Capital Markets, Securities, and Investment Subcommittee
Congressman Bill Huizenga represents Michigan’s 2nd Congressional District which stretches from Kentwood to the lakeshore and up the coast of Lake Michigan from Holland to Ludington. He was first elected to Congress in 2010 and is currently serving in his fifth term.
As a member of the prestigious House Financial Services Committee, Congressman Huizenga has focused on removing government-imposed barriers to private sector job creation and increasing transparency across the federal government. Because of his steadfast leadership, Congressman Huizenga has been selected to serve as Ranking Member on the Investor Protection, Entrepreneurship, and Capital Markets Subcommittee for the 116th Congress.
Congressman Huizenga has focused oversight efforts pertaining to 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. This subcommittee also has jurisdiction pertaining to credit rating agencies, investment advisers, mutual funds, accounting standards, equity/option market structure, and fixed-income market structure. For the first time, he is serving on the Housing, Community Development, and Insurance Subcommittee in the 116th Congress. Previously, he served as a member of the Monetary Policy and Trade Subcommittee where he focused on restoring accountability and transparency to the Federal Reserve.
CNBC “On-Air Stocks” Editor
A CNBC reporter since 1990, Bob Pisani has covered Wall Street and the stock market for nearly 20 years. Mr. Pisani covered the real estate market for CNBC from 1990-1995, then moved on to cover corporate management issues before becoming Stocks Correspondent in 1997.
In addition to covering the global stock market, he also covers initial public offerings (IPOs), exchange-traded funds (ETFs) and financial market structure for CNBC.
In 2017, Mr. Pisani was honored with a Lifetime Achievement Award from the Security Traders Association of New York for “dedication to the Association and the Industry.”
In 2013, he won Third Place in the National Headliner Awards in the Business and Consumer Reporting category for his documentary on the diamond business, “The Diamond Rush.”
In 2014, Mr. Pisani was honored with a Recognition Award from the Market Technicians Association for “steadfast efforts to integrate technical analysis into financial decision making, journalism and reporting.”
In 2010, Mr. Pisani was an Webby Award Honoree from the International Academy of Digital Arts & Sciences for ‘Best Business Blog.’
Prior to joining CNBC, Mr. Pisani co-authored “Investing in Land: How to Be a Successful Developer.” He and his father taught a course in real estate development at the Wharton School of Business at the University of Pennsylvania from 1987-1992. Mr. Pisani learned the real estate business from his father, Ralph Pisani, a retired real estate developer.
Danielle DiMartino Booth
CEO & Chief Strategies
Quill Intelligence LLC
Danielle DiMartino Booth is CEO & Chief Strategist for Quill Intelligence LLC, a research and analytics firm.
Ms. DiMartino Booth set out to launch a #ResearchRevolution, redefining how markets intelligence is conceived and delivered with the goal of not only guiding portfolio managers, but promoting financial literacy. To build QI, she brought together a core team of investing veterans to analyze the trends and provide critical analysis on what is driving the markets – both in the United States and globally.
Since inception, commentary and data from Ms. DiMartino Booth’s The Daily Feather have appeared in other financial sources such as Bloomberg, CNBC, Fox Business, Institutional Investor, Yahoo Finance, The Wall Street Journal, MarketWatch, Seeking Alpha, TD Ameritrade, TheStreet.com, and more.
A global thought leader on monetary policy, economics and finance, Ms. DiMartino Booth founded Quill Intelligence in 2018. She is the author of FED UP: An Insider’s Take on Why the Federal Reserve is Bad for America (Portfolio, Feb 2017), a full-time columnist for Bloomberg View, a business speaker, and a commentator frequently featured on CNBC, Bloomberg, Fox News, Fox Business News, BNN Bloomberg, Yahoo Finance and other major media outlets.
Prior to Quill, Ms. DiMartino Booth spent nine years at the Federal Reserve Bank of Dallas where she served as Advisor to President Richard W. Fisher throughout the financial crisis until his retirement in March 2015. Her work at the Fed focused on financial stability and the efficacy of unconventional monetary policy.
