michael Patterson Greenville, SC 04/25/11Michael Patton Georgetown, TX 06/01/11

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Michael Peck Boulder, CO 04/25/11Michael Peterson Chambersburg, PA 04/25/11Michael Price 06/10/11michael provenz 06/10/11Michael R Schmidt Acworth, GA 05/05/11Michael R. Jones 06/10/11Michael Radakovich Portland, OR 05/03/11Michael Rodriguez San Antonio, TX 05/03/11Michael Rudy Ypsilanti, MI 05/05/11Michael Searcy Overland Park, KS 04/25/11Michael Sharpton Columbia, TN 04/26/11Michael Shovein Eagan, MN 04/25/11Michael Simmons Greenwood Village, CO 05/18/11Michael Skehan Indianapolis, IN 04/25/11Michael Smith Atlanta, GA 04/26/11Michael Snowdon Greenwood Village, CO 04/25/11Michael Stern Beverly Hills, CA 04/28/11Michael Stratton Pendleton, OR 05/19/11Michael T Carey 06/12/11Michael Thurston 06/02/11Michael Tiberg Santa Ana, CA 05/05/11Michael Tsiaklides Saint Louis, MO 05/04/11Michael Tumer Davis, CA 04/25/11Michael Vieceli Skokie, IL 04/25/11Michael Wali 06/03/11Michael Walther Deerfield, IL 04/25/11Michael Weber 06/10/11Michael Williams Clearwater, FL 05/06/11Michael Wilson Orland, IN 04/25/11Michel Dunham Oklahoma City, OK 04/26/11Michele Gensel 06/10/11Michele Mercer Casa Grande, AZ 04/30/11Michele Randall Racine, WI 05/03/11Michele V. Stutts 06/17/11Michelle A Fait 06/01/11Michelle Carney Birmingham, AL 05/10/11Michelle Goldstein Dallas, TX 05/05/11Michelle Harrison Boston, MA 05/04/11Michelle Maton Chicago, IL 04/26/11Michelle Stroh Columbus, OH 04/25/11Mick Stefan Centennial, CO 05/03/11

Page 80: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Micky Reeves 06/15/11Miguel Horvath 06/03/11MIKE 06/11/11Mike Antone Sacaton, AZ 04/25/11MIKE BABIN NEW ORLEANS, LA 04/25/11Mike Castillo Vergennes, VT 04/26/11Mike DiSalvo Columbus, OH 05/06/11Mike Durant Belmont, MA 05/04/11Mike Hanson Peoria, IL 05/11/11Mike Ingaglio, CFP 06/01/11Mike Katto Troy, MI 04/25/11Mike Krise Terrace Park, OH 06/01/11Mike Lewis Guntersville, AL 05/03/11MIke Lockwood 06/10/11mike MAsur Winter Park, FL 04/25/11Mike McFeeley Lutherville, MD 04/25/11Mike Nicolini Elkhart, IN 05/03/11Mike Nozzarella Newport Beach, CA 04/25/11Mike Russo 06/13/11Mike Sedlak 06/01/11Mike Tiddy Charlotte, NC 04/25/11Miles C. Cramer 06/01/11Milton Lefton Chicago, IL 04/25/11Mitch Marsden Madison, AL 05/05/11Mitchel Shapirp Baltimore, MD 04/25/11MITCHEL ST. BENEDICT SALMERE

Mandeville, LA 05/05/11

Mitchell Houston Highland, IN 04/26/11Mitchell L. Helton 06/21/11Mitchell Owens Severna Park, MD 04/26/11Mitchell Smyth 06/20/11Mitchell Welsch Bryn Mawr, PA 05/29/11Molly McCarthy Dallas, TX 04/26/11Molly Steele 06/21/11Mona Edwards 06/02/11Monica Narvaez El Paso, TX 04/25/11Monte C Ferguson 06/15/11Monte Ferguson Fort Worth, TX 04/25/11Monte Luzadder Glenview, IL 05/03/11Morrie Reiff 06/10/11Muhamed Rehan Abid Islamabad, Pakistan 05/22/11

Page 81: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Murray Hougen San Diego, CA 04/25/11Myra Kingsbury South Siouc City, NE 04/25/11Myrna Mitchell Rapid City, SD 04/25/11Myron Weiss Plano, TX 04/25/11Nancy A Ferriss 06/14/11Nancy Anglyn Roswell, GA 05/31/11Nancy Bell Glen Ellyn, IL 04/25/11Nancy Bryant Towson, MD 05/04/11Nancy Dienes Seattle, WA 05/31/11Nancy Ferriss St. Louis, MO 04/25/11Nancy Groff Baltimore, MD 05/16/11Nancy J. Bernaldo Monterey, CA 05/26/11Nancy J. Schmertz 06/02/11Nancy L. McCready 06/01/11Nancy Ladd Oak Lawn, IL 04/27/11Nancy Loveland Phoenix, AZ 04/25/11Nancy Magee Shillington, PA 04/25/11Nancy Nelson Olympia, WA 05/01/11Nancy P Mercado 06/14/11Nancy Schott 06/10/11Nancy Wojcik Evanston, IL 05/31/11Nanette Heggie 06/13/11Naomi Scrivener Hewitt, TX 05/04/11naresh 06/10/11Nari Kannan Prospect, KY 04/26/11Nate Wenner Minneapolis, MN 04/25/11Nathan Brown Jr Valdosta, GA 05/05/11Nathan Fiser Lenexa, KS 04/25/11Nathan Goldberg west bloomfield, MI 04/25/11Nathan Ricks Bellevue, WA 04/26/11Nathaniel Klitzing O'Fallon, IL 05/06/11Nathaniel Ritchison San Diego, CA 04/25/11Neal Nolan Asheville, NC 05/05/11Neal Pierce bridgeton, NJ 05/04/11Neal Solomon Gloversville, NY 04/25/11Neal Van Zutphen Scottsdale, AZ 04/25/11ned burns rockford, IL 05/18/11Neil brown 06/10/11Neil Collins Melrose, MA 05/04/11Neil Dinndorf 06/01/11Neil Hokanson 06/15/11

Page 82: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Neil Paur Santa Ana, CA 05/06/11Neil Riordan Timonium, MD 04/25/11Neil Sanders 06/02/11Neil Teubel Morristown, NJ 04/25/11Nelva A. Bledsoe 06/10/11Nestor Godinez Santa Ana, CA 04/26/11Nicholas A. Nicolette 06/10/11Nicholas Burke Fox Lake, IL 05/03/11Nicholas D'Ambrosio 06/01/11Nicholas F. Nauta 06/10/11Nicholas G. Psaki, III 06/02/11Nicholas J Valenti Jr Valdosta, GA 04/25/11Nicholas Miller 06/10/11Nicholas Murphy Raleigh, NC 04/25/11Nicholas Prangner 06/10/11Nick Arellano 06/10/11Nick Strainic Denver, CO 04/25/11Nick Toadvine Lakeland, FL 05/18/11Nicole Weber Pasadena, MD 04/28/11Nina Grove San Francisco, CA 05/15/11Noah Jacobson Petaluma, CA 04/26/11Noel Edwards Jonesboro, GA 05/03/11Norbert Oses Norcross, GA 05/04/11Norm Miller Evansville, IN 04/25/11Norman Farr Fort Worth, TX 05/04/11Norman K. Stewart 06/10/11Norman Miller CLU ChCF CASL CFP

06/02/11

Nowell Loop Dallas, TX 04/25/11O John Bedell Hollister, CA 05/19/11Oliver Tutt Providence, RI 04/25/11Ora Citron Alamo, CA 04/25/11Orlando Flowers 06/10/11Orville McCumber Las Vegas, NV 04/25/11Owen Hill Incline Village, NV 05/04/11P. Alan Loss Lancaster, PA 04/26/11P. Mitchell Clark Jr, CFP 06/02/11Page Howell Cranbury, NJ 04/25/11Paige Guinn Houston, TX 04/25/11Pam Poldiak Salem, VA 05/04/11Pamela Baumbach Newark, DE 05/31/11

