Thank You To Our 2019-2020 Partners

The SIFMA Foundation for Investor Education, Inc is an independently funded charitable organization. State Farm VP Management Corp. Susan Gordona We acknowledge the following generous industry firms, foundations and institutions: Financial Chris & Tom Guba* Sullivan & Cromwell LLP Virginia Guillian Angel Supporters [$100,000 and up] Covington & Burling LLP SumRidge Partners, LLC Keagan Healey Cowen & Company, LLC Ameriprise , Inc. SWIFT Danelle Heathman Cutter and Company Brokerage, Inc. of America Swiss Re Capital Markets Corporation Chris Hofmann Dan Klores Communications Broadridge Foundation TD Securities (USA) LLC David Hopkins Dash Financial Technologies LLC Broadridge Securities Processing Solutions, LLC Teigland-Hunt LLP Lisa Hunt* Davenport & Company LLC Charles Schwab & Co. The Huntington Investment Company Samantha Hutchinson Dentons US LLP Charles Schwab Foundation Theta Lake, Inc. Guy Iaccarino DNB Markets, Inc. Depository Trust & Clearing Corporation (DTCC) Thurston, Springer, Miller, Herd & Titak, Inc. Jim Iannone Dodge & Cox Edward D. Jones & Co., L.P. Total Bank Solutions, LLC Betty Infantes DoubleLine Capital LP Fidelity Brokerage Services LLC TP ICAP Thomas A & Mary S James Foundation Dougherty & Company LLC Trade-PMR Inc. William Jannace Droit Financial Technologies LLC UBS Financial Services TradeStation Securities, Inc. Scott Johnson DST Market Services, LLC Bank, N.A. Tradeweb LLC Nancy Kahn Electronic Transaction Clearing, Inc. Tradition Securities and Derivatives Inc. Jeff Kalinowski EquiLend LLC Transcend Street Solutions Jennifer Deluao Kehler Premium Supporters [$99,999 to $25,000] Estrada Hinojosa & Company, Inc. Trumid Financial, LLC James Kelligrew Euroclear Bank SA/NV Advisor Group Two Sigma Securities, LLC Christine Kieffer Fieldpoint Private Securities, LLC BNY Mellon Corporation UMB Financial Services, Inc. Nancy Kim Fifth Third Securities, Inc. Cboe US Bank Kristen Kimmell* Advancing First Kentucky Securities Corporation Citadel Securities VALIC Financial Advisors, Inc. Dan and Mimi Kingsley Fund First Republic Securities Company, LLC E*Trade Vanguard Brokerage Services Michael Kisber* Fiserv Inc FINRA Vision Financial Markets LLC James Kostulias Folio Investments, Inc. Jefferies, LLC Viventium Debbie Kretchmar Franklin Templeton Distributors, Inc. Lynch, A Company Wachtell, Lipton, Rosen & Katz Harry Kris Great American Advisors, Inc. Financial Capability & PNC Financial Services WarnerMedia Evan LaHuta* Guggenheim Partners Investment Management, LLC , Inc. Wiley Bros.-Aintree Capital, LLC Nanette Lee Hartfield, Titus & Donnelly, LLC RBC Capital Markets, LLC Willis Securities, Inc. Susan Locke Haywood Securities (USA) Inc. SIFMA Wilson Sonsini Goodrich & Rosati Jo-Ann Loo Hefren-Tillotson, Inc. Société Générale Corporate & Zanbato Securities LLC Sean Lynch Hennion & Walsh, Inc. Capital Markets Literacy Peter Malafronte Herndon Plant Oakley, Ltd. Preferred Supporters [$24,999 to $10,000] We are grateful for the support from the Kevin Maloney HighTower Securities, LLC Stephen Manning Foundation Hornor, Townsend & Kent, Inc. following Individual donors: Anton Marchuk BlackRock Hunter Associates LLC Kevin Alexander Chase Martell BMO Capital Markets GKST Inc. IEX Services LLC Bella Allaire Frank Mattalliano Cowen and Company, LLC Incapital LLC James Lamont Anderson* Joseph Matthews Credit Agricole Securities (USA) Inc. Independent Investment Bankers, Corp. Deb Baker Meredith McDowell D.A. Davidson & Co. International Assets Advisory, LLC Matt Ball Graeme McEvoy Davis Polk & Wardwell J.W. Korth & Company Vincent Bartolomeo Gerry McGraw FHN Financial Securities Corp. John Hancock Funds, LLC Dina Basaca Julia Moran Hartford Funds Distributors, LLC Jones Day Michael Battiato Morgan Stanley Employees KPMG LLP Keane Financial, LLC Eddy Bayardelle M. Mortimer* Fund at Fidelity Charitable Northern Trust Asset Management KeyBanc