Ms. DiMartino Booth began her career in New York at Credit Suisse and Donaldson, Lufkin & Jenrette where she worked in the fixed income, public equity, and private equity markets. She earned her BBA as a College of Business Scholar at the University of Texas at San Antonio. She holds an MBA in Finance and International Business from the University of Texas at Austin and an MS in Journalism from Columbia University.
U.S. Securities and Exchange Commission
Elad L. Roisman was appointed by President Donald Trump to the U.S. Securities and Exchange Commission and was sworn into office on September 11, 2018.
Commissioner Roisman joined the SEC from the U.S. Senate Committee on Banking, Housing, and Urban Affairs, where he served as Chief Counsel. In that role, and as Securities Counsel on the Committee, he counseled Chairmen Mike Crapo (R-ID) and Richard Shelby (R-AL), as well as members of the Committee, on securities, financial regulation, and international financial matters. Commissioner Roisman worked on drafting several pieces of legislation that became law and played an integral role in the drafting and negotiation of the Economic Growth, Regulatory Relief, and Consumer Protection Act.
Before working in the Senate, he served as Counsel to SEC Commissioner Daniel M. Gallagher, focusing on enforcement and policy relating to the U.S. equity and fixed income markets, the asset management industry, and international regulation of capital markets. Prior to joining the SEC, he held positions as a Chief Counsel at NYSE Euronext and an associate at the law firm of Milbank, Tweed, Hadley & McCloy LLP in New York.
Commissioner Roisman earned his bachelor’s degree in History at Cornell University and his JD at the Boston University School of Law.
Dawn DeBerry Stump
Commodity Futures Trading Commission
Dawn DeBerry Stump was nominated by President Trump to serve as a Commissioner of the Commodity Futures Trading Commission on June 12, 2017. She was unanimously confirmed by the Senate on August 28, 2018 and sworn into office on September 5, 2018 for the remainder of a five-year term expiring in April 2022.
Prior to her appointment, Mrs. Stump was President of Stump Strategic, a consulting firm she founded in 2016. Before starting her firm, Mrs. Stump was Executive Director and Senior Vice President of U.S. Policy for the Futures Industry Association (FIA) and Vice President at the New York Stock Exchange.
During much of her career she also served the public sector in staff positions in both the U.S. Senate and House of Representatives, including six years at the Senate Committee on Agriculture, Nutrition and Forestry where she focused on various farm policy, rural development, and renewable energy matters as well as oversight of the CFTC. While serving in both Congressional houses, she participated in negotiations of two farm bills, CFTC reauthorization, and the Dodd-Frank Act. Mrs. Stump is from Olton, Texas and grew up working in the agricultural sector.
She holds a Bachelor of Science in Agricultural and Applied Economics degree from Texas Tech University. She is married and has two children.
Robert W. Cook
President & Chief Executive Officer
Robert W. Cook is President and CEO of FINRA, and Chairman of the FINRA Investor Education Foundation.
From 2010–2013, Mr. Cook served as the Director of the Division of Trading and Markets of the U.S. Securities and Exchange Commission. Under his direction, the Division’s professionals were responsible for regulatory policy and oversight with respect to broker-dealers, securities exchanges and markets, clearing agencies and FINRA. In addition, the Division reviewed and acted on proposed rule filings and new product listings from self-regulatory organizations, including the securities exchanges and FINRA, and was responsible for implementing a range of initiatives and studies generated by the Dodd-Frank and JOBS Acts. He also directed the staff’s review of equity market structure.
Immediately prior to joining FINRA, and before his service at the SEC, Mr. Cook was a partner based in the Washington DC office of an international law firm. His practice focused on the regulation of securities markets and market intermediaries, including securities firms, exchanges, alternative trading systems and clearing agencies. During his years of private practice, Mr. Cook worked extensively on broker-dealer regulation, advising large and small firms on a wide range of compliance matters.
Mr. Cook earned his JD from Harvard Law School in 1992, a MS in Industrial Relations and Personnel Management from the London School of Economics in 1989, and an AB in Social Studies from Harvard College in 1988.
