Featured Regulatory Speaker
Mark T. Uyeda
Commissioner, Securities and Exchange Commission
Mark T. Uyeda was sworn into office on June 30, 2022. He was nominated by President Joseph Biden earlier this year and confirmed by the U.S. Senate on June 16.
Commissioner Uyeda has served on the staff of the SEC since 2006, including as Senior Advisor to Chairman Jay Clayton, Senior Advisor to Acting Chairman Michael S. Piwowar, Counsel to Commissioner Paul S. Atkins, and various staff positions in the Division of Investment Management. He most recently served on detail from the SEC to the Senate Committee on Banking, Housing, and Urban Affairs as a securities counsel to the committee’s minority staff.
Prior to joining the SEC, Commissioner Uyeda served as Chief Advisor to the California Corporations Commissioner, the state’s securities regulator. He also worked as an attorney at the law firms of K&L Gates (formerly known as Kirkpatrick & Lockhart LLP) in Washington, D.C., and O’Melveny & Myers LLP in Los Angeles.
Commissioner Uyeda earned his bachelor’s degree in business administration at Georgetown University and his law degree with honors at the Duke University School of Law.
He is the first Asian Pacific American to serve as a Commissioner at the SEC.
Featured Congressional Speaker
Congressman Bill Huizenga
Chairman, Subcommittee on Oversight and Investigations
Congressman Bill Huizenga (HIGH-zen-guh) represents Michigan’s 4th Congressional District. This district stretches along the shores of Lake Michigan to Battle Creek to include all of Allegan and Van Buren Counties as well as portions of Berrien, Calhoun, Kalamazoo, and Ottawa Counties. Michigan’s 4th Congressional District is home to beautiful beaches, a diverse array of agriculture, and a strong manufacturing base.
Since January of 2017, Congressman Huizenga has been elected by his colleagues to serve as a Co-Chair of the Great Lakes Task Force. This bipartisan group fosters cooperation and support for policies and programs that enhance the environmental health of the Great Lakes while also ensuring the full economic potential of the Great Lakes region is realized. As a bipartisan leader on the Great Lakes, Congressman Huizenga has successfully rallied bipartisan support for the Great Lakes Restoration Initiative (GLRI), a program that is vital to preserving and protecting the Great Lakes ecology while also promoting opportunities for the Great Lakes economy. The GLRI has had multiple success stories across Michigan and throughout the Great Lakes basin.
Congressman Huizenga is also a founding member of the bipartisan PFAS Task Force. The goals of the Task Force include: educating members of Congress and the public about the potential impacts of PFAS; crafting bipartisan legislation to help communities recover from PFAS contamination, and working to determine the proper health and safety levels of PFAS. Congressman Huizenga believes residents in Southwest Michigan across the nation deserve to know the truth and the full picture about the health risks as well as the sources associated with PFAS and PFOAS.
During the 118th Congress, Congressman Huizenga will serve as the Chairman of the Oversight and Investigations Subcommittee on the House Financial Services Committee. This Subcommittee will oversee all agencies, departments, programs and matters within the Financial Services Committee’s jurisdiction. Federal agencies under the purview of the Financial Service Committee include: The Securities and Exchange Commission (SEC), the Consumer Financial Protection Bureau (CFPB), the Federal Reserve, the Department of Treasury, and the Government Sponsored Enterprises (Fannie & Freddie) to name a few.
Congressman Huizenga will also serve as a member of the Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets. This subcommittee spearheads efforts regarding all aspects of the Securities and Exchange Commission’s (SEC) operations, activities, and initiatives to ensure that it fulfills its congressional mandate to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. Congressman Huizenga has previously served on the Housing, Community Development, and Insurance Subcommittee as well as the Monetary Policy and Trade Subcommittee where he focused on restoring accountability and transparency to the Federal Reserve.
