se2 TA-1/A Registration as a transfer agent (amended)

Form TA-1 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM TA-1/A	OMB APPROVAL
FORM TA-1/A		OMB Number: 3235-0084 Estimated average burden hours per response: 1.5

TA-1/A : Filer Information

Form Version X0405

1(a). Filer CIK:	0001424912
1(b). Filer CCC:	********
1(c). Is this a LIVE or TEST submission?	Live Test
1(d). Would you like a Return Copy?	Yes

Submission Contact Information

The registrant may provide a single e-mail address for contact purposes.

1(f)(i). Contact Name:

1(f)(ii). Contact Phone Number:

1(f)(iii). Contact E-Mail Address:

Notification Information

The registrant may provide additional e-mail addresses for those persons the filer would like to receive notification e-mails regarding the filing.

1(g). Notification E-mail Address:

TA-1/A : Registrant Information

2. Appropriate regulatory agency (check one): Securities and Exchange Commission Federal Deposit Insurance Corporation Comptroller of the Currency

3(a). Full Name of Registrant:	se2, LLC/TA
3(a)(i). Previous name, if being amended:	se2, inc./TA
3(b). Financial Industry Number (FINS) number:	336479

3(c). Address of principal office where transfer agent activities are, or will be, performed:

3(c)(i). Address 1	One Security Benefit Place
3(c)(ii). Address 2
3(c)(iii). City	Topeka
3(c)(iv). State or Country	KANSAS
3(c)(v). Postal Code	66636
3(d). Is Mailing address different from response to Question 3c? If "yes" provide address(es):	Yes No
3(e). Telephone Number (Include Area Code)	785-438-3000
4. Does Registrant conduct, or will it conduct, transfer agent activities at any location other than that given in Questions 3(c) above? If "Yes" provide address (es):	Yes No
5. Does registrant act, or will it act, as a transfer agent solely for its own securities, and/or securities of an affiliate(s)?	Yes No
6. Has registrant, as a named transfer agent, engaged, or will it engage, a service company to perform any transfer agent functions?	Yes No

7. Has registrant been engaged, or will it be engaged as a service company by a named transfer agent to perform transfer agent functions? Yes No

If "Yes" provide the name(s) and File Number(s) of the named transfer agent(s) for which the registrant has been engaged, or will be engaged, as a service company to perform transfer agent functions: Engaged transfer agent company information Related to item 7 Record: 1

7(a). Name	MUFG INVESTOR SERVICES (US), LLS
7(b). File Number	084-05475
7(c)(i). Address 1	805 KING FARM BLVD
7(c)(ii). Address 2	SUITE 600
7(c)(iii). City	ROCKVILLE
7(c)(iv). State or Country	MARYLAND
7(c)(v). Postal Code	20850

TA-1/A : Independent, Non-Issuer Registrant Information

Completion of Question 8 on this form is required by all independent, non-issuer registrants whose appropriate regulatory authority is the Securities and Exchange Commission. Those registrants who are not required to complete Question 8 should select "Not Applicable".

8. Is registrant a: Other Limited Liability Company

Section for Initial Registration and for Amendments Reporting Additional Persons.

Proprietor or other entity information Related to item 8 Record: 1

8(a)(i). Full Name	Mark Schultis
8(a)(ii). Relationship Start Date	05/05/2020
8(a)(iii). Title or Status	CEO
8(a)(iv). Description of Authority	OFFICER
8(a)(v). Relationship End Date	05/01/2022

Proprietor or other entity information Related to item 8 Record: 2

8(a)(i). Full Name	MARY ANNE DURALL
8(a)(ii). Relationship Start Date	06/05/2012
8(a)(iii). Title or Status	SR. VICE PRESIDENT
8(a)(iv). Description of Authority	OFFICER
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 3

8(a)(i). Full Name	THOMAS M. SPENCER
8(a)(ii). Relationship Start Date	09/30/2010
8(a)(iii). Title or Status	SR. VICE PRESIDENT, BUSINESS DEVELOPMENT
8(a)(iv). Description of Authority	OFFICER
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 4

8(a)(i). Full Name	LISA M. YOUNG
8(a)(ii). Relationship Start Date	09/30/2010
8(a)(iii). Title or Status	ASSISTANT TREASURER
8(a)(iv). Description of Authority	OFFICER
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 5