Page 83: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Pamela F. Clinard 06/02/11Pamela Groft West Reading, PA 04/27/11Pamela Heimdal Lakeville, MN 05/05/11Pamela L. Hesselgrave 06/11/11Pamela Lee 06/10/11PAMELA R VILLARREAL 06/01/11Pamela S. Marshall, CFP 06/10/11Pamela Sandy 06/13/11Pamela Settlage Potomac, MD 05/03/11Pamela Thomas Idaho Springs, CO 05/05/11Pamela Zschoche Overland Park, KS 04/25/11Pamylle Greinke Peconic, NY 04/28/11Partha Iyengar mumbai, India 04/28/11Pat Cain 06/02/11Pat O'Brien 06/10/11Pat Raskob,CFP,EA,ATA tucson, AZ 04/27/11pat srebnick 06/02/11Patrice Cresci San Mateo, CA 05/03/11Patricia Besselman Metairie, LA 04/25/11patricia blazejewski 06/10/11Patricia Brennan Holland, PA 05/05/11Patricia Conway St. Louis, MO 04/25/11Patricia D. Herbst Morristown, NJ 05/24/11Patricia Goodman Edmond, OK 05/04/11Patricia Gottier New York, NY 04/25/11Patricia Hordis 06/15/11Patricia J. Gundling 06/15/11Patricia Kambourian Tucson, AZ 04/27/11Patricia Kummer Highlands Ranch, CO 05/18/11Patricia McCormick Old Bridge, NJ 05/31/11Patricia O'Brien Redondo Beach, CA 04/25/11Patricia Patterson San Diego, CA 05/18/11Patricia Sawyers 06/01/11Patricia Shrader 06/12/11Patricia Sokolowski Burlington, VT 04/25/11Patricia Sperduto Marlton, NJ 05/09/11Patrick Bourbon Chicago, IL 05/31/11Patrick Brault La Crosse, WI 05/02/11Patrick Devine Houston, TX 04/26/11Patrick Flanagan Point Pleasant, NJ 05/03/11Patrick H. Doyle, JD 06/14/11

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Patrick Healey 06/02/11Patrick Hinchey Stockbridge, GA 05/03/11Patrick Hinton Boston, MA 05/23/11Patrick Lee Pasadena, MD 04/26/11Patrick M. McAleer 06/14/11Patrick Meyer Richmond, VA 05/04/11Patrick OGorman Atlanta, GA 05/04/11Patrick P. Hollywood 06/13/11Patrick Rudy 06/02/11Patrick Valenty Las vegas, NV 04/26/11Paul A. Kania 06/14/11Paul Baumbach 06/02/11Paul Beck Upper Saddle River, NJ 05/26/11Paul Bednarski Irvine, CA 04/25/11Paul Bennett Miller 06/15/11Paul Block La Crosse, WI 04/26/11Paul C. Koenig Jr. 06/10/11Paul Camhi 06/10/11Paul Caswell Medford, OR 04/25/11Paul Ciccarelli Naples, FL 04/25/11Paul Cooper 06/10/11Paul Doherty Newton, MA 04/25/11Paul Donahue Indianapolis, IN 05/04/11Paul Evans Annapolis, MD 04/26/11PAUL F. MAURIN 06/02/11Paul Finocchiaro Tampa, FL 04/25/11Paul Frank Castellon 06/02/11Paul Games Newburyport, MA 04/25/11Paul Gardner Austin, TX 05/23/11Paul Goyette Nashua, NH 04/27/11Paul Greenleaf Round Rock, TX 05/04/11Paul H. Auslander 06/10/11Paul Heising Torrance,, CA 04/25/11Paul J Wannemacher 06/02/11Paul Jarvis 06/16/11Paul Klehr 06/02/11Paul Kraklan St Clair, MI 04/26/11Paul Lemon Durango, CO 04/26/11Paul Levin Cherry Hill, NJ 05/03/11Paul Manganelli 06/10/11Paul McCormack Beachwood, OH 04/25/11

Page 85: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

paul mcgovern braintree, MA 05/04/11PAUL MORLEY Fork, MD 04/26/11Paul Moyer Findlay, OH 04/25/11paul nastasi Eldersburg, MD 05/04/11Paul Nelson 06/06/11Paul Nervig Colorado Springs, CO 04/25/11Paul P. Ziegler 06/11/11Paul Palmer Houston, TX 04/27/11Paul Perino Jr, CFP(r) 06/10/11Paul Petrone Briarcliff Manor, NY 05/03/11Paul R. Harrison, MBA, CFP(r), CPA-candidate

06/03/11

Paul Scherf Menlo Park, CA 05/03/11Paul Sidney Elliott 06/11/11PAUL SIDNEY ELLIOTT 06/12/11Paul Staib Highlands Ranch, CO 05/03/11Paul Steven Patterson 06/15/11Paul Stovall Lebanon, TN 05/25/11Paul Troyer Richmond, TX 04/26/11Paul Walters Rancho Santa Margarita, CA 04/26/11Paul Weinstein, CFP 06/02/11Paul White Gainesville, VA 04/25/11Paul Wildeck Amesville, OH 04/25/11Paul Yancy Kiel, WI 04/26/11Paula de Vos Carmel, CA 05/03/11Paula Hendrickson Denver, CO 04/25/11Paula Hogan Milwaukee, WI 05/25/11Paula M Taylor 06/06/11Paula Nanagle Doylestown, PA 04/26/11Paula Wiiken Colorado Springs, CO 06/01/11Pauline Johnson 06/11/11Pedro G. Mendive, Jr CFP Miami, FL 04/25/11peggy bowers 06/02/11Peggy Cabaniss Lafayette, CA 04/26/11Peggy Frye Madison, VA 05/04/11Peggy Kessinger Beaverton, OR 05/31/11Peggy Ruhlin Columbus, OH 05/31/11Peggy Sherman College Station, TX 04/25/11Peggy Willis 06/12/11Pei-Yung Song Califon, NJ 05/04/11Penn Rettig CFP(r), CFS, MBA 06/11/11

Page 86: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Penny Gordon Key Largo, FL 04/25/11Penny Marchand Tucson, AZ 04/25/11Perry Kotval San Mateo, CA 04/26/11Perry Vasquez Arvada, CO 04/27/11Pete Egan Centennial, CO 04/26/11Peter Brucato Averill Park, NY 04/27/11Peter Bush Baton Rouge, LA 04/30/11Peter C. Van Der Voorn 06/10/11Peter Cline Kirkland, WA 04/25/11peter contino Windsor, CO 04/25/11Peter D'Amico Bala Cynwyd, PA 05/04/11Peter Dold San Diego, CA 04/27/11Peter Graves Minnetonka, MN 04/26/11Peter J Miller, CFP 06/16/11Peter J. Tomassi 06/01/11Peter James Lingane, EA, CFP(r) Lafayette, CA 04/26/11Peter Liang Pasadena, CA 04/26/11Peter Liang Pasadena, CA 05/19/11Peter Melsness Rochester, MN 04/25/11Peter Melsness Rochester, MN 05/31/11PETER MILLER Charlotte, NC 04/25/11Peter Neely 06/14/11Peter Palion East Meadow, NY 04/27/11Peter Regan Houston, TX 04/25/11Peter Rhee 06/02/11Peter Ruma, Jr. Toledo, OH 04/26/11Peter Twining Ipswich, MA 04/25/11Peter W DeGiralamo Westfield, NJ 05/04/11Phil Hogg South Haven, MI 04/25/11Phil Weisberg Rochester, NY 04/25/11philip bailey pinehurst, NC 05/05/11Philip Carrasco 06/02/11Philip Floyd Plano, TX 04/25/11Philip J. Messuri, MS, CFP, Lt Col USAF (Ret.)