Chairman of the Board, President and Chief Executive Officer
Cboe Global Markets
Edward Tilly is the Chairman of the Board, President and Chief Executive Officer (CEO) of Cboe Global Markets, Inc. (Cboe), one of the world’s largest exchange holding companies. Mr. Tilly, who has been CEO since 2013, was elected to serve in the additional role of Chairman of the Board in 2017 as part of the Bats Global Markets acquisition, and later added President to his title in January 2019.
Under Mr. Tilly’s leadership, Cboe has expanded its role as a market leader in providing cutting-edge trading and investment solutions to investors around the world. Mr. Tilly led the $3.2 billion acquisition of Bats Global Markets, which was completed on February 28, 2017. As a result, Cboe offers trading across a diverse range of products in multiple asset classes and geographies, including options, futures, U.S. and European equities, exchange-traded products (ETPs), global foreign exchange (FX) and multi-asset volatility products based on the Cboe Volatility Index (VIX Index), the world’s barometer for equity market volatility.
Mr. Tilly has expanded global access to Cboe’s flagship products, S&P 500 Index (SPX) options and Cboe Volatility Index (VIX) options and futures, through the launch of global trading hours. He secured exclusive licensing agreements with major global index providers FTSE Russell and MSCI, and launched products that added a significant international dimension to Cboe’s index option franchise.
He also forged a number of strategic alliances in an effort to further diversify the company’s product and business lines. Through equity investments in CurveGlobal, Eris Exchange, American Financial Exchange and Vest Financial, Cboe is tapping into new market segments and reaching new customers. Mr. Tilly also led the acquisition of Livevol, Inc., a leading provider of options technology and trading analytics, to enhance Cboe’s market data services offering.
Mr. Tilly has been an integral part of the Cboe community, as both a trader and exchange executive, for 30 years. Prior to being named CEO, Mr. Tilly was Cboe President and Chief Operating Officer from 2011 to 2013, served as Cboe Executive Vice Chairman from 2006 to 2011 and held the highest member-elected position at the Exchange as Cboe’s Member Vice Chairman from 2004 to 2006.
Mr. Tilly came to Cboe as a trading floor clerk in 1987 and became a floor trader and Cboe member in 1989. He traded as both a market-maker and a designated primary market-maker (DPM) until joining Cboe’s executive management team in 2006. As a Cboe member, Mr. Tilly served on the Cboe Board of Directors from 1998 to 2000 and again from 2003 to 2006. He chaired the Cboe Floor Directors Committee from 2004 to 2006 and served on the Executive, Compensation and Governance Committees of the Board.
Mr. Tilly currently serves on the board of directors for Cboe Global Markets, Cboe Futures Exchange (CFE), Northwestern Medical Group, World Business Chicago, Working in the Schools, and the World Federation of Exchanges (WFE), where he serves as Vice Chairman of the Board. Mr. Tilly is a member of the Economic Club of Chicago and the Chicago Club.
He received a B.A. degree in Economics from Northwestern University.
President and Chief Operating Officer
Chris Concannon has been the President and Chief Operating Officer of MarketAxess since January 2019. In this role, Mr. Concannon oversees day-to-day operations, corporate development, long-term technology strategy and global data strategy for MarketAxess globally.
Mr. Concannon was most recently the President and Chief Operating Officer of Cboe Global Markets Inc., where he was responsible for Cboe’s transaction businesses, including Global Derivatives, U.S. and European Equities, and Global Foreign Exchange, as well as overseeing the company’s Technology, Operations, Risk and Marketing divisions. Prior to his role at the Cboe, Mr. Concannon was the Chief Executive Officer of Bats Global Markets, where he led the company’s initial public offering in 2016, as well as its acquisition by the Cboe in February 2017.
Mr. Concannon has more than 20 years of experience as an executive at Nasdaq, Virtu Financial, Instinet, and as an attorney at Morgan Lewis and Bockius, and the Securities and Exchange Commission. He holds a B.A. from Catholic University, an M.B.A. from St. John’s University and a J.D. from Catholic University’s Columbus School of Law.
Chief Legal Officer
Dan Gallagher is the Chief Legal Officer of Robinhood, a fast-growing brokerage giving millions of people access to its financial system. Before joining Robinhood, he was Partner and Deputy Chair of the Securities Department at international law firm WilmerHale where he advised corporate boards and management on the full range of legal and strategic issues, and counseled financial services and accounting firms in investigations, regulatory proceedings and policy matters.