8(a)(i). Full Name	BARRY G. WARD
8(a)(ii). Relationship Start Date	11/22/2013
8(a)(iii). Title or Status	SR. VICE PRESIDENT & TREASURER
8(a)(iv). Description of Authority	OFFICER
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 6

8(a)(i). Full Name	GREG L. HERRS
8(a)(ii). Relationship Start Date	11/22/2016
8(a)(iii). Title or Status	SR. VICE PRESIDENT
8(a)(iv). Description of Authority	OFFICER
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 7

8(a)(i). Full Name	Deepa Nayini
8(a)(ii). Relationship Start Date	06/01/2021
8(a)(iii). Title or Status	VP, General Counsel & Secretary
8(a)(iv). Description of Authority	Officer
8(a)(v). Relationship End Date	01/26/2022

Proprietor or other entity information Related to item 8 Record: 8

8(a)(i). Full Name	Janet Dulohery
8(a)(ii). Relationship Start Date	05/02/2016
8(a)(iii). Title or Status	VP, Head of Human Resources
8(a)(iv). Description of Authority	Officer
8(a)(v). Relationship End Date	06/17/2022

Proprietor or other entity information Related to item 8 Record: 9

8(a)(i). Full Name	Security Benefit Corporation
8(a)(ii). Relationship Start Date	02/14/2005
8(a)(iii). Title or Status	Sole Member se2 HoldCo, LLC
8(a)(iv). Description of Authority	Sole Member
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 10

8(a)(i). Full Name	ZINNIA CORPORATE HOLDINGS, LLC
8(a)(ii). Relationship Start Date	10/21/2013
8(a)(iii). Title or Status	SOLE MEMBER IN SE2, LLC
8(a)(iv). Description of Authority	MEMBER
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 11

8(a)(i). Full Name	SE2 HOLDCO, LLC
8(a)(ii). Relationship Start Date	10/21/2013
8(a)(iii). Title or Status	Member SE2 ASSET HOLDINGS, LLC
8(a)(iv). Description of Authority	INDIRECT INTEREST
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 12

8(a)(i). Full Name	ELDRIDGE SBC HOLDINGS, LLC
8(a)(ii). Relationship Start Date	07/01/2010
8(a)(iii). Title or Status	SHAREHOLDER - SECURITY BENEFIT CORP
8(a)(iv). Description of Authority	INDIRECT INTEREST
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 13

8(a)(i). Full Name	ELDRIDGE INDUSTRIES, LLC
8(a)(ii). Relationship Start Date	02/01/2017
8(a)(iii). Title or Status	MEMBER - ELDRIDGE SBC HOLDINGS, LLC
8(a)(iv). Description of Authority	INDIRECT INTEREST
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 14

8(a)(i). Full Name	SBT INVESTORS, LLC
8(a)(ii). Relationship Start Date	02/01/2017
8(a)(iii). Title or Status	MEMBER - ELDRIDGE INDUSTRIES, LLC
8(a)(iv). Description of Authority	INDIRECT INTEREST
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 15

8(a)(i). Full Name	NZC CAPITAL, LLC
8(a)(ii). Relationship Start Date	02/01/2017
8(a)(iii). Title or Status	MEMBER - SBT INVESTORS, LLC
8(a)(iv). Description of Authority	INDIRECT INTEREST
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 16

8(a)(i). Full Name	TODD L. BOEHLY
8(a)(ii). Relationship Start Date	02/01/2017
8(a)(iii). Title or Status	MEMBER - NZC CAPITAL, LLC
8(a)(iv). Description of Authority	INDIRECT INTEREST
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 17

8(a)(i). Full Name	NANCY J. ROHN
8(a)(ii). Relationship Start Date	08/25/2017
8(a)(iii). Title or Status	ASSISTANT SECRETARY
8(a)(iv). Description of Authority	OFFICER
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 18

8(a)(i). Full Name	John McConnell
8(a)(ii). Relationship Start Date	07/28/2020
8(a)(iii). Title or Status	CFO
8(a)(iv). Description of Authority	Officer
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 19

8(a)(i). Full Name	Brad Medd
8(a)(ii). Relationship Start Date	11/13/2020
8(a)(iii). Title or Status	CTO
8(a)(iv). Description of Authority	Officer
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 20