06/14/11

Philip Johnson Tempe, AZ 05/03/11Philip Lang 06/13/11Philip Lee Boston, MA 05/31/11Philip Mattera New York, NY 04/25/11philip palazzolo 06/10/11Philip R. Cofman Columbia, MD 06/01/11

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Philip Richman 06/13/11Philip Royal Pittsboro, NC 04/25/11Philip Royal 06/10/11Philip Sher Newton, MA 04/25/11Philip Watson Franklin, TN 04/25/11Phillip Anderson Granite Bay, CA 05/05/11Phillip C. Mickel 06/02/11Phillip Cook Manhattan Beach, CA 04/25/11Phillip Couture 06/02/11Phillip Del Nero Jamesville, NY 04/26/11Phuong N. Quach 06/15/11Phyllis Jo Kubey New York, NY 04/26/11Phyllis Keller Victoria, TX 04/27/11PLACIDO BLANCO CORAL GABLES, FL 04/25/11pradeep tempalli 06/01/11Prashant Ravani 06/06/11Preston P. Forman 06/10/11Preston Schumacher 06/01/11Priscilla Florence Evanston, IL 05/23/11Quintin Mullins Boston, VA 04/27/11R P Virginia Beach, VA 04/25/11R. Pasha Horiuchi 06/01/11R. Thomas Martell CFP, EA 06/01/11R. William Blasdale 06/01/11Rachael Neil Pleasanton, CA 04/25/11Rachel Bunch 06/13/11Rachel Bush Dallas, TX 04/26/11Radford Brogden 06/10/11Raj Prashad Ozone Park, NY 05/04/11Ralph Bincarowsky Erie, PA 04/25/11Ralph Latza San Rafael, CA 05/05/11RALPH MARTIN PHOENIX, AZ 04/25/11Ralph Orr 06/16/11Ralph S. Peyton 06/01/11Ralph Ujano 06/13/11Ram Kolluri 06/04/11Rand A. Borresen 06/01/11Randal Cokeley 06/14/11Randall Cooper Tampa, FL 05/03/11Randall Gerard Lenexa, KS 04/25/11Randall Manley Alamo, CA 04/25/11Randall Petersen 06/06/11

Page 88: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Randall Peterson Bakersfield, CA 04/25/11Randall Wall Oak Harbor, WA 04/25/11Randolph Christensen Nipomo, CA 05/04/11Randolph Elder, CFP 06/15/11Randy Bliss, CFP 06/10/11Randy Boggs 06/10/11Randy Braidfoot 06/01/11Randy Clayton Topeka, KS 04/25/11Randy E. Gantt, CFP 06/10/11Randy G. McQueen, CLU, ChFC, CFP

06/13/11

Randy Gonsoulin 06/01/11Randy Roebuck 06/16/11randy siegel 06/10/11Randy Waesche Metairie, LA 04/25/11Raoul Rodriguez, CFP® 06/10/11Raquel Hinman Boulder, CO 05/09/11Ray Johnson 06/02/11Ray Kulbeda 06/13/11Ray Padron Alpharetta, GA 04/25/11RAY SCHIEFFER 06/01/11Raymond Alvarez 06/11/11Raymond Benjamin Augusta, GA 04/25/11Raymond Brown Westlake, OH 04/25/11Raymond Eng 06/02/11Raymond Gadbois Piedmont, CA 05/25/11Raymond Heidel, MS North East, MD 04/25/11Raymond Van Gelder Indianapolis, IN 05/03/11Rebecca Garrett-ferguson 06/10/11Rebecca Halma Wentworth, SD 04/26/11Rebecca Preston Providence, RI 05/04/11Reed Fraasa Kinnelon, NJ 04/26/11Reginald Jensen San Jose, CA 04/25/11Reid Hartsfield 06/14/11Rena Noe Lafayette, IN 05/18/11Renée Judycki, CFP® 06/13/11REX FITCH JR VIRGINIA BEACH, VA 04/26/11Rex Seymour 06/02/11Rhonda Heineman, CFP® Omaha, NE 04/25/11Ricardo Ulivi Orange, CA 05/04/11Rich Jacobson Napa, CA 04/26/11Richard A Connell 06/10/11

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richard a. hall 06/15/11Richard Albright Blue Bell, PA 04/26/11Richard B Wagner 06/13/11Richard Barrier Mount Pleasant, NC 05/06/11Richard Bloom, CFP 06/10/11Richard Bulger Vestal, NY 04/25/11Richard C Hildebrand, CFP 06/06/11Richard Clark Wilmington, DE 04/27/11Richard Colarossi Islandia, NY 04/25/11Richard Coles LEXINGTON, KY 05/06/11richard collins maynard, MA 04/26/11Richard Costner Lakewood, CO 04/25/11Richard Cox Chattanooga, TN 04/25/11Richard D Barrier 06/16/11Richard DeChaineau Aiea, HI 04/25/11Richard DeRafelo Media, PA 04/25/11Richard DeRafelo, Jr 06/14/11richard dixon edenton, NC 04/25/11richard durso 06/02/11Richard E. Weaver 06/11/11Richard Ehrlich 06/01/11Richard Engel Manchester Center, VT 04/26/11Richard Erwin Plano, TX 04/25/11Richard Feight East Lansing, MI 04/25/11Richard Fine Jamaica Plain, MA 05/31/11Richard Flohr Nashville, TN 05/04/11Richard G Griessmeyer, CFP, CMFC, CRPC

06/11/11

Richard G. Albright 06/15/11Richard Gardner Stafford, VA 05/03/11Richard Graham San Antoino, TX 04/25/11Richard Hall Sandia Park, NM 04/25/11Richard Hand Spring City, PA 04/25/11Richard Harris Va. Beach, VA 05/04/11Richard Havican Wilbraham, MA 04/26/11Richard Hetherington Carlsbad, CA 04/25/11Richard Hogan 06/10/11Richard Holdway 06/03/11Richard Hurth Crestwood, IL 05/03/11Richard Hurth Oak Lawn, IL 05/18/11Richard J. Busillo 06/02/11

Page 90: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Richard J. Knebel 06/02/11richard Jackson Memphis, TN 05/04/11Richard Janke Sandy, UT 04/26/11Richard Jeffery Kamuela, HI 04/25/11Richard Jeffery 06/10/11Richard Jones Orem, UT 04/25/11Richard Joyner Dallas, TX 04/25/11Richard K. Gradel 06/01/11Richard Kreitman 06/10/11Richard Krentz Valley Cottage, NY 04/25/11Richard Leonard Mountain Vieew, CA 04/26/11Richard Lesan McLean, VA 05/16/11Richard M. DeCrosta 06/06/11Richard M. Sligh 06/02/11RICHARD MAYS Brandon, MS 04/25/11Richard McCormick Three Rivers, MA 05/05/11RICHARD MIKULA ELM GROVE, WI 04/26/11Richard Rogers Greenwood Village, CO 04/25/11Richard Roman Novato, CA 04/26/11Richard Salmen Olathe, KS 05/13/11Richard Schoenfeld Chevy Chase, MD 05/04/11Richard Schwed Poughkeepsie, NY 05/03/11Richard Seaver Indianapolis, IN 05/04/11Richard Sementa Morgantown, WV 05/04/11Richard Sprong Weatherford, OK 04/25/11Richard St. John Roswell,, GA 04/25/11Richard Steele Bellingham, WA 04/25/11Richard Thompson 06/15/11Richard Todd Stone 06/10/11Richard Van Der Noord Greer, SC 04/26/11Richard Van Zyl Grand Island, NE 04/25/11Richard Vodra McLean, VA 04/26/11Richard W Pierson 06/10/11Richard W. Stout III 06/13/11Richard Wagner Denver, CO 04/29/11Richard Weiss Mahopac, NY 05/18/11richard whitton portland, OR 04/25/11Richard Wojcik Burlington, MA 04/25/11Rick Epple Wayzata, MN 05/04/11Rick Getman 06/02/11Rick Keller 06/10/11

Page 91: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Rick Mangan 06/01/11Rick Mayes Carlsbad, CA 05/04/11Rick Mayo 06/02/11Rick Morehouse Scottsbluff, NE 04/25/11Rick Ray Columbus, OH 04/26/11Rick Salmeron 06/02/11Rick Shapiro W. Hartford, CT 04/25/11Rickard Martin Pepper Pike, OH 05/06/11Rob Garner Lafayette, CA 05/04/11Rob Lyman Palo Alto, CA 05/04/11Rob Typher, CFP 06/10/11Robert Kant 06/10/11Robert A Bye 06/01/11Robert A. Finnigan, CFP 06/13/11Robert A. McCullough 06/15/11Robert Abbott Bellevue, WA 05/31/11Robert B. Ayres Naples, FL 05/04/11Robert B. Pring St. Peters, MO 05/18/11Robert B. Wood, III 06/07/11Robert Beswick, CFP, ChFC, C.L.U.