For the first time, Congressman Huizenga will be serving on the House Foreign Affairs Committee. This committee has jurisdiction over national security as it pertains to foreign policy as well as oversight over the deployment and use of United States Armed Forces. Additionally, the committee overseas dual use technology issues, matters pertaining to arms control and a host international programs and entities. Congressman Huizenga serves on both the Subcommittee on Europe as well as the Subcommittee on the Western Hemisphere.
Congressman Huizenga’s interest in public service began when he was a young boy. When the family was gathered around the dinner table, his father would encourage thoughtful discussions surrounding business and politics. Congressman Huizenga went on to attend Holland Christian High School, and later received his bachelor’s degree in Political Science from Calvin College. After college, Bill began his career as a Realtor and entrepreneur. Today, Congressman Huizenga co-owns Huizenga Gravel Inc. located in Jenison, MI.
Prior to serving Michigan’s 4th Congressional District, Congressman Huizenga represented Michigan’s Second Congressional District from January 2011 until January 2023.
Congressman Huizenga is a lifelong resident of Ottawa County, where he currently resides with his wife and children.
Congressional Speakers
Congressman Byron Donalds
Member, House Financial Services Committee
Congressman Byron Donalds grew up in Brooklyn, New York, and he is also the proud son of a hardworking and loving single mother. His mother dedicated her time instilling in him that greatness requires sacrifice, which drives him as a devoted family man and United States Congressman.
Congressman Donalds is a graduate of Florida State University and received a Bachelor of Arts degree in finance and marketing. Congressman Donalds career led him to Southwest Florida, where he worked in the banking, finance, and insurance industries. Elected to the Florida House of Representatives in 2016, Congressman Donalds represented Hendry County and east Collier County in the State Capitol. During his tenure in the Florida House, Congressman Donalds served as the PreK-12 Quality Subcommittee Chair during the 2018-2019 Legislative Session and served as the Insurance & Banking Subcommittee’s Chairman 2019-2020 Legislative Session. While serving in the Florida House, primarily focused on elder affairs, criminal justice reform, and ensuring that each child has access to a world-class education.
Congressman Donalds is committed to serving and giving back to the community that gave him so much. He has served Southwest Florida in many ways, including previously serving on the Board of Trustees for Florida Southwestern State College after being appointed by then-Governor Rick Scott. Congressman Donalds continues to volunteer in his church as a youth leader and a mentor. He also enjoys volunteering as a coach in youth football and basketball leagues.
Congressman Donalds lives in Naples, Florida, with his wife, Erika, and their three sons: Damon, Darin, and Mason. Congressman Donalds has spent his entire adult life serving others, whether it be through volunteering, business, or leadership. He is committed to representing Florida’s 19th Congressional District’s conservative values in Washington DC to ensure a stronger Florida and a stronger nation.
Congressman Mike Flood
Member, House Financial Services Committee
Congressman Mike Flood was sworn into office on July 12, 2022. Through the years, he has dedicated his life to advancing conservative values, growing Nebraska’s rural communities, and creating jobs.
Raised in Norfolk, Congressman Flood started working in radio in high school, a passion that continued throughout his time in college at Notre Dame and law school at the University of Nebraska. In 1999, he founded Flood Communications and grew the company from one Norfolk radio station, US92, into a statewide media network. News Channel Nebraska and Flood Communications radio stations deliver content important to rural communities, including local news and weather, high school sports, morning mass, and local entertainment. Congressman Flood has created hundreds of Nebraska jobs.
In 2005, Congressman Flood was elected to represent his hometown and surrounding Madison County in the Nebraska Legislature. In 2007, his colleagues elected him the youngest Speaker of the Legislature in Nebraska history.
In June 2022, Congressman Flood won a special election to take over Nebraska’s 1st District in the U.S. House of Representatives. He currently serves on the Financial Services Committee.
Over the years, Congressman Flood has given back to Nebraska in numerous ways. He has long been active in Northeast Nebraska economic development and community efforts. Congressman Flood served as the Chairman of the Board of Directors of the Children’s Scholarship Fund, advancing its mission to open the doors of educational opportunity for families with financial need. Congressman Flood currently serves on the Board of Directors of Invest Nebraska, which is committed to growing Nebraska’s economy by assisting entrepreneurs and investing capital in companies with growth potential.
