To enhance transparency in Plan governance, the SIP Operating Committee unanimously approved the disclosure of the following policy, as well as information related to the ownership and operations of Participants, Advisors, Administrators and Processors.

POLICIES
Advisory Committee Policy
CTA and CQ Plans Administrator and Processor Confidential Information Policy
CTA, CQ & UTP Confidentiality Policy

Disclosures Date

Participant Disclosures

Disclosure form - Participant - Cboe September 28, 2020
Disclosure form - Participant - Cboe BYX September 28, 2020
Disclosure form - Participant - Cboe BZX September 28, 2020
Disclosure form - Participant - Cboe EDGA September 28, 2020
Disclosure form - Participant - Cboe EDGX September 28, 2020
Disclosure form - Participant - Nasdaq September 28, 2020
Disclosure form - Participant - Nasdaq BX September 28, 2020
Disclosure form - Participant - Nasdaq ISE September 28, 2020
Disclosure form - Participant - Nasdaq PHLX September 28, 2020
Disclosure form - Participant - NYSE November 16, 2020
Disclosure form - Participant - NYSE Chicago November 16, 2020
Disclosure form - Participant - NYSE National November 16, 2020
Disclosure form - Participant - NYSE American November 16, 2020
Disclosure form - Participant - NYSE Arca November 16, 2020
Disclosure form - Participant - FINRA September 28, 2020
Disclosure form - Participant - IEX September 28, 2020
Disclosure form - Participant - LTSE September 28, 2020
Disclosure form - Participant - MEMX September 28, 2020
Disclosure form - Participant - MIAX September 28, 2020

Administrators Disclosures

Disclosure form - Administrator - CTA September 28, 2020
Disclosure form - Administrator - UTP September 28, 2020

Processors Disclosures

Disclosure Form - Processor - SIAC September 28, 2020
Disclosure Form - Processor - UTP September 28, 2020

Advisors Disclosures

Disclosure form - Advisor - Kerry Baker Relf September 28, 2020
Disclosure form - Advisor - Bill Conti September 28, 2020
Disclosure form - Advisor - Chris Nielsen September 28, 2020
Disclosure form - Advisor - Hubert De Jesus September 28, 2020
Disclosure form - Advisor - Melissa Hinmon September 28, 2020
Disclosure form - Advisor - Patti Sachs September 28, 2020
Disclosure form - Advisor - Paul O'Donnell September 28, 2020
Disclosure form - Advisor - Tom Jordan September 28, 2020
Disclosure form - Advisor - Todd Watkins September 28, 2020
Disclosure Form - Advisor - Edmund Flynn September 28, 2020

Service Provider-Subcontractor Disclosures

Disclosure Form - Service Provider-Subcontractor - Murphy and McGonigle September 28, 2020
Disclosure Form - Service Provider-Subcontractor - Forefront Communications Group, Inc. September 28, 2020