06/01/11

Robert Billstein, Jr. 06/02/11Robert Bjur Bainbridge Island,, WA 04/25/11Robert Blanke Fletcher, NC 04/25/11Robert Bolen Franklin, TN 04/26/11robert bortz, jr oconomowoc, WI 05/03/11Robert Braun 06/11/11Robert Brooks Hubertus, WI 04/25/11Robert Butera Auburn, CA 04/26/11Robert C. Crane 06/10/11

Robert Callahan CPA/PFS, CFP Woodbury, MN

04/28/11Robert Cameron Gilbert, AZ 04/25/11Robert Cassel Columbia, MD 05/03/11Robert Choiniere Wexford, PA 05/04/11Robert Clark Severna Park, MD 04/25/11Robert Corno 06/10/11Robert D. Abrams 06/15/11Robert D. Petrik 06/01/11Robert Dwyer Houston, TX 04/25/11Robert E Ashton 06/01/11Robert E. Loucks 06/02/11

Page 92: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Robert Eckert Dallas, TX 04/25/11Robert Eddy San Diego, CA 05/31/11Robert Eldred Antioch, CA 04/26/11Robert Farnell Boulder, CO 04/25/11Robert Finke Aptos, CA 05/06/11Robert Florian Getzville, NY 04/29/11Robert Goellner 06/10/11Robert Graves Glendora, CA 04/25/11Robert Greenberg Irvine, CA 05/31/11Robert Hamilton Columbus, OH 05/18/11Robert Hamlin Virginai Beach, VA 05/14/11Robert Hampton Houston, TX 04/28/11Robert Harris Culleoka, TN 05/26/11Robert Hayden 06/06/11Robert Henderson Jr 06/01/11Robert Henry 06/01/11Robert Herold Rochelle Park, NJ 05/26/11Robert Hines St. Louis, MO 04/25/11Robert Hintz Lake Forest, CA 04/25/11robert holland, cfp 06/15/11Robert Horowitz Huntington, NY 04/25/11Robert Imparato 06/10/11Robert J. Boram, CFP, ChFC 06/02/11Robert J. McDermott New Milford, CT 04/25/11Robert J. walmsley 06/10/11Robert Jackson Scottsdale, AZ 04/25/11Robert Jewell Ithaca, NY 05/06/11Robert Johnson Huntsville, AL 04/25/11Robert keats phoenix, Az, AZ 04/25/11Robert Kleinman Port Washington, NY 04/25/11Robert Kline Endwell, NY 04/26/11Robert Kretz 06/02/11Robert L Clyde 06/15/11ROBERT L. BROOD 06/02/11Robert L. Holland Jr., CFP(R) Littleton, CO 05/05/11Robert L. Seymour, CFP 06/10/11Robert Langway Southborough, MA 04/27/11Robert Leonhard Columbus, OH 05/11/11Robert Livingston Allentown, PA 04/25/11Robert Loveman Boulder, CO 04/25/11Robert M P Moore 06/10/11

Page 93: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Robert Machado Rancho Mirage, CA 05/05/11Robert Maeder Groton, MA 05/05/11Robert Maloney Holderness, NH 05/04/11Robert Martino 06/13/11Robert McLaughlin Birmingham, AL 04/25/11Robert Meade Lewes, DE 04/27/11Robert Michael Kelley 06/13/11Robert Miller Indianapolis, IN 04/25/11Robert Monin Williamsville, NY 05/18/11Robert Morella Lafayette, LA 05/31/11robert moring charlotte, NC 05/03/11Robert Newell West Hills, CA 04/25/11Robert Oliver Ann Arbor, MI 05/19/11Robert P Moser 06/10/11Robert P. Saunders Bird Island, MN 05/03/11Robert Panian Redmond, WA 05/03/11Robert Patterson Dallas, TX 04/25/11Robert Pennartz Wilmington, DE 04/25/11Robert Ponton Virginia Beach, VA 04/25/11Robert Powell 06/10/11Robert Rafano South River, NJ 04/26/11robert rafano 06/14/11Robert Reed 06/07/11Robert Riccardi 06/02/11Robert Richards Jr. 06/14/11Robert Rogers Minneapolis, MN 04/25/11Robert Ryan Wakefield, MA 04/25/11Robert S Bjekich 06/01/11Robert S Donato Thiells, NY 04/25/11Robert S. Krim Little Silver, NJ 04/25/11Robert S. Pennartz 06/16/11Robert Schumann Buena Vista, CO 05/09/11Robert Sizemore Fort Myers, FL 05/03/11robert sullivan los altos, CA 04/25/11Robert Sweat 06/01/11Robert T Adams 06/03/11ROBERT TIMINERI Sausalito, CA 04/25/11ROBERT TOPPING WILLIAMSBURG, VA 05/03/11Robert Tull Jr Chesapeake, VA 05/31/11Robert Tyler 06/09/11Robert Ungerer Centereach, NY 05/06/11

Page 94: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Robert Veres 06/18/11Robert Wacker San Luis Obispo, CA 05/04/11Robert Walsh Red Bank, NJ 05/04/11Robert Wander 06/09/11Robert West Annapolis, MD 04/25/11Robert White Pleasant Hill, MO 05/03/11Robert Wilgos Newtown, PA 05/05/11Robert Wills Lockport, NY 05/04/11Robert Wilson Claycomo, MO 04/25/11Robert Wilson Jr Haverhill, MA 04/25/11Roberta Cole Edina, MN 04/25/11Roberta Goldbaugh Doraville, GA 04/26/11Roberta Welsh Laguna Woods,, CA 04/25/11Roberto Calzadilla Glenview, IL 06/01/11Roberto Torres Miami, FL 04/25/11Robin Kivett Webb City, MO 05/01/11Robin L. Russo 06/14/11Robin Riendl Anchorage, AK 04/25/11Robin Sherwood New Canaan, CT 05/05/11Robin Wolfgram San Jose, CA 05/30/11Robin Wucher WIllis Unit 901, FL 04/25/11Robinson Moncure Raleigh, NC 05/06/11Robyn Bahlinger Laguna Hills, CA 04/25/11Rod Evans San Diego, CA 05/19/11Rodney Mac Intyre Blooming Glen, PA 05/03/11Rodrigo Oliva 06/01/11Roger B. Merrick 06/13/11Roger D. Dunson Sr. 06/21/11Roger Gibson Wexford, PA 04/26/11Roger Harmon Roswell, GA 04/27/11Roger Ho 06/10/11Roger Hoenes Springfield, MO 04/25/11Roger I. Bair, III 06/13/11Roger Kruse Coon Rapids, MN 05/03/11Roger Scott Seattle, WA 04/25/11Roger Simard Scottsdale, AZ 04/26/11Roger Smith Sacramento, CA 05/03/11Roger Streit Roseland, NJ 05/19/11Roger Willroth Ames, IA 05/05/11Rogers Penfield, CFP (R) 06/02/11

Page 95: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Roland Sample Clarksville, TN 05/03/11Rolf Trautsch Pacific Grove, CA 05/18/11Ron Ashley 06/20/11Ron Barry 06/03/11Ron Beaton Paducah, KY 04/25/11Ron Davis Roanoke, VA 05/30/11Ron Dickinson 06/01/11Ronald A Mosocco 06/12/11Ronald A Sampson 06/01/11Ronald A. Matsui, CIMA, CFP, CRPC, CEP

06/02/11

Ronald B Stricker 06/10/11Ronald Bare Atglen, PA 04/26/11Ronald Colson Lakewood, CO 04/27/11Ronald Evans Hopkins, MN 04/26/11Ronald Gould Toledo, OH 04/25/11Ronald Hurst Raytown, MO 05/03/11Ronald Iannucci Woodbury, CT 04/26/11ronald j rich 06/02/11Ronald J. O'Dowd 06/02/11Ronald L. Nicholson 06/02/11ronald lederkramer los angeles, CA 04/25/11Ronald P. Majewski 06/01/11Ronald Roccaforte Groves, TX 05/18/11Ronald Roge Bohemia, NY 04/26/11Ronald Silich 06/11/11Ronald Simmer Ferndale, WA 05/31/11Ronald Tamayo Maitland, FL 05/04/11Ronald Wall La Crosse, WI 05/05/11ronit rogoszinski 06/01/11Ronlad W. Humenny 06/10/11Rorik Larson Orland Park, IL 05/04/11Rory Vander Heyden, CFP Clayton, CA 04/26/11Rosa Kohler 06/15/11Rosanne Arthur Santa Rosa, CA 04/25/11Rosanne Roge Bohemia, NY 04/26/11Rose Swanger 06/01/11Roseann Bove Medford, NJ 05/04/11Roselyn Wilkinson Pittsburgh, PA 05/12/11Rosilyn Overton Lords Valley, PA 04/26/11Ross Mongiardo Garden City, NY 05/03/11