Mr. Gallagher has an extensive background in financial markets and regulatory matters, including serving as a Commissioner of the U.S. Securities and Exchange Commission (SEC) from 2011 to 2015. He held several other positions on the SEC staff prior to being appointed commissioner, including deputy director and co-acting director of the division of trading and markets. He also previously served as the Chief Legal Officer at Mylan N.V., a leading global pharmaceutical company, and as the president of a financial services consulting firm.
Mr. Gallagher serves on the boards of the National Association of Corporate Directors (NACD) and Symbiont, and was formerly a non-executive director of the Irish Stock Exchange. He is also on the advisory boards for the Institute for Law and Economics at the University of Pennsylvania and the Center for Corporate Governance, part of the Raj & Kamla Gupta Governance Institute in Drexel University’s LeBow College of Business. Mr. Gallagher holds a J.D. from Catholic University of America, Columbus School of Law, and B.A. from Georgetown University.
Chief Revenue Officer
Debra Walton leads all sales, client and partner relationship management and market development activities for Refinitiv. Her global team operating in 65 countries brings the entire range of Refinitiv solutions to meet the data analytics and workflow needs of its customers.
Ms. Walton has lived and worked on three continents, and has held senior executive positions across product, content, sales and marketing at Refinitiv and the Financial & Risk business division of Thomson Reuters since she joined the firm in 2003. She is also a board member of the Tradeweb Board of Managers.
Ms. Walton is a tireless advocate of gender equality and speaks globally on diversity and leadership as well as on the importance of ESG more broadly. She is an advisory board member at Springboard, a New York based nonprofit that brings together entrepreneurs, investors, and industry experts to help women take their business plans to market.
Panelists, Speakers, Moderators
Vice President, Institutional Equity Sales Trading
KeyBanc Capital Markets
Julie Andress is a Vice President, Institutional Equity Sales Trading at KeyBanc Capital Markets Inc. She is responsible for managing institutional investor, accounts, providing research commentary and overseeing best execution trading. Prior to joining KBCM in 2011, she served as a senior account manager with Bloomberg LP.
Ms. Andress has been an active member of STA for more than a decade. She has served on the board of the Ohio Security Traders Association since 2014, she has held the roles of Treasurer, Vice President, and is a current Governor. In 2016, she was named “Rising Star” by Markets Media. Ms. Andress is Co-Chair of the STA Women in Finance initiative, joining as an affiliate member in 2015 and committee member since 2016. She is a member of Key Women’s Network.
Ms. Andress is a very involved community member. In 2015, she was recognized for her fundraising efforts for the Cystic Fibrosis Foundation being named Northeastern Ohio’s “Young Professional of the Year” and nationally “CF Finest.” In 2016, she co-founded the associate board of The Transplant House of Cleveland, an organization that provides temporary housing and supportive community to organ transplant patients and their families. She is a graduate of John Carroll University.
Director of Market Analytics & Regulatory Structure
Gregg Berman is director of the market analytics and regulatory structure unit of Citadel Securities where he focuses on utilizing data and analytics to better inform on a host of advanced topics at the crossroads of market structure, rules, and regulations.
From 2009 to 2015 Mr. Berman served at the U.S. Securities and Exchange Commission in Washington, DC, where he established and was associate director of the office of analytics and research in the division of trading and markets. Mr. Berman covered a wide array of areas with a particular focus on market structure data, analytics, and associated rules and regulations ranging from the Consolidated Audit Trail to the Volcker Rule to the new regime for Security-Based Swaps.
Mr. Berman was also a founding partner of New York-based RiskMetrics Group where he primarily served as its head of the risk business (1998-2009). Before joining RiskMetrics, Mr. Berman co-managed a number of multi-asset hedge funds within New York-based ED&F Man.
Mr. Berman is a physicist by training and holds degrees from Princeton University (Ph.D. 1994, M.S. 1989), and the Massachusetts Institute of Technology (B.S. 1987).