Congressman Flood and his wife of 18 years, Mandi, were married at St. Mary’s Catholic Church in Norfolk. The Floods live in Norfolk, where they are raising their sons Brenden and Blake.
Congressman Josh Gottheimer
Member, House Financial Services Committee
Congressman Josh Gottheimer was raised in North Caldwell, the son of a preschool teacher and a small business owner. Josh graduated from West Essex High School before attending the University of Pennsylvania, later becoming a Thouron Fellow at Oxford, and then paid his way through Harvard Law School.
After finishing college, Congressman Gottheimer went on to work in the Clinton White House as one of the youngest presidential speechwriters in history. Congressman Gottheimer wrote speeches on topics ranging from the global economy to technology and innovation to combating crime; he also helped draft two State of the Union Addresses.
After leaving the White House, Congressman Gottheimer worked at the Ford Motor Company, where he helped rebuild the iconic auto company’s image and worked on the first American hybrid. Congressman Gottheimer was also a Senior Advisor to the Chair of the U.S. Commission on Civil Rights and published the book “Ripples of Hope: Great American Civil Rights Speeches.”
Congressman Gottheimer later served as Senior Counselor to the Chairman at the Federal Communications Commission. During his tenure, he was the first Director of Office of Public-Private Initiatives, partnering with private companies to break through roadblocks and solve national problems. These partnerships saved taxpayers money while helping law enforcement, boosting digital education, and creating jobs. Congressman Gottheimer worked on cybersecurity, broadband adoption, combating cell phone theft, creating a new public safety emergency alert system, and expanding wireless spectrum. Congressman Gottheimer used that experience to help create a nonprofit, JerseyOn, that has expanded access to high-speed internet for low-income New Jersey students to help them compete in the 21st Century economy.
Before running for Congress, Congressman Gottheimer worked at Microsoft as General Manager for Corporate Strategy, where he focused on the company’s expansion into the cloud, e-commerce, and privacy. He was also a member of both the Ridgewood and New Jersey Chambers of Commerce, the Rutgers Business School Advisory Board, and was a visiting fellow at Princeton University’s Center for Information Technology. He also taught history at the University of Pennsylvania.
Congressman Gottheimer’s approach to public service is rooted in his experience in both the public and private sectors. During his time working with President Clinton, Dr. Mary Frances Berry, Senator Frank Lautenberg, and Speaker Thomas Foley, he saw that, by seeking common ground, it is possible to find a bipartisan path forward without compromising your core values. Congressman Gottheimer firmly believes that it does not matter if an idea comes from the Democratic or Republican side of the aisle, only whether it will help our great country and the communities and people of New Jersey.
Congressman Gottheimer now lives in Wyckoff, New Jersey, with Marla, his wife who was a federal prosecutor, and their two young children, Ellie and Ben.
Congresswoman Brittany Pettersen
Member, House Financial Services Committee
Congresswoman Brittany Pettersen is the Representative for Colorado’s Seventh Congressional District in the United States Congress. She was elected in 2022, becoming the first woman to represent the Seventh District, which comprises Jefferson, Broomfield, Lake, Park, Teller, Chaffee, Fremont, and Custer counties. She is a member of the House Financial Services Committee, where she serves on the Subcommittee on Housing and Insurance and the Subcommittee on National Security, Illicit Finance, and International Financial Institutions.
Congresswoman Pettersen was born and raised in Jefferson County, Colorado. Even though she faced a lot of challenges growing up, because of her access to great public schools and teachers who believed in her, she became the first in her family to graduate both high school and college. Congresswoman Pettersen attended the Metropolitan State University of Denver where she earned a bachelor’s degree in Political Science.