8(a)(i). Full Name	Michael Celi
8(a)(ii). Relationship Start Date	03/15/2021
8(a)(iii). Title or Status	Vice President
8(a)(iv). Description of Authority	Officer
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 21

8(a)(i). Full Name	Milner Fenandoe
8(a)(ii). Relationship Start Date	06/30/2021
8(a)(iii). Title or Status	Vice President
8(a)(iv). Description of Authority	Officer
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 22

8(a)(i). Full Name	Carmen Hill
8(a)(ii). Relationship Start Date	05/04/2018
8(a)(iii). Title or Status	Chief Privacy Officer
8(a)(iv). Description of Authority	Officer
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 23

8(a)(i). Full Name	George Esposito
8(a)(ii). Relationship Start Date	03/24/2022
8(a)(iii). Title or Status	VP, General Counsel and Secretary
8(a)(iv). Description of Authority	Officer
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 24

8(a)(i). Full Name	John Zucco
8(a)(ii). Relationship Start Date	03/07/2022
8(a)(iii). Title or Status	Vice President
8(a)(iv). Description of Authority	Officer
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 25

8(a)(i). Full Name	Christopher Luisa
8(a)(ii). Relationship Start Date	03/07/2022
8(a)(iii). Title or Status	Vice President
8(a)(iv). Description of Authority	Officer
8(a)(v). Relationship End Date	08/03/2022

Proprietor or other entity information Related to item 8 Record: 26

8(a)(i). Full Name	SE2 Asset Holdings, LLC
8(a)(ii). Relationship Start Date	06/11/2021
8(a)(iii). Title or Status	Shareholder -- SE2 Holdings, LLC
8(a)(iv). Description of Authority	Indirect Interest
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 27

8(a)(i). Full Name	Rob Frederick
8(a)(ii). Relationship Start Date	05/16/2022
8(a)(iii). Title or Status	President and Chief Operating Officer
8(a)(iv). Description of Authority	Officer
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 28

8(a)(i). Full Name	Ian Jeffrey
8(a)(ii). Relationship Start Date	06/15/2022
8(a)(iii). Title or Status	Head of People and Culture
8(a)(iv). Description of Authority	Officer
8(a)(v). Relationship End Date

9. Does any person or entity not named in the answer to Question 8:

9(a). directly or indirectly, through agreement or otherwise exercise or have the power to exercise control over the management or policies of applicant, or;…. Yes No

9(b). wholly or partially finance the business of the applicant, directly or indirectly, in any manner other than by a public offering of securities made pursuant to the Securities Act of 1933 or by credit extended in the ordinary course of business by suppliers, banks and others?….. Yes No

TA-1/A : 10. Applicant and Control Affiliate Disciplinary History

The following definitions apply for purposes of answering this Question 10

Control Affiliate	- An individual or firm that directly or indirectly controls, is under common control with, or is controlled by applicant. Included are any employees identified in 8(a), 8(b), 8(c) of this form as exercising control. Excluded are any employees who perform solely clerical, administrative support of similar functions, or who, regardless of title, perform no executive duties or have no senior policy making authority.
Investment or investment related	- Pertaining to securities, commodities, banking, insurance, or real estate (including, but not limited to, acting as or being associated with a broker dealer, investment company, investment adviser, futures sponsor, bank, or savings and loan association).
Involved	- Doing an act of aiding, abetting, counseling, commanding, inducing, conspiring with or failing reasonably to supervise another in doing an act.

10(a). In the past ten years has the applicant or a control affiliate been convicted of or plead guilty or nolo contendere ("no contest") to:

10(a)(1). a felony or misdemeanor involving: investments or an investment-related business, fraud, false statements or omissions, wrongful taking of property, or bribery, forgery, counterfeiting, or extortion? Yes No

10(a)(2). any other felony? Yes No

10(b). Has any court in the past ten years:
10(b)(1). enjoined the applicant or a control affiliate in connection with any investment-related activity?	Yes No

10(b)(2). found that the applicant or control affiliate was involved in a violation of investment-related statutes or regulations? Yes No

10 (c). Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
10(c)(1). found the applicant or control affiliate to have made a false statement or omission?	Yes No