Senior Vice President – Trading Services
Two Sigma Securities
Matt Billings began his career on the exchange floors in Chicago more than 30 years ago. His long-standing and hands-on experience in the mechanics of trading, coupled with extensive industry engagement and regulatory insight, fuel his unique perspective on how the markets operate and impact traders and investors.
Today, Mr. Billings works in Two Sigma Securities, LLC’s Wholesale Market Making team. In this role, his areas of oversight include the trade/service desks as well as client relationships. He also focuses on market structure, and in particular market data. Prior to coming to Two Sigma Securities, Mr. Billings led the team overseeing market data at TD Ameritrade. He managed all aspects of the firm’s market data strategy as well as contributed in the areas of government relations and market structure. Before TD Ameritrade, he managed Trading Services for Scottrade for over 10 years, accountable for several areas including order routing and execution quality, and market data.
Mr. Billings is an active member of several trade organizations including STA, FIF and SIFMA. He maintains his Series 7, 4, 24, 57 and 63 registrations, completed an Executive Leadership Development course through Washington University, completed the three-year Securities Industry Institute course sponsored by SIFMA and The Wharton School, and earned a Bachelor’s degree from Saint Norbert College in De Pere, Wis., and a Masters of Business Administration degree from DePaul University in Chicago.
Sanford (Sandy) Bragg
Integrity Research Associates
Sanford (Sandy) Bragg is Principal of Integrity Research Associates LLC, an advisory firm founded in 2003 to analyze the global investment research industry. As editor of Integrity’s ResearchWatch service, his insights on the investment research industry are widely followed by both producers and consumers of investment research.
Mr. Bragg has over 20 years’ executive experience in the research industry. Prior to joining Integrity Research, he worked with private equity firms to acquire research firms and general information properties. He spent much of his career at Standard & Poor’s where he was Executive Managing Director responsible for S&P’s equity research and mutual fund information businesses. He started his career at Data Resources Inc (DRI), an economic research firm, where he was responsible for sales, marketing and product development.
Mr. Bragg has an MBA from New York University and BA from Williams College.
As a Principal of GTS, Reginald Browne oversees Transaction Services for the firm. Mr. Browne has been at the forefront of the ETF markets since 1996, and he has played a major role in developing the ETF industry by launching early ETF funds for nearly all ETF sponsors, and by engaging institutional clients globally.
A native Philadelphian, Mr. Browne earned a Bachelor of Science in Business Administration from La Salle University where he serves as chair of the university advancement committee. Mr. Browne currently serves as Chairman of the ETF Fund Board at American Century Investments in Kansas City, and he serves as Vice-Chairman of the Board at the Pennsylvania Academy of Fine Arts, and the New York City Boy Scouts Board of Directors. Mr. Browne has served on several industry committees related to equity market structure, regulations and client experience.
Head of Quantitative Trading Strategy, Americas
Brian Bulthuis is Head of Quantitative Trading Strategy, Americas at Instinet Incorporated. In this role, he leads a quantitative research team which provides advanced execution algorithms to investment managers and trading desks to enable them to access deep liquidity, achieve their strategic objectives and minimize market impact.
Prior to joining Instinet in 2017, Mr. Bulthuis worked at KCG Holdings Inc. where he led a quantitative research team. He spent four years managing the team while designing and enhancing electronic execution algorithms. Prior to joining KCG, Mr. Bulthuis spent four years at Knight Capital Group as a software engineer.
Mr. Bulthuis is a graduate of Columbia University where he has his BA and MS in Financial Engineering.
Chief Operating Officer & Executive Director of Global Sales
David Choate began his career with CAPIS in 1986 as an account executive. For over thirty years, he has been responsible for marketing to investment managers and fund sponsors in North America. Mr. Choate is now the chief operating officer and executive director of global sales on the executive committee. He received his Bachelor of Business Administration in finance from Stephen F. Austin State University and maintains Series 3, 4, 7, 8, 24, 53 and 63 licenses.
Head, Private Markets Group
Brian Cilento heads JonesTrading’s Private Markets Group. The Group trades private instruments for JonesTrading’s institutional network, and Private Equity, Venture Capital, and other private entities.