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Roxanne Fleszar Gloucester, MA 04/26/11Roxanne Witmer Willow Street, PA 04/27/11Roy Ames Broken Arrow, OK 04/25/11Roy Ballentine Torrance, CA 06/01/11Roy Diliberto Fort Myers, FL 05/14/11Roy Gibson Lakewood, CO 04/25/11Roy Weisert 06/13/11Royal Jaros 06/02/11Royal Lunsford, Jr. Spring, TX 05/18/11Rozanna Patane York Harbor, ME 05/04/11RUBIK BABAIANS 06/09/11Rubina Hossain 06/06/11Russell Blahetka Cupertino, CA 04/25/11Russell Bosworth New York, NY 04/25/11Russell Campbell Chicago, IL 05/18/11Russell Hall Fullerton, CA 04/25/11Russell Hall Wichita, KS 05/18/11Russell Lowry Windsor, CT 04/26/11Russell Mansfield 06/10/11Russell Strand Bethesda, MD 04/25/11Russell Wayne Weston, CT 04/25/11Ruth Chady Belleville, IL 04/25/11Ruth Delaney 06/02/11Ryan Bradley Greenbelt, MD 04/28/11Ryan Darwish Eugene, OR 05/04/11Ryan Drake Richmond, VA 05/06/11Ryan Glover Greensboro, NC 04/25/11Ryan Klekar Cincinnati, OH 04/25/11Ryan M. Smith 06/06/11Ryan McClung Portland, OR 05/02/11Ryan Olds Cleveland, OH 04/27/11Ryan Patterson Houston, TX 04/25/11Ryan R Morrissey 06/07/11Ryan Tomkinson 06/13/11Sabrina Evenosky Havertown, PA 05/05/11Sabrina Peterson Anchorage, AK 04/26/11Sallie Mullins Thompson New York, NY 05/06/11Sally J Kelley 06/01/11Sally Long Herenando, FL 04/26/11SALLY MURRAY BATAVIA, IL 04/28/11Sam Martin 06/10/11

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Sam McPherson 06/02/11Samantha Craig Vient Huntignton Beach, CA 05/04/11Samantha Macchia Columbus, OH 04/26/11Samir Alame Elmhurst, IL 05/04/11Sammy Tally Bedford, TX 05/04/11Samuel J. Flaherty 06/02/11Samuel Varano Charleston, SC 04/26/11Sandeep Madhavan 06/10/11Sandra Borrowdale 06/02/11Sandra K. Pierce, CPA, CFP 06/01/11Sandra L. Anderson 06/15/11Sandra Masick Binghamton, NY 05/06/11Sandra Reynolds Westport, MA 04/26/11Sandra Riccio Albany, NY 04/25/11Sandy Porter Decatur, GA 05/31/11Sara Geber los gatos, ca, CA 04/25/11Sarah Fuller 06/10/11Sarah Phillips-Frangioni sarasota, FL 04/26/11sarah rieger spokane, WA 04/25/11Sarah Young Fisher Lancaster, PA 04/26/11Sathya Chey Long Beach, CA 04/25/11Scot Fairchild, CFP 06/01/11Scot Hanson Shoreview, MN 04/25/11Scot N Pardo 06/11/11Scott A, Pietras 06/17/11Scott Adams 06/10/11Scott Barbee Cincinnati, OH 04/26/11Scott Batchelor 06/15/11Scott Cawood Winston-Salem, NC 04/25/11Scott Cheney, CFP®, CLU®, ChFC®, CASL®

06/02/11

Scott Davis 06/02/11Scott Draper Gold River, CA 04/25/11Scott Dye Snoqualmie, WA 04/25/11Scott E Marshall 06/15/11Scott Ferguson Indianapolis, IN 05/19/11Scott Harding Denver, CO 04/25/11Scott Houser Roswell, GA 05/04/11Scott Kays Atlanta, GA 05/03/11Scott L. Goodling, CFP® 06/11/11Scott M. Bechtold 06/14/11Scott McCaffery Warren, NJ 04/25/11

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Scott McDuffie Atlanta, GA 05/18/11Scott Michalek 06/16/11scott oeth Edina, MN 05/18/11Scott Pope 06/10/11Scott Rainville Goldsboro, NC 04/25/11Scott Robinson 06/01/11Scott Sheffield Bellevue, WA, WA 04/25/11Scott Spann Mt Pleasant, SC 04/26/11Scott Sprague San Ramon, CA 04/26/11Scott Stratton Dallas, TX 04/26/11Scott Swisher 06/17/11Scott Vineberg Scottsdale, AZ 04/27/11Scott Walker Arlington, VA 05/03/11Scott Winkler Norcross, GA 05/04/11Scott Worley Sinking Spring, PA 05/05/11Sean Condon 06/01/11Sean Eldred 06/03/11sean pearson 06/10/11Sean Phillips Dallas, TX 04/25/11Sean Shannon 06/10/11Seok Jo Woodland Hills, CA 04/25/11SERGE R . PINARD LAKE SUCCESS, NY 04/25/11Seth Whicker 06/11/11Shabri Moore Frederick, MD 04/25/11Shane Alsworth 06/10/11Shane McCormick Media, PA 05/18/11Shane Stewart Salt Lake City, UT 04/25/11shannon bennett 06/10/11Sharla Rountree Lakewood, CO 04/25/11SHARON A KOWALESKY 06/10/11Sharon M Dufresne 06/14/11Sharon Tallman Cincinnati, OH 04/25/11Shaun Agle 06/01/11Shaun Eddy Columbia, MD 04/26/11Shaun Kiser Russell, KY 05/18/11Shawn Ballinger 06/01/11Shawn Brunner 06/01/11Shawn Connolly 06/01/11Shawn D Taylor 06/01/11Shawn M Benedict 06/10/11Shawn Tydlaska 06/10/11Sheena Hanson Appleton, WI 04/25/11

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Sheila Handrick Madison, WI 04/25/11Sheila Miller Anchorage, AK 04/26/11Shel Brandenburger, CFP San Mateo, CA 04/25/11Sheldon A. Fishman 06/10/11Sheldon Fishman Tucson, AZ 04/25/11Sheldon Harber St, Louis, MO 04/25/11Sheri Bistreich, CFP 06/14/11sheri kendall indianapolis, IN 05/18/11Sherif Awad Federal Way, WA 04/25/11Sherman E. Strobeck 06/15/11Sherri Butala Fusaro Russellville, AR 05/04/11Sherry McKinney 06/15/11SHERRY MIRTS Red Oak, IA 05/03/11Sherry West Indian Wells, CA 04/25/11Sheryl Clark Tucson, AZ 05/10/11Sheryl Garrett Eureka Springs, AR 04/26/11Shirley Aumack Hazlet, NJ 05/26/11Shirley White-Stevens Allen, TX 04/25/11Shon Flaharty Clearwater, FL 04/26/11Sidney Blum Evanston, IL 04/25/11Simler Batcheler Allison Park, PA 04/25/11Simon Hassan Auckland, New Zealand 05/21/11Skip Fleming 06/01/11Skip Schweiss Denver, CO 04/25/11Sophie Kaluziak Oak Park, IL 05/31/11Spencer Betts 06/10/11Stacey Gibble Barrick Camp Hill, PA 05/04/11Stacie Neussendorfer Omaha, NE 04/25/11Stacy Bakri 06/10/11Stan Klukowski West Hartford, CT 05/04/11Stan Norkiewicz West Chester, PA 04/26/11Stanley J. Lichwala, CFP® 06/02/11stanley nieminski South Barrington Il, IL 04/25/11Stefan Williams Ross, CA 05/04/11Stephan Hess Harrisonburg, VA 04/25/11Stephanie Harris 06/01/11Stephanie Lee 06/13/11Stephanie Poorman 06/16/11Stephanie W. McCullough 06/15/11Stephen A. Calderara 06/01/11Stephen B Walsh, CFP 06/13/11

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Stephen Barnes Phoenix, AZ 04/25/11Stephen Barone 06/02/11Stephen Bingham Arlington, VA 05/03/11Stephen Clark Johns Creek, GA 05/04/11Stephen Close Las Vegas, NV 04/26/11Stephen Csenge Clearwater, FL 04/25/11Stephen Donella Sr. Holmes Beach, FL 04/26/11Stephen Doucette Wellesley, MA 04/25/11Stephen Dunne Portland, OR 05/05/11Stephen Ellisor, CFP® McLean, VA 05/04/11Stephen Ferro Scotch Plains, NJ 05/05/11Stephen Forrest Windsor Heights, IA 05/03/11Stephen Garrett Birmingham, AL 04/28/11Stephen Gorman Hingham, MA 04/25/11Stephen H. Schiller, CPA, CFP 06/01/11Stephen H. Smith 06/02/11Stephen Haidt Mobile, AL 05/04/11Stephen High Nashville, TN 04/25/11Stephen High 06/17/11Stephen J. Cribley 06/02/11Stephen J. Farrar 06/11/11Stephen J. Lee Columbia, MD 05/18/11STEPHEN KIRKENDALL Vancouver, WA 04/25/11Stephen Lovell Walnut Creek, CA 04/25/11Stephen Murdock 06/10/11Stephen Nykamp Pleasanton, CA 05/18/11Stephen Overstreet Winter Springs, FL 04/25/11Stephen P. Byrne, CFP 06/01/11Stephen P. Lain 06/15/11STEPHEN SIEGEL BALTIMORE, MD 04/25/11Sterling Neblett 06/10/11Steve Athanassie New Port Richey, FL 04/25/11Steve Bell Livermore, CA 04/25/11Steve Bell, CFP Livermora, CA 05/04/11Steve Billings 06/10/11Steve Bove Oldsmar, FL 05/04/11Steve Curran Gastonia, NC 04/25/11Steve Doster San Diego, CA 04/25/11Steve Gilbertson Edina, MN 05/06/11Steve Hansen San Diego, CA 04/26/11Steve Johnson, CFP® Palo Alto, CA 05/04/11