10(c)(2). found the applicant or control affiliate to have been involved in a violation of its regulation or statutes? Yes No

10(c)(3). found the applicant or control affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted? Yes No

10(c)(4). entered an order denying, suspending or revoking the applicant’s or control affiliate’s registration or otherwise disciplined it by restricting its activities? Yes No

10(d). Has any other Federal regulatory agency or any state regulatory agency :
10(d)(1). ever found the applicant or control affiliate to have made a false statement or omission or to have been dishonest, unfair, or unethical?	Yes No

10(d)(2). ever found the applicant or control affiliate to have been involved in a violation of investment-related regulations or statutes? Yes No

Entity information Related to item 10(d)(2) Record: 1

10(d)(2)(i). The individuals named in the Action	Security Distributors, Inc. (SDI)
10(d)(2)(ii). Title of Action	Consent Order
10(d)(2)(iii). Date of Action	04/13/1978
10(d)(2)(iv). The Court or body taking the Action and its location	New York Securities Commission
10(d)(2)(v). Description of the Action	The applicant is under common control with SDI a registered broker/dealer. The NY Securities Commission alleged that SDI failed to file renewals of its broker/dealer.
10(d)(2)(vi). The disposition of the proceeding	SDI consented to a $2,000 monetary fine and was ordered to cease and desist from further violations.

Entity information Related to item 10(d)(2) Record: 2

10(d)(2)(i). The individuals named in the Action	First Security Benefit Life Insurance and Annuity Company of New York (FSBL)
10(d)(2)(ii). Title of Action	Stipulation No. 2010-0095-S
10(d)(2)(iii). Date of Action	02/26/2010
10(d)(2)(iv). The Court or body taking the Action and its location	State of New York Insurance Department (NYID)
10(d)(2)(v). Description of the Action	The NYID conducted a routine triennial market conduct exam for the period of January 1, 2004 through December 31, 2006. During such exam it found that FSBL unintentionally violated various provisions of the New York Insurance Department's replacement regulation ("Regulation 60").
10(d)(2)(vi). The disposition of the proceeding	FSBL entered into a stipulation and consented to a $25,000 fine and further agreed to take all steps necessary to prevent recurrence of similar Regulation 60 violations.

Entity information Related to item 10(d)(2) Record: 3

10(d)(2)(i). The individuals named in the Action	Security Benefit Life Insurance Company (SBL)
10(d)(2)(ii). Title of Action	Stipulation & Consent Order
10(d)(2)(iii). Date of Action	05/29/2007
10(d)(2)(iv). The Court or body taking the Action and its location	Illinois Dept. of Financial & Professional Regulation-Division of Insurance
10(d)(2)(v). Description of the Action	SBL failed to timely file a Policy In Form Mandatory Annual Statement Supplement Data Call as required by IL Div. of Insurance Regulations.
10(d)(2)(vi). The disposition of the proceeding	SBL and the IL Div. of Insurance entered into a Stipulation 7 Consent Order agreeing to a $2,000 fine and SBL agreed to comply with the Regulation in future.

Entity information Related to item 10(d)(2) Record: 4

10(d)(2)(i). The individuals named in the Action	Security Benefit Life Insurance Company (SBL)
10(d)(2)(ii). Title of Action	Consent Order-Report ID #2186
10(d)(2)(iii). Date of Action	03/28/2007
10(d)(2)(iv). The Court or body taking the Action and its location	Minnesota Commissioner of Commerce (MN COC)
10(d)(2)(v). Description of the Action	The Consent Order was the result of a consumer complaint against SBL alleging errors in the administration of an annuity contract resulting in incorrect payments being made to an annuitant, in violation of MN Statutes.
10(d)(2)(vi). The disposition of the proceeding	The MN COC and SBL entered into a Consent Order wherein SBL agreed to an informal disposition of the matter without a hearing and paid a civil penalty of $2,500.

Entity information Related to item 10(d)(2) Record: 5

10(d)(2)(i). The individuals named in the Action	Security Benefit Life Insurance Company (SBL)
10(d)(2)(ii). Title of Action	Consent Order
10(d)(2)(iii). Date of Action	11/30/2005
10(d)(2)(iv). The Court or body taking the Action and its location	State of Nevada Division of Insurance (NDI)
10(d)(2)(v). Description of the Action	SBL failed to timely file an Annual Certification of Advertising as required by NDI Regulations.
10(d)(2)(vi). The disposition of the proceeding	SBL consented to a fine of $500 to settle the cause.