Peter Benzie Gleenia Napper Northwestern Mutual Investment Services, LLC Kinetix Trading Solutions I. Scott Bieler Kayo Naruse Options Clearing Corporation Kirkland & Ellis LLP Bonnie Bowes National Foundation for Affordable Housing Pershing, A BNY Mellon Company Latham & Watkins LLP Joseph Brach Solutions – Bernard Beal Putnam Investment Management Latour Trading LLC Natalie Brathwaite Mike Natoli State Street Global Markets, LLC LCH Jim Breitman Erin Nold Stifel Foundation Inc Legal & General Investment Management America Inc. Stacey Brewer Spencer O’Brien T. Rowe Price Associates, Inc Liquidnet, Inc. Jeannine Bruin Steve Odierna TD Ameritrade Loffa Interactive Group Kimberly Bryant Laura Palko TIAA-CREF Individual & Institutional Services, LLC Lowenstein Sandler LLP Joe Burgoyne Aimee Downes Papierniak William Blair & Company Luminex Trading & Analytics LLC Michael Butler Charles Patton M&A Securities Group, Inc. Patrick Butman Chris Perry Blue Chip Supporters [$10,000 and Below] Macquarie Capital (USA) Inc. Ricardo Calderon Alex Phillips Matrix Applications, LLC ABN AMRO Clearing LLC Tom Carey George Phipps Mayer Brown LLP ABN AMRO Securities (USA) LLC Kristopher Carney Daren Pippio McGuireWoods LLP ACA Compliance Group Sean Carroll Rich Policastro Mediant Academy Securities, Inc. Claire Carter Judson Potter Millennium Management LLC Accenture LLP Robert Casey Pressman Family Foundation MMC Securities LLC Acorns Securities, LLC Sriram Chandrasekaran Erica Price Moloney Securities Co., Inc. Advisors Asset Management, Inc. Ibrahim Chaudry Tom Price- Moore & Van Allen, PLLC Allen & Overy LLP Sal Chiarelli Marty Rogan Morrison & Foerster LLP AmazonSmile Bryan Christian* Delores Rubin Murphy & McGonigle, P.C. Ankura Capital Advisors, LLC William Chrusciel Claire Santaniello nabSecurities, LLC Annaly Capital Management, Inc. Deron Cirillo Mary Beth Schroeder National Bank of Canada Financial Inc. Aon Securities LLC Cory Claussen Henry Schwartz NatWest Markets Securities Inc. Apex Clearing Corporation George Close Nancy Scott Helping our children to become financially literate Neuberger Berman Appway Inc. Glenn Coates Sapna Sehgal Northern Trust Securities, Inc. Arbor Research & Trading, LLC David Cohen Mark Shannon will ensure that they are well prepared to make Norton Rose Fulbright Vanessa Cooksey* “ Asia Pacific Financial Management Group, Inc. Andy Shapiro n-Tier Financial Services LLC ASL Capital Markets Inc. Bertha Coombs Jason Shirk OpenDoor Securities, LLC smart financial decisions as they come of age. Assured Guaranty Scott Corcorran Al Shraim OTC Link LLC Avantax Investment Services, Inc. David Cottnair Mary Smith Paul Hastings LLP BBVA Securities Inc. John Crish Susan Starr Programs like the Stock Market Game™ provide a Performance Trust Capital Partners, LLC Beech Hill Securities, Inc. Victoria Cumings Brian Steele PIMCO Betterment Securities Roger Cuylo Joan Steinberg* Prime Clerk LLC foundation for the youth of today to be the vital BIDS Trading L.P. Richard Daly* Sam Stovall Primerica Bloomberg L.P. Karrie Damm Sundberg Family Fund Promontory Interfinancial Network, LLC Bloomberg Tradebook LLC Chris Daur John Templeton contributors to society of tomorrow. ProShare Advisors LLC BNY Mellon Investment Management Christie Davenport Thanh Thai Puma Capital, LLC Boenning & Scattergood, Inc. Philip Davies Lawrence Thomas* The SIFMA Foundation is dedicated to fostering knowledge ” Purrington Moody Weil LLP Brean Capital, LLC Catherine de Lima Lizzie & Jonathan M. Tisch - Jewish Communal Quovo Broadridge Business Process Outsourcing, LLC Peter Delahunt Fund and understanding of the financial markets for individuals R.W. Smith & Associates, LLC BrokerTec Americas LLC Chris Denci Randy Tripp Rafferty Asset Management of all backgrounds with a focus on youth. Drawing on the Brownstone Investment Group, LLC Todd Diganci* Tony Tusi Regional , Inc. Build America Mutual Assurance