Mr.Cilento joined JonesTrading in 2019 as Product Sales Specialist. He has over two decades’ experience in buyside trading. He served as Head of Trading at Falcon Edge Capital, responsible for global execution for all products including equity, forex, credit, derivatives, and rates. Previously he held senior trading positions at Iridian Asset Management, Accipiter Capital, George Weiss, Pequot Capital, and Dawson Samberg.
Managing Director, Head of Market Structure for the Americas
Doug Clark is Managing Director, Head of Market Structure for the Americas for Credit Suisse. Prior to his role at Credit Suisse, Mr. Clark has held a variety of increasingly senior roles in Trading and Research for both bank and independent firms. He is a former chairman of both the Canadian Security Traders Association and the Security Traders Association, and sits on a variety of exchange and regulatory advisory panels.
Executive Vice President and Head of North American Market Services
Tal Cohen is Executive Vice President and Head of North American Market Services at Nasdaq. In this capacity, he is responsible for client relations and driving growth across cash equities, derivatives, commodities, clearing and trade management services across Nasdaq’s U.S. and Canadian businesses.
Prior to joining Nasdaq in April 2016 as the Senior Vice President of North American Equities, Mr. Cohen was the Chief Executive Officer of Chi‐X Global Holdings, LLC from 2010 to 2016. From 2008 to 2010, he served as CEO of Chi‐X Americas.
Prior to joining Chi-X, Mr. Cohen held several senior leadership roles at Instinet, including Senior Vice President of Business Development and Product Strategy, and Co‐head of electronic trading for North America, from 2005-2008. Before joining Instinet, he served as M&A Manager at American Express; building out its strategic investment portfolio. He started his career at Arthur Andersen as an Auditor and Senior Business Advisor focused on the Financial Services and Telecom industries.
From 2009-2016, Mr. Cohen served as a Director on the Investment Industry Regulatory Organization of Canada (IIROC) Board. He additionally served as a Director on the Canadian Depository for Securities (CDS) Board from 2013-2016.
Mr. Cohen holds a B.A. from SUNY Albany, an M.B.A. from New York University’s Stern School of Business, and is a Certified Public Accountant. He also holds FINRA Series 24, 7 and 63 licenses, the CSI Partners, Directors, and Senior Officers Designation (PDO).
Thomas (Chip) W. Coleman, Jr.
Director of Trading
Thompson, Siegel & Walmsley LLC
Chip Coleman is the Director of Trading and oversees the daily operations of the Trading Department at Thompson, Siegel & Walmsley LLC.
Mr. Coleman started his career in the investment industry in 1992. Prior to joining Thompson, Siegel & Walmsley in 2005, he worked as a Trader at Legg Mason Funds Management, Inc. and as a Registered Representative at T. Rowe Price Associates. Mr. Coleman is a graduate of Towson State University and received his MSF from the University of Baltimore. Mr. Coleman is currently registered with FINRA.
Murphy & McGonigle P.C.
Katherine Cooper is a shareholder at Murphy & McGonigle P.C. where she advises and represents clients in matters involving commodities, derivatives, futures, securities and cryptocurrencies. She previously served as the Chief Regulatory Officer of NYSE Liffe US and as a Senior Trial Attorney at the Commodity Futures Trading Commission. She received her Juris Doctor from the University of Virginia School of Law, and an M.A. in Philosophy and B.A. in Philosophy & Economics from Columbia University. Some of her publications are available at: www.blockchainlawcenter.com and www.commodity-corner.com.
Head of Market Structure and Underlying Market Making
Chicago Trading Company
Steve Crutchfield is Head of Market Structure and Underlying Market Making at Chicago Trading Company (CTC), a proprietary options market maker. CTC provides liquidity in exchange-traded derivatives in the U.S., Europe, and Hong Kong, both electronically and in open outcry, in asset classes including equity index and ETF options, single-name equities, fixed income options and futures, volatility, and commodities. Mr. Crutchfield also serves on the Cboe Global Markets Advisory Board and on the NYSE American Board of Directors.