Entity information Related to item 10(d)(2) Record: 6

10(d)(2)(i). The individuals named in the Action	Security Benefit Life Insurance Company (SBL)
10(d)(2)(ii). Title of Action	Statutory Penalty
10(d)(2)(iii). Date of Action	01/31/2007
10(d)(2)(iv). The Court or body taking the Action and its location	Commonwealth of Virginia Commissioner of Insurance (VCI)
10(d)(2)(v). Description of the Action	SBL failed to timely pay agent appointment fees pursuant to VCI Regulations.
10(d)(2)(vi). The disposition of the proceeding	The VCI assessed a statutory penalty in the amount of $3,550 against SBL.

Entity information Related to item 10(d)(2) Record: 7

10(d)(2)(i). The individuals named in the Action	Security Benefit Life Insurance Company (SBL)
10(d)(2)(ii). Title of Action	Case No. C109-2006-68675
10(d)(2)(iii). Date of Action	04/04/2006
10(d)(2)(iv). The Court or body taking the Action and its location	Alabama Department of Insurance (ADI)
10(d)(2)(v). Description of the Action	On 4/4/2006, the ADI entered an Order to Show Cause against SBL regarding its failure to pay an invoice for agent appointment fees dated 1/2/2006. SBL paid outstanding invoice on 4/13/2006, and remitted a letter to the ADI explaining its non-payment was not a willful violation of ADI Regulations.
10(d)(2)(vi). The disposition of the proceeding	On 5/17/2006, the ADI entered an Order Lifting Order to Show Cause and Settlement Agreement. SBL consented to a $500 fine and agreed to promptly pay invoices for the continuation of producer appointments in the future.

Entity information Related to item 10(d)(2) Record: 8

10(d)(2)(i). The individuals named in the Action	Security Distributors, LLC
10(d)(2)(ii). Title of Action	In Re: Security Distributors, LLC - 000
10(d)(2)(iii). Date of Action	07/26/2017
10(d)(2)(iv). The Court or body taking the Action and its location	Louisiana Department of Insruance
10(d)(2)(v). Description of the Action	Security Distributors inadvertently answered no to the regulatory action question on the Louisiana agency license application and thus failed to disclose a previously settled FINRA matter.
10(d)(2)(vi). The disposition of the proceeding	Agreement & Consent to $250 Fine.

Entity information Related to item 10(d)(2) Record: 9

10(d)(2)(i). The individuals named in the Action	Security Distributors, LLC
10(d)(2)(ii). Title of Action	State of Oklahoma, ex rel. John D Doak, Insurance Commissioner
10(d)(2)(iii). Date of Action	05/09/2017
10(d)(2)(iv). The Court or body taking the Action and its location	Oklahoma Insurance Department
10(d)(2)(v). Description of the Action	Security Distributors inadvertently answered no to the regulatory action question on the Oklahoma agency license application and thus failed to disclose a previously settled FINRA action.
10(d)(2)(vi). The disposition of the proceeding	Consent to Censure and Fine of $200

Entity information Related to item 10(d)(2) Record: 10

10(d)(2)(i). The individuals named in the Action	SE2, LLC
10(d)(2)(ii). Title of Action	SE2, LLC Administrative Fine & Consent to Fine
10(d)(2)(iii). Date of Action	05/12/2017
10(d)(2)(iv). The Court or body taking the Action and its location	Nevada Division of Insurance
10(d)(2)(v). Description of the Action	It was alleged that SE2, LLC did not file its annual report with the Nevada Division of Insurance within 90 days after the fiscal year end as is required by NV Third Party Administrator statutes.
10(d)(2)(vi). The disposition of the proceeding	SE2, LLC entered into an agreement and consented to a fine in the amount of $500.