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Steve Kuklinski 06/21/11Steve Martin Fort Collins, CO 05/31/11Steve Myler, CFP 06/01/11Steve Pollock Collingswood, NJ 05/04/11Steve Raymond 06/13/11Steve reents 06/14/11Steve Siders Roswell, GA 04/25/11Steve Sivak 06/10/11Steve Spong 06/02/11Steve Stanganelli Amesbury, MA 04/27/11Steve Sutherland West Linn, OR 04/25/11Steve Templeton coraopolis, PA 05/04/11Steve Teranishi Merced, CA 05/11/11Steve Tibbitts Allegan, MI 05/18/11Steve Williams Los Alamitos, CA 05/19/11Steve Wisdom 06/01/11Steve Wolfe Vancouver, WA 05/05/11Steven Ames Annapolis, MD 04/25/11Steven Barnes Bakersfield, CA 04/26/11Steven Bliss Grand Blanc, MI 05/06/11Steven Brown Cincinnati, OH 04/26/11Steven C. Collie 06/10/11Steven Copeland Bronxville, NY 05/31/11Steven D Lorenz Lakeville, MN 05/03/11Steven Elwell Amherst, NY 04/25/11Steven Farrington La Mesa, CA 05/18/11Steven Gensler CFP®, MBA, MSBA

06/16/11

Steven Goldman 06/10/11steven hansen pine river, MN 04/25/11Steven J Depner 06/01/11Steven Jacobsmeier Norwood, MA 05/05/11Steven Johnson West Olive, MI 04/25/11Steven Johnson Novato, CA 04/25/11Steven Johnston 06/10/11steven kaye warren, NJ 05/10/11Steven L. Dick, CFP, ChFC 06/01/11Steven Larsen 06/01/11Steven Lorio 06/10/11Steven M. Ryan 06/02/11Steven Margulin Albuquerque, NM 05/05/11

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Steven Mattaini Saint Paul, MN 04/26/11Steven Merkel Bonita Springs, FL 04/25/11Steven Milvet Medina, OH 04/26/11Steven Orr Victoria, TX 05/05/11Steven Penn 06/01/11Steven Quinn Minneapolis, MN 06/01/11Steven Reed Littleton, CO 05/03/11Steven Reents Alpharetta, GA 04/25/11Steven Rosenberg West palm Beach, FL 04/27/11Steven S. Martin 06/02/11Steven S. Volpe, CFP 06/15/11Steven Schippel 06/01/11Steven Seegmiller Westlake Village, CA 05/18/11Steven Silber 06/10/11Steven Starnes 06/06/11Steven T. Hess 06/01/11steven testino palisades park, NJ 04/25/11Steven Tresnan 06/10/11Steven Van Wie Ponte Vedra Beach, FL 05/04/11Steven Vitanza Voorhees, NJ 05/26/11Steven W. Smith 06/01/11Steven Wertime Falls Church, VA 04/25/11Steven Weydert Irvine, CA 05/04/11STEVEN WIGHTMAN LEXINGTON, MA 05/11/11Steven Williamson Midlothian, VA 04/26/11Steven Young Brixry, MO 05/04/11Steven Young Cleveland, OH 05/18/11Steven Zimmerman Apple Valley, MN 05/09/11Stewart koesten overland park, KS 04/25/11Stratford Kiger Charlotte, NC 05/09/11Stuart Clymer Stratford, CT 04/25/11Stuart Coats Louisville, KY 05/21/11Stuart McHenry Waldorf, MD 05/03/11Stuart Ng Burbank, CA 04/25/11Subhash Desai 06/02/11Sudhir agrawal Germantown, TN 04/25/11Sue Ferdig San Jose, CA 05/03/11Sun Shim Albany, CA 05/03/11Sunny Tang Houston, TX 04/26/11Susan B. Hart, CFP® 06/02/11Susan Butler 06/01/11

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Susan Carr Perrysburg, OH 04/26/11Susan D. Smith 06/01/11Susan Freed Chevy Chase, MD 05/04/11Susan Fuhrman Holin 06/15/11Susan Herendeen Pittsford, NY 04/25/11Susan J Lopez 06/13/11Susan J. Rede 06/10/11Susan John Wolfeboro, NH 04/25/11Susan Lerner San Diego, CA 04/25/11Susan Lombardo 06/13/11Susan Manrodt 06/02/11Susan S Liu 06/10/11Susan Spraker Maitland, FL 05/31/11Susan Steiner Cincinnati, OH 05/06/11Susan Strasbaugh Forest, VA 06/01/11susan williams maryville, TN 04/26/11Susan Y. Marvin 06/02/11Susie Johnston Greenwood Village, CO 04/25/11Suzanne Banzet winston-Salem, NC 05/18/11Suzanne Himes Knoxville, TN 05/06/11Suzanne Low Bonita Springs, FL 04/25/11Suzanne Miller Atlanta, GA 04/25/11Suzanne Seay, CFP 06/11/11Suzanne Uhl-Melanson Waterville, ME 05/18/11Suzanne Wheeler Tulsa,, OK 05/04/11Sylvia Chin 06/01/11Sylvia Fitzgerald San Diego, CA 04/25/11T Perry 06/02/11T. Taylor Payne Evansville, IN 04/25/11Tam Tran-Minh Westlake, TX 05/05/11Tamara Julien Fort Collins, CO 04/25/11Tamara Morse Port Ludlow, WA 05/03/11Tamara Shelabarger Roswell, GA 05/04/11Tammera Prouty Mount Vernon, WA 04/27/11Tara Sanders Ormond BEach, FL 05/04/11Tara Scottino 06/13/11Taylor Clement Southern Pines, NC 05/04/11Taylor Easley 06/10/11Ted Jackson Tuscaloosa, AL 04/26/11Ted Nation 06/17/11Ted Ruiz 06/19/11

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Ted Sadar 06/01/11Ted Sanders Woodstock, GA 05/03/11Ted Saneholtz Columbus, OH 04/25/11Teodoro Ruiz Jr. 06/02/11Teresa Bousky Chicago, IL 05/18/11teresa bousky 06/10/11Teresa Christensen Louisville, KY 05/23/11Teresa Darnielle Morse Huntley, MT 05/06/11Teresa Parker Riverside, CA 04/25/11terese demonbrun new york, NY 05/03/11Teri Tidwell 06/17/11Teri Tornroos Marietta, GA 04/25/11TERRENCE GAVAN 06/02/11Terrence Tait, CFP 06/15/11Terry Luk, CFP, EA 06/07/11Terry Balding Sun Prairie, WI 04/25/11Terry Bradford 06/11/11Terry Devine 06/14/11Terry Duncan San Mateo, CA 05/07/11Terry Ford Woodstock, GA 04/25/11Terry Gravely Beverly Hills, CA 05/01/11Terry J Beebe CFP Bayfield, CO 04/25/11Terry Marynchak Washington, PA 04/25/11Terry Nelson, CFP MS Roseville, MN 04/25/11Terry Phillips West Lafayette, IN 05/04/11Terry Swehla Modesto, CA 04/25/11Thaddeus Phelps 06/02/11Thatcher Brown New York, NY 04/26/11Thea Glazer San Diego, CA 05/03/11Theo Block princeton, NJ 05/05/11Theodore Athans Chino Hills, CA 05/05/11Theodore Haley 06/13/11Theodore Roman El Cajon, CA 05/04/11Therese Martin Elk Grove Village, IL 04/26/11Thomas A Grose 06/03/11Thomas A. Singletary 06/08/11Thomas A.Schultz 06/10/11Thomas Adair Chicago, IL 04/25/11Thomas Anderson Glencoe, MN 04/25/11Thomas B. Conway JD CFP 06/10/11Thomas B. Sherman 06/10/11