Company Meaghan Dugan Chris Vaccaro Regions Securities LLC support and expertise of the financial industry, the SIFMA Burch & Company, Inc. John Durando Andrew Van Degna RIMES Technologies Corporation Cadwalader, Wickersham & Taft LLP Mary Ellen Tesla Matthew Van Valkenberg Financial, LLC Foundation provides financial education programs and tools CAIS Capital LLC Dana Elwell Gerri Walsh Robinson & Robinson, Inc. LLC Kirk Evangeliou Jeff Weiss that strengthen economic opportunity across communities and Roosevelt & Cross, Incorporated Capital Forensics, Inc. Robert Fay Gail Wichler S&P Dow Jones Indices Capital One Financial Corporation Febeo Charitable Fund Williams* Charitable Fund increase individuals’ awareness of and access to the benefits of Saphyre Carty & Company, Inc. Toya Fick Valerie Wilson Schulte Roth & Zabel LLP Centennial Securities Company, Inc. Lorayne Fiorillo Bob Wood the global marketplace. SEBA International China Renaissance Securities (US) Inc. Michael Fiscella Yvette-Michelle Wynn SEI Investments Distribution Co. CIBC World Markets Corp. Thomas Franko Mindy Zamparelli Sionic Citizens Capital Markets, Inc. Brian and Lisa Fredline Tony Zang www.sifma.org/foundation SIX Financial Information USA Inc. Clear Street Markets LLC Garani Family Fund SmartStream Technologies, Inc. Clearpool Execution Services, LLC Nav Garodia Smith Moore Cleary Gottlieb Steen & Hamilton LLP Cara Gentile Snowden Account Services LLC Clifford Chance US LLP Michael Goering SpiderRock EXS, LLC Cognizant Tim Gokey Securities North America LLC Columbia Threadneedle This list includes gifts made during our 2019 Fiscal Year that ran from November 1, 2018 to October 31, 2019. Please StarCompliance Commonwealth Australia Securities LLC contact Jennifer Moore, VP of Development at [email protected] with any questions. Stash Capital LLC Cormark Securities (USA) Limited *Denotes SIFMA Foundation Board Director 0818 About Us Our Impact Volunteer & Firm Activities Join Us

The SIFMA Foundation is dedicated to fostering knowledge Recent history has taught us just how important it is to have Are you a financial industry professional or a financial Through the generous support of SIFMA member firms, and understanding of the financial markets for individuals a fundamental understanding of saving and investing. The services firm wanting to volunteer? SIFMA Foundation offers corporate partners, private foundations, and individuals, of all backgrounds with a focus on youth. Drawing on the Stock Market Game has a significant and measurable impact simple ways to invest your talent and skills-based expertise the SIFMA Foundation has provided students in grades support and expertise of the financial industry, the SIFMA on student financial capability and academic achievement to make a difference in your community. 4–12, their teachers, and their families with a deeper Foundation provides financial education programs and tools across all grades. understanding of the essential role that financial markets In Person: that strengthen economic opportunity across communities play in the global economy, while also reinforcing their Guest Speaker Make a personal finance related presentation and increase individuals’ awareness of and access to the An independent study by Learning Point Associates found to a classroom or afterschool program (in person, with knowledge of personal finance. benefits of the global marketplace. students who participated in the SMG program scored significantly higher on mathematics tests than their peers a buddy or as a team). Average duration 2-4 hours. We Grants and financial contributions support the The Stock Market Game™ program is an online simulation of who did not participate. They also found that teachers provide the material! development of new educational programs or the the global capital markets that engages students grades 4-12 expansion of existing programs. who taught SMG reported the