Entity information Related to item 10(d)(2) Record: 11

10(d)(2)(i). The individuals named in the Action	SE2, LLC
10(d)(2)(ii). Title of Action	SE2, LLC Administrative Fine
10(d)(2)(iii). Date of Action	12/09/2021
10(d)(2)(iv). The Court or body taking the Action and its location	Kansas Insurance Department
10(d)(2)(v). Description of the Action	It was alleged that SE2, LLC did not file its annual report with the Kansas Insurance Department on its due date as is required by the KS Third Party Administrator statutes.
10(d)(2)(vi). The disposition of the proceeding	SE2, LLC consented to a fine in the amount of $1,000.

Entity information Related to item 10(d)(2) Record: 12

10(d)(2)(i). The individuals named in the Action	Security Distributors, Inc. (SDI)
10(d)(2)(ii). Title of Action	Administrative Fine and Consent to Fine
10(d)(2)(iii). Date of Action	07/02/1974
10(d)(2)(iv). The Court or body taking the Action and its location	AG of State of New York, Bureau of Securities
10(d)(2)(v). Description of the Action	On July 2, 1974, the Attorney General of the State of New York, Bureau of Securities issued a cease and desist/injunction for an alleged failure to file renewal of the broker/dealer statements pursuant to the General Business Laws of the State of New York.
10(d)(2)(vi). The disposition of the proceeding	A fine of $4,000 was levied and paid on April 13, 1978.

Entity information Related to item 10(d)(2) Record: 13

10(d)(2)(i). The individuals named in the Action	Security Benefit Life Insurance Company (SBL)
10(d)(2)(ii). Title of Action	Administrative Fine
10(d)(2)(iii). Date of Action	05/30/2014
10(d)(2)(iv). The Court or body taking the Action and its location	Kansas Insurance Department
10(d)(2)(v). Description of the Action	In May 2014, the Kansas Insurance Department issued a summary order to Security Benefit Life Insurance Company and imposed a fine of $1,000 for three errors for untimely responses under K.A.R. 40-1-34, Section 6(B) to the Kansas Insurance Department during the investigations of complaints.
10(d)(2)(vi). The disposition of the proceeding	In May 2014, the Kansas Insurance Department issued a summary order to Security Benefit Life Insurance Company and imposed a fine of $1,000.

Entity information Related to item 10(d)(2) Record: 14

10(d)(2)(i). The individuals named in the Action	Security Benefit Life Insurance Company (SBL)
10(d)(2)(ii). Title of Action	Administrative Fine
10(d)(2)(iii). Date of Action	09/30/2016
10(d)(2)(iv). The Court or body taking the Action and its location	Connecticut Insurance Department
10(d)(2)(v). Description of the Action	In September 2016, the Connecticut Insurance Department fined Security Benefit Life Insurance Company $10,500 for violations described in the Market Conduct Report and Stipulation and Consent Order.
10(d)(2)(vi). The disposition of the proceeding	Fine was paid and not further action was taken by the Connecticut Insurance Department.

Entity information Related to item 10(d)(2) Record: 15

10(d)(2)(i). The individuals named in the Action	Security Benefit Life Insurance Company (SBL)
10(d)(2)(ii). Title of Action	Administrative Fine
10(d)(2)(iii). Date of Action	06/08/2018
10(d)(2)(iv). The Court or body taking the Action and its location	Michigan Department of Insurance
10(d)(2)(v). Description of the Action	On June 8, 2018, Security Benefit Life Insurance Company was fined $5,000 by the Michigan Department of Insurance and Financial Services for failure to comply with Section 500.4037(b) of the Code.
10(d)(2)(vi). The disposition of the proceeding	The Michigan Order was executed on June 8, 2018, and Michigan acknowledged receipt of the payment of $5,000 on June 15, 2018.

Entity information Related to item 10(d)(2) Record: 16

10(d)(2)(i). The individuals named in the Action	Security Benefit Life Insurance Company (SBL)
10(d)(2)(ii). Title of Action	Administrative Fine
10(d)(2)(iii). Date of Action	10/16/2018
10(d)(2)(iv). The Court or body taking the Action and its location	Delaware Department of Insurance
10(d)(2)(v). Description of the Action	Security Benefit Life Insurance Company was fined $121,500 by the Delaware Department of Insurance for various compliance exceptions noted during their market conduct exam for the period January 1, 2014 through December 31, 2016.
10(d)(2)(vi). The disposition of the proceeding	Fine was paid and no further action was taken by Delaware Department of Insurance.

