Compensation Agreements in the Capital Markets Industry

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Amended and Restated TD Ameritrade Holding Corporation Executive Deferred Compensation Program effective November 13, 2008
Compensation Agreements
TD AMERITRADE HOLDING CORP
Capital Markets
NE
2019
Cboe Global Markets Deferred Compensation Plan
Compensation Agreements
Cboe Global Markets
Capital Markets
2024
LPL Financial Holdings Inc. Non-Employee Director Deferred Compensation Plan, as amended May 9, 2024
Compensation Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
2024
LPL Financial Holdings Inc. Non-Employee Director Compensation Policy, as amended May 9, 2024
Compensation Agreements
LPL Financial Holdings Inc.
Capital Markets
2024
Morningstar, Inc. ELT Policy on Recoupment of Compensation
Compensation Agreements
Morningstar, Inc.
Capital Markets
2024
HERITAGE GLOBAL INC. Compensation Recoupment Policy
Compensation Agreements
Heritage Global Inc.
Capital Markets
2024
Third Amendment to the Diamond Hill Variable Term Deferred Compensation Plan
Compensation Agreements
DIAMOND HILL INVESTMENT GROUP INC
Capital Markets
2024
Second Amendment to the Diamond Hill Variable Term Deferred Compensation Plan
Compensation Agreements
DIAMOND HILL INVESTMENT GROUP INC
Capital Markets
2024
Independent Director Compensation Program
Compensation Agreements
KKR & Co. Inc.
Capital Markets
2024
Second Amended and Restated Non-Employee Director Compensation Policy
Compensation Agreements
Nebula Parent Corp.
Capital Markets
2024
Deferred Compensation Plan for Non-Employee Directors of The Bank of New York Company, Inc
Compensation Agreements
The Bank of New York Mellon Corp.
Capital Markets
NY
2024
Northern Trust Corporation Deferred Compensation Plan, as amended and restated effective as of January 1, 2024
Compensation Agreements
Northern Trust Corp.
Capital Markets
IL
2024
Summary of Non-Employee Director Compensation Program
Compensation Agreements
Piper Jaffray Companies
Capital Markets
2024
AllianceBernstein 2023 Deferred Cash Compensation Program
Compensation Agreements
ALLIANCEBERNSTEIN HOLDING L.P.
Capital Markets
NY
2024
MarketWise, Inc. Non-Employee Director Compensation Policy (Effective August 2, 2023)
Compensation Agreements
Ascendant Digital Acquisition Corp.
Capital Markets
2023
Avantax, Inc. (f/k/a Blucora, Inc.) Non-Employee Director Compensation Policy
Compensation Agreements
Blucora, Inc.
Capital Markets
2023
Amended and Restated Board Compensation Policy, effective on June 21, 2023
Compensation Agreements
Nasdaq, Inc.
Capital Markets
2023
Houlihan Lokey, Inc. Director Compensation Program
Compensation Agreements
HOULIHAN LOKEY, INC.
Capital Markets
2023
MarketWise, Inc. Non-Employee Director Compensation Policy (Effective July 28, 2022)
Compensation Agreements
Ascendant Digital Acquisition Corp.
Capital Markets
2023
Non-Employee Director Deferred Compensation Program
Compensation Agreements
WisdomTree Investments, Inc.
Capital Markets
NY
2023
Morgan Stanley Schedule of Non-Employee Directors Annual Compensation, effective as of November 1
Compensation Agreements
Morgan Stanley
Capital Markets
2023
Independent Director Compensation Policy
Compensation Agreements
TPG Partners, LLC
Capital Markets
DE
2023
Summary of Non-Employee Director Compensation Program
Compensation Agreements
Piper Jaffray Companies
Capital Markets
2023
GCM Grosvenor Inc. Non-Employee Director Compensation Policy (effective as of January 1, 2023)
Compensation Agreements
GCM Grosvenor Inc.
Capital Markets
DE
2023
Amendments to the Cboe Exchange, Inc. (f/k/a Chicago Board Options Exchange, Incorporated) Deferred Compensation Plan for Officers
Compensation Agreements
Cboe Global Markets
Capital Markets
2023
AllianceBernstein 2022 Deferred Cash Compensation Program
Compensation Agreements
ALLIANCEBERNSTEIN HOLDING L.P.
Capital Markets
NY
2023
Summary of Non-Employee Director Compensation
Compensation Agreements
MSCI Inc
Capital Markets
2023
Bakkt Holdings, Inc. Outside Director Compensation Program
Compensation Agreements
VPC Impact Acquisition Holdings
Capital Markets
2022
LPL Financial Holdings Inc. Non-Employee Director Compensation Policy
Compensation Agreements
LPL Financial Holdings Inc.
Capital Markets
2022
Description of Compensation Arrangements for Non-Employee Directors
Compensation Agreements
State Street Corp.
Capital Markets
2022
Nasdaq, Inc. Deferred Compensation Plan
Compensation Agreements
Nasdaq, Inc.
Capital Markets
NY
2022
Houlihan Lokey, Inc. Director Compensation Program
Compensation Agreements
HOULIHAN LOKEY, INC.
Capital Markets
2022
Independent Director Compensation Policy
Compensation Agreements
TPG Partners, LLC
Capital Markets
DE
2022
Compensation Summary Non-employee Directors
Compensation Agreements
SAFEGUARD SCIENTIFICS INC
Capital Markets
2022
Northern Trust Corporation Non-Employee Director Compensation Plan, as amended
Compensation Agreements
Northern Trust Corp.
Capital Markets
DE
2022
Independent Director Compensation Program
Compensation Agreements
KKR & Co. Inc.
Capital Markets
2022
Diamond Hill Investment Group, Inc. Compensation Recoupment and Restitution Policy Acknowledgment
Compensation Agreements
DIAMOND HILL INVESTMENT GROUP INC
Capital Markets
2022
Summary of Non-Employee Director Compensation Program
Compensation Agreements
Piper Jaffray Companies
Capital Markets
2022
Summary of Non-Employee Director Compensation (supersedes Exhibit 10.409)
Compensation Agreements
Charles Schwab Corporation
Capital Markets
2022
MarketAxess Holdings Inc. Nonqualified Deferred Compensation Plan
Compensation Agreements
MarketAxess Holdings Inc
Capital Markets
2022
Donnelley Financial Solutions, Inc. Non-Employee Director Compensation Plan
Compensation Agreements
Donnelley Financial Solutions, Inc.
Capital Markets
2022