program influenced them to Invite our schools and classrooms to your in the world of economics, investing and personal finance, Field Trip Host engage in financial planning, research, and use of investment When you and your company contribute to the SIFMA and prepares them for financially independent futures. More office and introduce them to the inside world of a financial products and services. Foundation, you: than 600,000 students take part every school year across firm. Average duration 1.5 – 4 hours. A perfect fit for all 50 states. The Stock Market Game has reached almost 20 community days or team building. „ Provide first-hand access to the fundamentals of million students since its inception in 1977. MATH COMPETENCY Recruiter Encourage a school to register for The Stock bond, mutual fund, and stock investing to audiences The Capitol Hill ChallengeTM is the nation’s only financial Market Game™ program or invite a colleague to join you in who might otherwise never have this exposure education program supported by 100% of Congress. This volunteering. Anytime, anywhere. „ Educate young people about the role that the special edition of The Stock Market Game™ presented by Virtual: securities industry and financial markets play in the Charles Schwab Foundation and offered each spring EMentor Answer students’ questions on portfolios, the strengthening the nation. matches Members of Congress with middle and high schools market or the broader economy directly online in our portal. nationwide. Since its inception in 2004, Capitol Hill Challenge „ Protect and grow the economy through the creation Average duration one hour. has engaged over 133,000 students. The top 10 teams win a of an informed investor public and a new generation trip to Washington, DC for a ceremony on Capitol Hill, to learn InvestWrite Judge Judge essays in our national essay of financially literate youth. about fiscal policymaking, and to tour financial landmarks. competition, occurring twice per year. Average duration 1-3 hours depending on the grade level of essays assigned. Join us in our mission to provide individuals access InvestWrite® national essay competition is a culminating to the tools and skills they need to lead financially activity for Stock Market Game students, extending what Remote Guest Speaker Same great experience and material independent lives and to help our communities and they have learned in SMG by challenging them to analyze, as in-person speaking, but via skype, google chat or a firm our nation grow and prosper. think critically and problem solve. Students address real world hosted webinar. Average duration 1 hour. financial issues and situations by answering a question about Video Volunteer Record a quick clip video (2 min) on long-term saving and investing. Thousands of industry experts your phone or device, answering students’ most frequently volunteer as essay judges each year. asked investing questions, exposing students to a financial Invest It Forward™ is an industry-wide financial education professional regardless of location or technology. and capital markets literacy campaign convening hundreds of financial firms that are committed to giving young Americans a solid understanding of the capital markets system and the invaluable tools to achieve their dreams. Invest It Forward is designed to connect teachers and classrooms with financial industry professionals and firms through a variety of volunteer Teachers: opportunities across the country and throughout the year. Register your students for The Stock Market Game™ program today so they have the life skills to succeed tomorrow. Visit www.stockmarketgame.org

Parents: Encourage your child’s teacher to review The Stock Market Game™ website at www.stockmarketgame.org and register their class to participate.

For more information visit www.sifma.org/foundation To register for The Stock Market Game program visit: www.stockmarketgame.org