Entity information Related to item 10(d)(2) Record: 17

10(d)(2)(i). The individuals named in the Action	Security Benefit Life Insurance Company (SBL)
10(d)(2)(ii). Title of Action	Administrative fine
10(d)(2)(iii). Date of Action	10/29/2021
10(d)(2)(iv). The Court or body taking the Action and its location	Delaware Department of Insurance
10(d)(2)(v). Description of the Action	Stipulation and consent order entered with a fine of $55,000 resulting from miscellaneous examination findings in a 2020 market conduct exam conducted by the Delaware Department of Insurance
10(d)(2)(vi). The disposition of the proceeding	Fine was paid and not further action was taken by the Delaware Department of Insurance.

10(d)(3). ever found the applicant or control affiliate to have been a cause of an investment-related business having its authorization to do business Denied, suspended, revoked or restricted? Yes No

10(d)(4). in the past ten years entered an order against the applicant or control affiliate in connection with investment-related activity? Yes No

10(d)(5). ever denied, suspended, or revoked applicant’s or control affiliate’s registration or license, or prevented it from associating with an investment-related business, or otherwise disciplined it by restricting its activities? Yes No

Entity information Related to item 10(d)(5) Record: 1

10(d)(5)(i). The individuals named in the Action	SE2, LLC (formerly known as SE2, Inc.)
10(d)(5)(ii). Title of Action	TPA fees not paid
10(d)(5)(iii). Date of Action	10/05/2015
10(d)(5)(iv). The Court or body taking the Action and its location	Utah Insurance Department
10(d)(5)(v). Description of the Action	SE2, LLC (formerly known as SE2, Inc.) received a notice dated October 5, 2015 from the Utah Insurance Department notifying SE2 that its Third Party Administrator was inactivated on September 30, 2015 for failure to pay the applicable renewal fees.
10(d)(5)(vi). The disposition of the proceeding	The fees were paid and the license was reinstated on October 13, 2015 and is currently Active.

10(d)(6). ever revoked or suspended the applicant’s or a control affiliate’s license as an attorney or accountant? Yes No

10(e). Has any self-regulatory organization or commodities exchange ever:

10(e)(1). found the applicant or a control affiliate to have made a false statement or omission? Yes No

10(e)(2). found the applicant or a control affiliate to have been involved in a violation of its rules? Yes No

Entity information Related to item 10(e)(2) Record: 1

10(e)(2)(i). The individuals named in the Action	Security Distributors, LLC
10(e)(2)(ii). Title of Action	Notice of Acceptance of Letter of Acceptance, Waiver and Consent
10(e)(2)(iii). Date of Action	09/28/2016
10(e)(2)(iv). The Court or body taking the Action and its location	FINRA
10(e)(2)(v). Description of the Action	For approximately 11 months, Security Distributors relied on an exemption to SEC Rule 15c3-3 without satisfying the terms of that exemption, which also constituted a violation of FINRA Rule 2010.
10(e)(2)(vi). The disposition of the proceeding	Acceptance, Waiver & Consent, censure and $20,000 fine.

10(e)(3). found the applicant or a control affiliate to have been the cause of an investment-related business losing its authorization to do business? Yes No

10(e)(4). disciplined the applicant or a control affiliate by expelling or suspending it from membership, by barring or suspending its association with other members, or by otherwise restricting its activities? Yes No

10(f). Has any foreign government, court, regulatory agency or exchange ever entered an order against the applicant or a control affiliate related to investments or fraud? Yes No

10(g). Is the applicant or a control affiliate now the subject of a proceeding that could result in a yes answer for questions 10(a) – 10(f) ? Yes No

10(h). Has a bonding company denied, paid out on, or revoked a bond for the applicant or a control affiliate? Yes No

10(i). Does the applicant or a control affiliate have any unsatisfied judgments or liens against it? Yes No

TA-1/A : Signature

ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a) SIGNATURE: The registrant submitting this form, and as required, the SEC supplement and Schedules A-D, And the executing official hereby represent that all the information contained herein is true, correct and complete.

11(a). Signature of Official responsible for Form:	George Esposito
11(b). Telephone Number:	(785) 438-3000
11(c). Title of Signing Officer:	Vice President, General Counsel and Secretary
11(d). Date Signed (Month/Day/Year):	09/23/2022