Prior to joining CTC in 2016, Mr. Crutchfield served as Executive Vice President and Head of Options, Exchange-Traded Products, and Bonds at the New York Stock Exchange (an Intercontinental Exchange company), where he sat on the NYSE Management Committee and oversaw Amex and Arca Options, the Global Index Group, and the nation’s largest ETF/ETP listings business. He was also CEO and a member of the Board of Directors of NYSE Amex Options LLC, and sat on the Board of Directors of The Options Clearing Corporation.
Before joining NYSE, Mr. Crutchfield was Chief Operating Officer at Matlock Capital LLC, a proprietary options trading firm, where he supervised trading, quantitative research, and technology. Prior to joining Matlock, he was Managing Director of research and development at Botta Capital Management, an options market maker.
Mr. Crutchfield holds an MBA in Econometrics and Analytic Finance from the University of Chicago Booth School of Business, an MS in Computer Science from Stanford University, and a BS in Electrical Engineering from the Johns Hopkins University. He has been named one of the Crain’s New York Business “40 Under Forty”, and now lives in Chicago with his wife, daughter, and a small dog.
Chairman & Chief Executive Officer
MIAX Exchange Group
Thomas P. Gallagher is the Chairman and Chief Executive Officer of Miami International Holdings, Inc. (MIH) and each of MIH’s wholly owned subsidiaries – Miami International Securities Exchange, LLC (MIAX), MIAX PEARL, LLC (MIAX PEARL), MIAX Emerald, LLC (MIAX Emerald, and together with MIAX and MIAX PEARL, the MIAX Exchange Group), Miami International Technologies, LLC, and MIAX Global, LLC. MIH also owns a controlling interest in the Bermuda Stock Exchange (BSX).
As one of the principal founders of MIH, Mr. Gallagher has been leading the company since inception. He has been instrumental in sourcing the capital for MIH and assembling the seasoned industry professionals that comprise the current MIH team. Mr. Gallagher is also driving the building of a consortium of key users for the MIAX Exchange Group. He is a founding partner of the law firm Gallagher, Briody & Butler, a full-service corporate and securities law firm located in Princeton, NJ. Over the past 30 years, Mr. Gallagher has counseled numerous private and public companies on corporate and securities matters including debt and equity financings and transactional matters in a wide range of industries.
Mr. Gallagher currently serves as Chairman of the Council (Board of Directors) of the BSX, and is also a member of the Board of Directors of each of the Minneapolis Grain Exchange, Inc. and Ledger Holdings, Inc.
Chief Operating Officer
Jesse Greif is the Chief Operating Officer of OneChronos Markets, based in New York. In this capacity, he is responsible for ATS client and user relations, strategic development, market structure strategy, and broker-dealer operations.
Before joining OneChronos, Mr. Greif was Head of Product for Goldman Sachs Principal Liquidity Solutions, providing quantitative and institutional asset managers electronic access to Goldman’s internal capital through algorithm and routing offerings in the U.S. and abroad.
Before Principal Liquidity Solutions, Mr. Greif was global COO of Goldman’s Equities Systematic Market Making business and Co-head of Americas Equities Business Management group. His responsibilities included new business development, capital management of broker-dealer entities, and working with regulators and policymakers to further improve capital markets and liquidity formation across listed and OTC markets, particularly during comprehensive reform efforts under Dodd-Frank and related regulations.
Mr. Greif holds an MBA from The Wharton School at the University of Pennsylvania and a Bachelor’s degree in Behavioral Psychology from Northeastern University. He also holds FINRA Series 24, 57, 63, and 7 licenses.
Senior Vice President, Institutional Sales
Chris Halverson has 22 years of experience in financial services. In 1999, he began working for Capital Institutional Services, Inc. (CAPIS), a Dallas-based institutional broker/dealer. Prior to that, Mr. Halverson was a commodities trader at the Chicago Board of Trade, advising institutional accounts on hedging in the futures markets. He joined the DSTA Board in 2008, serving as President in 2014. As a Senior Vice President, he covers a wide variety of firms, including investment managers, banks, pension funds and consultants.
Mr. Halverson graduated with a bachelor’s degree in finance and economics at Spring Hill College in Mobile, Alabama. He married his wife, Julie, in 2007, and has two daughters, Lauren and Caroline. Away from work, he enjoys spending time with his family, traveling, snowboarding, golf and tennis.