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Thomas Baird Houston, TX 04/26/11Thomas Bennett Benicia, CA 05/05/11Thomas Bonorden Olney, MD 04/25/11Thomas Britt Old Lyme, CT 04/25/11Thomas Burke 06/11/11Thomas C. Schwab, CFP® 06/01/11Thomas Carreras 06/11/11Thomas Carroll Cincinnati, OH 04/25/11Thomas Chadwick Gastonia, NC 04/30/11Thomas Conway Rockville, MD 05/31/11Thomas Doyle Charlestown, RI 05/04/11Thomas E Gerhart 06/01/11Thomas E. Westrick 06/10/11Thomas Elliott Pensacola, FL 05/04/11Thomas F. Bauman 06/02/11Thomas Fenn Chapel Hill, NC 05/05/11Thomas Fitzpatrick 06/05/11Thomas Geraghty Fair Lawn, NJ 04/25/11Thomas Goodwin Brookings, OR 05/04/11Thomas Grzymala Keswick, VA 04/26/11Thomas H Lawrence, III 06/10/11Thomas Hardy Ann Arbor, MI 04/25/11Thomas Hartman S.Pomfret, VT 04/27/11Thomas Horton W Bloomfield, MI 05/20/11thomas howard streamwood, IL 05/14/11Thomas Karp St. Paul, MN 05/03/11Thomas Krahe Manistee, MI 04/25/11Thomas Lamar Smith Gadsden, AL 05/18/11Thomas McAllister Carmel, IN 04/25/11Thomas McCandless Eastchester, NY 04/28/11thomas mccandless NYC, NY 05/10/11Thomas Morrison Wheaton, IL 04/25/11Thomas Myers Redwood City, CA 04/25/11Thomas Nowak Grayslake, IL 04/25/11thomas panos 06/02/11Thomas Pemberton Charlotte, NC 04/25/11Thomas Pritchett Tifton, GA 04/27/11Thomas R. Sommer 06/10/11Thomas Rabaut Auburn Hills, MI 04/25/11Thomas Rogers South Portland, ME 04/25/11

Page 106: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Thomas Rose Glen Ellyn, IL 04/26/11Thomas S Bigelow Wolfeboro, NH 04/25/11Thomas Saunders Longwood, FL 05/12/11Thomas Schneberger Bradenton, FL 05/07/11Thomas Scott Clark Simpsonville, SC 04/25/11Thomas Space Gilford, NH 04/27/11Thomas Steeley Bethesda, MD 04/25/11Thomas T. Jaeger Plover, WI 06/01/11Thomas Tesar Clayton, MO 04/25/11Thomas Torp 06/10/11Thomas Valore San Jose, CA 04/25/11Thomas W Headlee 06/02/11thomas w mooney jr 06/02/11Thomas W. Lind 06/10/11Thomas White sunnyside, WA 04/25/11Thomas Wilcox Medfield, MA 04/27/11THOUGHTFUL CFP 06/02/11Tiffany Ballard Ridgeland, MS 05/10/11Tiffany Owens Kansas City, MO 05/03/11TIM MATTESON 06/01/11Tim Curran 06/16/11TIM HA ROANOKE, VA 04/26/11Tim Kober Portland, OR 05/04/11Tim Madison 06/10/11Tim Maurer Hunt Valley, MD 04/25/11Tim Neuenschwander McFarland, WI 04/25/11Tim Sobolewski 06/10/11Tim Voegele Greenwood, IN 04/26/11Tim Wilson Allen, TX 04/29/11timothy atkinson garden city, NY 04/25/11Timothy Blevins Riverside, CA 05/03/11Timothy Breitfelder 06/11/11Timothy Brown Eden Prairie, MN 05/31/11Timothy Custer Frederick, MD 04/25/11Timothy G Long 06/10/11Timothy Grout Cincinnati, OH 04/25/11Timothy Hammond Phoenix, AZ 05/03/11Timothy Hawkins Ankeny, IA 05/18/11Timothy Hayes Pittsford, NY 05/04/11Timothy Holt Glendale, AZ 04/25/11timothy hummel casselberry, FL 04/25/11

Page 107: June 23, 2011 Chairman U.S. Securities and Exchange Commission 100 · PDF fileJune 23, 2011 . The Honorable Mary L. Schapiro . Chairman . U.S. Securities and Exchange Commission

Timothy J. Holsworth 06/11/11Timothy Jones Fairfax, VA 04/25/11Timothy Knotts Red Bank, NJ 04/25/11Timothy L McDonough 06/10/11Timothy Moffitt 06/08/11Timothy Montague Columbus, OH 05/06/11Timothy Murray CHANTILLY, VA 04/25/11Timothy Nickas 06/12/11Timothy Roth Maumee, OH 04/26/11Timothy Shirk New Berlin, WI 04/25/11Timothy Traub Orleans, MA 04/25/11Timothy Watters Paramus, NJ 04/25/11Timothy Wyman Southfield, MI 04/26/11Tina Cirillo 06/10/11Tina Wells Lee, CFP 06/15/11Tobin Jenkins Lexington, KY 04/25/11Tobin Johnson Edina, MN 04/26/11Todd 06/10/11Todd A. Marotta 06/16/11Todd Black Cummign, GA 05/04/11Todd Calamita 06/15/11Todd D. Knapp 06/10/11Todd Douma Phoenix, AZ 04/25/11Todd Eastman 06/10/11Todd Macke Fort Myers, FL 05/04/11Todd McClain Troy, MI 05/03/11Todd Nash, CFP, CPA, EA 06/01/11Todd P. Saunders 06/11/11Todd Sivak Delafield, WI 04/25/11Todd Smith Alpharetta, GA 04/25/11Todd Stueve Coon Rapids, MN 05/09/11Todd Turner Nashville, TN 05/25/11Todd White Redwood City, CA 05/04/11Toi Salter chicago, IL 04/25/11Tom Alf Mendota Heights, MN, MN 04/26/11Tom Berry 06/03/11Tom Bonvissuto Parkton, MD 04/25/11Tom Curti Cincinnati, OH 05/18/11tom davison Columbus, OH 05/31/11tom demarois Sacramento, CA 05/18/11Tom E. Ricks, CFP(R) 06/16/11

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Tom G. Parks, Jr. CFP 06/10/11Tom Gerhart lebanon, PA 05/18/11Tom Grose Golden Valley, MN 04/25/11Tom Hebrank Marietta, GA 04/25/11Tom Morrison 06/10/11Tom Nelson Superior, CO 05/03/11Tom Pilch Plymouth, MI 04/26/11Tom Ricks Dallas, TX 04/25/11Tom Roberts Sarasota, FL 04/27/11Tom Spray-Fry Lutherville, MD 04/25/11Tom Storrie Chapel Hill, NC 04/25/11Tom Tye Danville, KY 04/29/11Tom Vislisel East Dundee, IL 05/04/11Tommy Lackey Greensboro, GA 04/25/11Tony Carter Tampa, FL 04/30/11Tracey Borgardts 06/01/11Tracy Burke Harrisburg, PA 05/18/11Tracy Burke 06/14/11Tracy J. Dostal 06/10/11Tracy Sherwood Clarence, NY 05/20/11Tracy Stalkfleet. Ortez 06/16/11Travis Buck Burnsville, MN 04/26/11Travis Holmstrom San Antonio, TX 04/25/11Travis James 06/01/11travis moser 06/10/11Travis Teague 06/13/11Travis Webb 06/02/11Trevor Harris 06/14/11Trevor Whitley 06/17/11Trish Gehring South Bend, IN 04/26/11Troy E. Jones 06/07/11Troy Hutchinson Roswell, GA 05/06/11Troy Sapp 06/01/11Tu Bui Irvine, CA 05/03/11Tyson C. Lewis 06/01/11V Raymond Ferrara Clearwater, FL 04/25/11Valentino Sabuco, CFP, AEP 06/02/11valerie antonioli Greenwood Village, CO 05/03/11Valerie M. Johnson 06/02/11Valerie Peck, MBA, CFP® San Diego, CA 04/25/11Vance Boucher Palm Desert, CA 05/03/11