Before coming to Congress, Congresswoman Pettersen served in the Colorado state legislature for a decade. While there, she sponsored and passed legislation ranging from gun safety measures to one of the country’s strongest Equal Pay for Equal Work laws to protecting access to reproductive healthcare to lowering health insurance premiums for Coloradans. Congresswoman Pettersen also advocated for greater investments in the state’s mental health and substance abuse disorder treatment programs, after seeing firsthand the devastating impacts of the opioid epidemic through her own mother’s decades-long addiction.
Congresswoman Pettersen lives in Lakewood with her husband, Ian, their young son, Davis, and their rescue dog, Ollie.
Additional Speakers
Len Amoruso
Partner, David Wright Tremaine
Len Amoruso advises clients on securities compliance, regulation, and market structure matters, and counsels broker-dealers and financial institutions on a wide array of legal, compliance, and regulatory matters. He counsels market participants on regulatory requirements and controls, examinations, investigations, enforcement, litigation, and disciplinary proceedings with a particular focus on trading-related matters. He also advises those entities with respect to corporate governance. Len has extensive experience with multiple asset classes and U.S. and foreign regulators.
Mr. Amoruso has over 30 years of financial industry experience, specifically in the legal, compliance, operational, and regulatory policy arenas. From 1989-99, he served as chief counsel and, later, deputy director of the New York office of the Financial Industry Regulatory Authority (FINRA). Subsequently, he spent more than 14 years at Knight Capital Group, Inc., initially as the chief compliance officer of its broker-dealer, Knight Securities, LP, and subsequently as the general counsel for the parent company. There, he managed the legal, compliance, AML, internal audit, regulatory affairs, and government relations programs for the firm on a global basis.
A frequent speaker at industry conferences, Mr. Amoruso has also served on numerous industry committees.
Giang Bui
Head of U.S. Exchange Traded Products, Nasdaq
Giang Bui is Head of U.S. Exchange Traded Products at Nasdaq, where she is responsible for developing and executing the strategic vision for Nasdaq’s ETP business.
Prior to joining Nasdaq, Ms. Bui was a Director of Listings at Cboe Global Markets, where she was focused on ETP business development, liquidity programs, and strategic initiatives. Prior to joining Cboe, Ms. Bui played a key role in developing and marketing new indexes at the New York Stock Exchange. She began her career as a Business Analyst for NYSE’s Global Index and Exchange Traded Products group.
Ms. Bui has a Bachelor of Arts degree in Mathematics and Economics from Lafayette College.
Conor Carney
Government Affairs Associate, Robinhood
Conor Carney is a Government Affairs Associate at Robinhood Markets, Inc. Prior to joining Robinhood, Mr. Carney spent six years on Capitol Hill, most recently serving as Legislative Director for Rep. Lee Zeldin (NY-01). Prior to working for Rep. Zeldin, Conor served as Senior Legislative Assistant to Rep. John Rose (TN-6), Legislative Aide to Senator Bob Corker (TN), and Legislative Assistant to Rep. Renee Ellmers (NC-2). Mr. Carney holds a B.A. in Finance from the Boston College Carroll School of Management.
Mike Castiglione
Director of Regulatory Affairs, Eventus
Mike Castiglione joined Eventus as Director of Regulatory Affairs, Digital Assets in February 2022 where he helps prepare clients for the range of global rules that could affect crypto and their compliance systems. Before Eventus, Mr. Castiglione gained 15 years’ experience in the US government focused on national security and emerging technology policy with the Central Intelligence Agency (CIA). During that time, he advised the White House, Defense Department, others in government about global risks, the implications of technological advancements, and policy options. He has led teams specializing in data analytics and over-the-horizon forecasts during foreign crises.
Mr. Castiglione earned a Bachelor of Arts from Michigan State University and a Master of Public Affairs (MPA) from Princeton.
