To enhance transparency in Plan governance, the SIP Operating Committee unanimously approved the disclosure of the following policies, as well as information related to the ownership and operations of Participants, Administrators, Processors, Advisors, and Service Provider/Subcontractors.
| POLICIES |
Advisory Committee Policy UTP Confidential Information Policy UTP Confidentiality Policy |
| PARTICIPANT DISCLOSURES |
CBOE CBOE BYX CBOE BZX CBOE EDGA CBOE EDGX Nasdaq Nasdaq BX Nasdaq ISE Nasdaq PHLX NYSE NYSE American NYSE Arca NYSE Chicago NYSE National FINRA IEX LTSE MEMX MIAX |
| ADMINISTRATOR DISCLOSURES |
CTA Administrator UTP Administrator |
| PROCESSOR DISCLOSURES |
Nasdaq SIAC |
| ADVISOR DISCLOSURES |
Kerry Baker Relf Bill Conti Chris Nielsen Ed Flynn Tom Jordan Hubert De Jesus Melissa Hinmon Patti Sachs Kelly Littlepage Ray Poloncic Thomas Merritt |
| SERVICE PROVIDER/SUBCONTRACTOR DISCLOSURES |
Digital Workforce Services Inc. Ernst & Young LLP Forefront Grant Thornton LLP Davis Wright Tremaine LLP |