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Vance Brandt Minnetonka, MN 04/26/11Vaughn Heydel 06/10/11Vernon Wong Honolulu, HI 04/25/11Vicki Schultz Reno, NV 04/26/11Vicki Van Horn, CFP(R) 06/10/11Victor A. Philleo 06/10/11Victor Belonis 06/01/11Victor Jones Torrance, CA 04/25/11Victor Jones, CFP(R) Vacaville, CA 04/25/11Victor Kormeier Houston, TX 04/25/11Victoria D. Watt 06/10/11Victoria Roberts Lakewood Ranch, FL 04/25/11VIJAIANAND THIRNAGESWARAM

houston, TX 05/06/11

Vikram Kohli 06/01/11Vince Nubel 06/14/11Vincent Barbera Eagleville, PA 04/26/11Vincent Crivello San Jose, CA 05/05/11Vincent Franks 06/06/11Vincent Palumbo Warwick, RI 04/27/11Vincent Schiavi Wilmington, DE 05/04/11VINCENT SCHIAVI wilmington, DE 05/31/11Vincent W Valentine 06/10/11Vincent Whelan Fresno, CA 05/12/11Vinson Willits 06/13/11Virgil A. Folden III Fredericksburg, VA 04/26/11Virginia Bruce Des Moines, WA 04/25/11Virginia Clay 06/01/11Vivian Honeycutt Chesapeake, VA 04/25/11

W Ben Keel III CFP ChFC CLU Katy, TX

05/06/11W John Dulmage Londonderry, NH 04/25/11W. Douglas O'Rear 06/16/11Wales Phipps Gainesville, FL 04/25/11Wallace Campbell Santa Fe, NM 04/26/11Wallace Fry 06/10/11walt williams temple terrace, FL 05/03/11Walter Burns N Palm Beach, FL 04/25/11Walter Duvall Newport, OR 04/25/11Walter Klisiwecz Albany, NY 04/25/11Walter Reinsdorf 06/14/11

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Walter Towner CFP 06/11/11Ward W. Van Skiver 06/10/11Warland Griffith III Miami, FL 04/25/11Warren J Dankert 06/12/11Warren MacKenzie Toronto, Canada 04/25/11Warren McIntyre Troy, MI 04/25/11warren schumacher 06/10/11Warren Wall 06/01/11Wayne Alan Williams 06/01/11Wayne Blanchard CASSELBERRY, FL 05/19/11Wayne brunck Bergenfield, NJ 04/25/11Wayne Chodkowski 06/02/11Wayne Farlow Westminster, CO 04/25/11Wayne Henry Holden, MO 04/25/11Wayne Locke New Milford, CT 04/25/11wayne maslyk sandusky, OH 05/04/11Wayne Pirmann Auburn Hills, MI 05/03/11Wayne Titus Plymouth, MI 05/31/11Weiwei Jin Virginia Beach, VA 04/25/11Wendell Brown, CFP 06/01/11Wendell Stewart Windham, NH 04/25/11Wendy B Namack 06/01/11Wendy H Rowley 06/14/11Wendy Korman 06/10/11Wendy Markey Gulf Breeze, FL 04/25/11Wendy Weaver Bethesda, MD 05/04/11Wesley E Godwin Jr 06/02/11Wesley M. Boyce 06/10/11Wesley Previant 06/10/11wha sam kong 06/11/11whayne porter louisville, KY 04/27/11Whitner W. Hankinson 06/02/11Whitney Merrill Clifton Park, NY 04/25/11Will Archer Blacksburg, VA 04/27/11Will Rogers Evans, GA 04/26/11Will Welborn Nashville, TN 05/25/11William Armes Long Beach, CA 04/25/11William Aubrey Morrow 06/01/11william b anderson canterbury, NH 05/04/11William B Kirby 06/02/11William Baker Lafayette, LA 05/18/11William Beamer San Diego, CA 04/25/11

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William Beecher Great Falls, MT 04/25/11William Bengen Chula Vista, CA 05/04/11William Bonito The Woodlands, TX 04/26/11William Breitweiser Pittsburgh, PA 05/04/11William Brewer Dallas, TX 04/26/11William Cameron Barboursville, VA 04/25/11William Christy Philadelphia, PA 05/06/11William Coffeen Roswell, GA 05/18/11William Corley Citrus Heights, CA 04/27/11William Cuthbertson San Juan Capistrano, CA 04/30/11William D Lee 06/16/11William D. McInerney 06/01/11William D. Rice Victor, NY 05/18/11William D. Ross, CFA Columbus, GA 04/25/11William Dorriety Daphne, AL 05/04/11William Duff Monrovia, CA 05/31/11William Duncan Henderson, NV 05/05/11William Dunn Stockton, NJ 04/25/11William Egan iii cfp clu Avon, NJ 04/25/11william ertel Charlotte, NC 05/03/11William F. Keats 06/01/11William Fortner San Ramon, CA 04/25/11William Fred Hancock Union City, TN 04/25/11William Frederick East Amherst, NY 04/26/11William G. James 06/15/11William Gloer San Diego, CA 05/22/11William Golab Nashville, TN 05/25/11William Greulich Floral Park, NY 04/25/11william h cantrell 06/10/11William H Walters III, CFP 06/13/11William H. Bryan 06/01/11William H. Keffer 06/11/11William H. Ring 06/10/11William Hagen Katy, TX 04/25/11William Hammond Charlotte, NC 04/25/11William Harris Duxbury, MA 05/18/11William Hart Jacksonville, FL 04/26/11William Heath Houston, TX 04/25/11william hohmann Jacksonville, FL 04/26/11William Hufnell New Providence, NJ 06/01/11William J. Lagos Jr. 06/16/11

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William James Iselin, NJ 05/18/11William Jerome Ballston Lake, NY 04/26/11William Jessup Tuscaloosa, AL 04/25/11William k hall 06/11/11William Kantner Chadds Ford, PA 04/25/11William Kantner, CLU, ChFC 06/15/11William Kirby Reno, NV 04/26/11William Koontz Cincinnati, OH 04/26/11William Krempa, CFP, CFS 06/16/11William L. Ralston, III 06/06/11William LeFavor 06/02/11William Leuby Columbus, OH 05/04/11William lewis Lincoln, NE 05/03/11William Loucks 06/01/11William McCahill Watchung, NJ 05/03/11William McKee Charleston, WV 04/25/11William McLarty Mobile, AL 04/25/11William Milam Naperville, IL 04/25/11William Miller Peoria, IL 05/04/11William Milton Mt. Pleasant, SC 04/29/11william mullin paoli, PA 04/25/11William Newell Hopkinton, MA 04/25/11William Nichols San Antonio, TX 05/05/11William Nugent Saraspta, FL 05/19/11William O'Leary Lancaster, PA 04/25/11William Oswald Watertown, WI 04/25/11William Palmer Greenwood Village, CO 04/25/11William Palmer 06/02/11William Pfadt Indianapolis, IN 05/17/11William Pitney Foster City, CA 04/25/11William Prentice II, AWMA, CFP 06/08/11William Prewitt Charleston, SC 04/25/11William Puishys CFP Brookfield, MA 05/03/11William R. Tennant 06/14/11William R. Walters 06/10/11William Reeve 06/10/11William Reynolds Windsor, CO 04/25/11William Rodau Nekoosa, WI 05/04/11William Sempolinski Sharon, MA 04/25/11William Simonette Mankato, MN 05/04/11William Smith Grafton, MA 04/26/11

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William Sommers Brookfield, WI 05/03/11William Starnes Hockessin, DE 05/04/11William T Mullen Park City, UT 04/25/11William Uebele Carmel, IN 04/25/11William Verhagen Bloomington, IN 05/18/11William W. Spence CFP 06/15/11William Wallace 06/11/11william waters 06/10/11William Whidden, CFP White Salmon, WA 04/25/11William Wixon Maple Grove, MN 04/26/11William Woloszyn 06/02/11William Wood 06/12/11Willis Ashby Greenwood Village, CO 04/25/11Wm. Hall 06/14/11Wm./ Hall 06/14/11Yale Lewis 06/12/11Yanping Ming Princeton, NJ 04/25/11Yasiu Kruszynski Chicago, IL 04/28/11Ying Huang Chicago, IL 05/31/11Youssef Fareed Nashville, TN 05/18/11Yvonne Dean, CFP(r), FIC 06/02/11Zachary Clark Petaluma, CA 06/01/11Zachary O'Keeffe Columbus, OH 04/25/11Zane Torgrude Middleton, WI 04/26/11Zhen Liu Harrison, NJ 05/03/11Zoe Marcia Benditt 06/01/11

*Approximately 787 additional individuals chose to sign the petition without providing personal information.