Michael Coscetta
Head of Revenue, Paxos
Michael Coscetta is the Head of Revenue at Paxos. He was most recently the Chief Commercial and Strategy Officer at Compass, a position he held since October 2018. There, he was responsible for creating sales, development and growth strategies for the organization while overseeing strategic partnerships, new development, marketplace products, and lending partnerships. He also led the strategic initiative around building the first end-to-end real estate transaction platform. Prior to Compass, Mr. Coscetta was Global Head of Sales at Square from early 2016 to end of 2018. In this role, he was responsible for scaling the domestic SMB sales teams into a complex global sales organization covering SMB, mid-market, and enterprise. He was also supervising the sales development, operations, strategy, and partnerships teams. Formerly, Mr. Coscetta was Vice President of Sales and Marketing at StructuredWeb from 2013 to 2016, a leading channel marketing automation software, servicing mostly enterprise customers in the tech industry. From June 2003 to August 2013, he was CEO and Founder of Dynasty Division Inc, helping tech companies build and grow their sales and marketing organizations. He holds a BA with honors in economics from Harvard University.
Jeanine Hightower-Sellitto
Chief Strategy Officer, EDX Markets
Jeanine Hightower-Sellitto is the Chief Strategy Officer of EDX Markets. In this role, she is responsible for the launch and growth of the EDX digital asset exchange. From 2020-2022, Ms. Hightower-Sellitto was the CEO of Atomyze LLC, which was a fintech company that developed a tokenization platform and marketplace for physical commodities. From 2018-2020, Ms. Hightower-Sellitto served as the Managing Director of Operations at Gemini Trust Company, LLC, a chartered NY State Trust Company that operates a digital asset exchange and offers custodian services. From 2004-2017, Ms. Hightower-Sellitto held several leadership roles, including Chief Operating Officer, at the International Securities Exchange (ISE), a NASDAQ subsidiary that operates three securities exchanges. Ms. Hightower-Sellitto started her career in 1998 as a Financial Analyst in the Technology Investment Banking group of Wachovia Securities.
Currently, Ms. Hightower-Sellitto serves on the Board of Digital Prime Technologies, which offers a full suite of turnkey prime services for traditional firms entering the digital asset space.
She is a graduate of The University of North Carolina at Chapel Hill with degrees in Economics and Biology.
Josh Khalif
Institutional Trader, Flow Traders
Josh Khalif is an Institutional Trader on the block ETF desk at Flow Traders, a global liquidity provider. His desk is responsible for institutional sales, counterparty coverage, and all off-exchange trading. In addition to coverage of various RIAs, pensions, and asset managers, Mr. Khalif is responsible for Flow Traders’ lead market making business and all ETF capital market relationships. He has also been involved in the firm’s growth initiatives including its expansion into fixed income, digital assets, and ADRs.
Mahlet Makonnen
Principal, Williams & Jensen
Prior to joining Williams & Jensen, Ms. Makonnen worked as Regulatory Affairs Counsel for the National Association of Federally Insured Credit Unions (NAFCU), where she advised financial institutions on a variety of regulatory and compliance issues and drafted data privacy principles for federal legislation on behalf of credit unions. In the public sector, Ms. Makonnen served as an Attorney Advisor with the Department of Veterans Affairs.
Ms. Makonnen is a graduate of Syracuse University and holds a J.D. from the College of William & Mary.
Michael J. Masone
Head of North America Market Structure, Citi Global Markets
Michael Masone is a Director and the Head of North America Market Structure for the Markets Division in North America (NAM Markets), within Citi’s Global Institutional Clients Group (ICG). Prior to assuming this expanded role in early 2021, Mr. Masone had been focused specifically on Market Structure issues in the Equities and Listed Options markets, but is now increasingly assuming responsibility for cross-asset Market Structure strategy and advocacy as well. From 2005-17, Mr. Masone had been a corporate lawyer advising the Americas Equities Sales & Trading business, acting as co-head of Legal coverage since 2008. During that time, he advised several institutional equities sales & trading businesses on a variety of legal, regulatory and technology issues, with a particular focus on Equity Market Structure. Mr. Masone was the Chair of SIFMA’s Equity Markets & Trading Committee from 2017-19, having served as Vice Chair from 2015-16, and was co-Chair of SIFMA’s Board Committee on Equity Market Structure/Subcommittee on Transparency & Disclosure organized in 2014.
He also represents Citi on numerous other industry committees and working groups (including ICI, MFA, STA, FIF) addressing particular policy and regulatory issues, and heads the Regulatory Working Group on Citi’s NAM Markets Leadership Committee. Mr. Masone frequently meets with Commissioners and Staff of the U.S. Securities and Exchange Commission, Members and Staff of the U.S. Congress, FINRA and the exchanges, as well as clients of the firm. His move from Legal into the business has allowed Mr. Masone to devote even more of his time to implementing Citi’s Market Structure and liquidity strategy across NAM Markets.
Before going to law school, Mr. Masone worked as a volunteer high school teacher in Baton Rouge, a financial journalist for Bloomberg, and a paralegal with Cleary Gottlieb Steen & Hamilton LLP. Following law school, he spent five years as an associate in the Corporate Department of Orrick Herrington & Sutcliffe LLP in New York. There his practice focused on venture capital, M&A and outsourcing engagements. Mr. Masone then joined Citi in 2005 and was asked to co-head the Americas Equities Legal group in 2008. He also helped coordinate Citi’s in-house pro bono efforts for several years before joining the business in 2017.
Mr. Masone holds a J.D. from the Georgetown University Law Center and a B.A., cum laude, from the University of Notre Dame.
Joel Oswald
Principal, Williams & Jensen
Joel Oswald is a principal at the law and lobbying firm, Williams & Jensen. He specializes in legislative and regulatory practice focused on financial services policy. With over 20 years of public and private sector experience, Mr. Oswald works with clients on a range of legislative and regulatory policy issues, including securities, banking, consumer finance, and insurance policy.
Prior to joining the firm, Mr. Oswald served on the professional staff of the Subcommittee on International Trade and Finance and later the Subcommittee on Securities and Investment, both of the Senate Committee on Banking, Housing, and Urban Affairs. He is a graduate of Evangel University and received an MBA from Texas A&M University’s Mays Business School.
Eric Pollackov
Global Head of ETF Capital Markets, Invesco ETFs
Eric Pollackov is the Global Head of ETF Capital Markets for Invesco ETFs. In this role, Mr. Pollackov proactively develops relationships with sell-side trading desks, implements capital markets strategies for Invesco’s ETFs, and develops and measures the success of client business plans.
Before joining Invesco in 2016, Mr. Pollackov was head of ETF capital markets for Charles Schwab. Previously, he served as managing director of exchange-traded products at NYSE Euronext. He began his career in 1999 as a derivatives trader for Susquehanna International Group, specializing in ETFs. Mr. Pollackov earned a bachelor’s degree from The State University of New York at Buffalo and holds the Series 7 and 24 registrations.
Jacob H. Rappaport
Global Head, Equities, StoneX
Jacob Rappaport serves as the Global Head of Equites at StoneX Group Inc., a Fortune 100™ company and leading provider of financial-services execution, risk management, market intelligence, and post-trade services across asset classes and markets around the world. Mr. Rappaport is responsible for the company’s Equities businesses globally, which include, Wholesale Market Making, Global Institutional Sales & Trading, Electronic, and Outsourced Trading. He has held various roles at StoneX and predecessor companies since joining in 2005, including Head of Americas Trading, and Head of Market Making. Since taking the role of Equities Head in 2013, the segment has grown revenue more than ten times and became the number one ranking market maker in ADRs and foreign securities traded OTC. Mr. Rappaport serves as a member of the StoneX Group Inc. Management Committee and is an Officer of wholly owned subsidiary FINRA registered Broker Dealers. He also served as President of the Florida affiliate of the Securities Traders Association from 2015 through 2017 and is an Advisory Board Member for the Department of Business at Rollins College, where he earned his BA in International Business.
Greg Ruppert
Executive Vice President, Member Supervision, FINRA
Greg Ruppert leads FINRA’s Member Supervision organization, a cohesive group of programs which protect investors and safeguard market integrity through surveillance and oversight of Member Firms and Registered Representatives. In particular, Mr. Ruppert sets the strategic direction of the Member Application Program, Risk Monitoring Program, Firm Examination Program, and Investigative Programs of the organization. Mr. Ruppert joined FINRA in 2020 as the Executive Vice President of FINRA’s National Cause and Financial Crimes Detection Program (NCFC) within Member Supervision. In his prior role, Mr. Ruppert oversaw FINRA’s National Cause Program, Financial Crimes Surveillance, and Specialized Investigative Units covering vulnerable adults and seniors, anti-money laundering and fraud, high-risk representatives, and cybersecurity. He was also responsible for the creation of FINRA’s Financial Intelligence Unit.
Prior to joining FINRA, from 2014 to 2020, Mr. Ruppert was a Senior Vice President in Charles Schwab Corporation’s Risk Management department. In that role, he led teams responsible for several of the key operational and compliance risk areas across the enterprise. He also served as the Board-appointed Bank Secrecy Act (BSA) Officer and the Corporate Responsibility Officer for the corporation. Prior to joining Schwab, Mr. Ruppert spent more than 17 years with the U.S. Government, achieving the rank of Senior Executive Service. Mr. Ruppert’s career as a Special Agent in the FBI included investigator and leadership roles specializing in complex corporate and securities cases, financial crimes, terrorism, and cyber.
Mr. Ruppert is a Professor of Practice at the University of the Pacific, School of Engineering and Computer Sciences, for the Data Science Master’s Program. He on the Board of Directors of the non-profit organization CalTrout. Previously, he was on the board of the non-profit organization GirlVentures and served as President of the board.
Mr. Ruppert has a J.D. from the University of the Pacific’s McGeorge School of Law and a B.A. from the University of the Pacific.
Cass Sanford
Deputy General Counsel, OTC Markets Group
Cass Sanford supports regulatory and policy making initiatives at OTC Markets Group. Ms. Sanford represents the company on public panels and before industry and regulatory groups, focusing on equity market structure, online capital raising and emerging FinTech and RegTech trends. Prior to joining OTC Markets Group, Ms. Sanford represented issuers, broker-dealers and individuals in securities litigation and in regulatory matters. Ms. Sanford received her J.D. from Hofstra University School of Law and her B.A. from Mount Holyoke College. She is a member of the New York Bar.
Jim Toes
President & CEO, Security Traders Association
Jim Toes has served as President and CEO of Security Traders Association (STA) since 2011. In this role, Mr. Toes maintains STA’s relationship with U.S. regulators and congressional policymakers, advocating for the employees and customers of the financial markets. Under Mr. Toes’ leadership, STA has written more than 50 comment letters on a wide range of issues under the regulatory oversight of the U.S. Securities and Exchange Commission, Department of Treasury, Commodities and Futures Trading Commission (CFTC), FINRA, and the Senate and House Financial Services Committees. In addition, Mr. Toes has penned close to 100 articles on current events and human interest stories that resonate well with individual members and align with STA’s core principles.
Mr. Toes has nearly 35 years of experience in the securities business, particularly within equity and options sales, trading, and clearing. Prior to joining STA, Mr. Toes was a Managing Director at Bank of America Merrill Lynch for 18 years, where he held various management positions, interacting with a broad range of clients including institutional and middle market asset managers, broker-dealers, and retail investors. Over the course of his career, Mr. Toes has also used his breadth of market structure knowledge to serve on various best execution and market structure committees and has testified before Congress. As a past President of the Security Traders Association of New York and a former Governor and Secretary of STA, Mr. Toes has a deep understanding of the STA organization and the vital role its 24 Affiliate organizations in North America play in the success and mission of the Association.