Executive Vice President, Head of Markets Division
Cboe Global Markets
Bryan Harkins is Executive Vice President, Head of Markets Division at Cboe Global Markets, Inc. (Cboe), joining the firm in 2017 as part of the Bats Global Markets acquisition. Based in New York, he oversees the sales, product development and competitive strategy for the company’s U.S. equities, futures, options and global foreign exchange businesses, its suite of market data and access services products, as well as Cboe’s growing ETP listings business.
He joined Bats in 2014 when it acquired Direct Edge Holdings, creating the largest U.S. equities stock exchange operator (excluding auctions). As a founding employee and COO at Direct Edge, Harkins led the firm’s growth into one of the largest players in the U.S. equities market. He also was responsible for operations, product development, sales and the day-to-day activities of the EDGX and EDGA stock exchanges, which continue to operate under Cboe’s current equities franchise.
During his nearly 20 years in the electronic trading space, Mr. Harkins has held numerous technical, operational, product and senior sales positions. He has also received many accolades including selection to the 2014 Crain’s New York “Business 40 under Forty,” the 2013 NJBiz magazine “Forty Under 40,” the 2013 Silver Best in Biz award for Best Executive and the 2013 Business Intelligence Group award for Executive of the Year.
Mr. Harkins holds a Bachelor of Arts from the University of Notre Dame, an MBA from New York University’s Stern School of Business, and Series 7, 24, 55 and 63 licenses.
Head of Capital Markets
Michael Harris is the Head of Capital Markets for the Citadel Securities Designated Market Maker (DMM) business. In his role, he is responsible for growing Citadel Securities’ DMM business and building relationships among its corporate clients, pre-IPO investors, sponsors and IPO advisors.
Prior to joining Citadel Securities, Mr. Harris worked as a Managing Director at Morgan Stanley within its Investment Management Group. Previously, he was the Deputy Chief Investment Officer of the U.S. Department of the Treasury wherein he was responsible managing the disposition of assets related to the Troubled Asset Relief Program (TARP). During his earlier career Mr. Harris held a variety of senior level capital markets and advisory roles at UBS Securities, JPMorgan and Merrill Lynch.
Mr. Harris received bachelor’s degrees from Northwestern University in both economics and social policy. He is currently an independent Board Member of TriState Capital Holdings (NASDAQ: TSC).
Managing Director, Index Products
Peter Haynes joined TD Securities (TDSI) in June, 1995. Currently, he heads up TDSI’s Index Products team, a top ranked group responsible for index and market structure research. In addition, he handles relationship management for a few key Ontario-based institutional investors, and manages TD Securities Client Relations Committee. Previously at TDSI, Mr. Haynes was responsible for equity derivatives sales and portfolio trading.
Prior to joining TDSI, Mr. Haynes worked for one year in Montreal with Credit Lyonnais Canada, marketing global equity derivatives to Canadian investors. Before Credit Lyonnais, he started his career at the Toronto Stock Exchange, spending 6 years in their index and derivatives marketing department, involved in both retail and institutional efforts to develop the listed Canadian index products and equity derivatives business. He graduated from the University of Western Ontario in 1989 with a Bachelor of Arts in Economics. Mr. Haynes is a member of S&P’s US, Canadian and Global Index Advisory Panels.
Senior Vice President, Business and Product Development
Patrick Hickey is Senior Vice President, Business and Product Development, at OCC, the world’s largest equity derivatives clearing organization. He is responsible for OCC’s delivery of new exchange-traded products in U.S. options and futures, as well as furthering enhancements and initiatives on behalf of market participants.
Previously, Mr. Hickey was the Head of Market Structure for Optiver U.S., a global proprietary trading company, where he was the firm’s primary liaison to the financial industry, representing the firm strategically to exchanges, partners, and industry groups.
Mr. Hickey serves on the Nasdaq Futures Exchange (NFX) Business Conduct Committee and has served as a board director of the Nasdaq Exchange Board, and International Securities Exchange. He was elected to the Executive Committee of FIA Principal Traders Group (PTG) in June 2014. He has also been a member of the STA Listed Options Committee, the Nasdaq Futures Exchange (NFX) Market Advisory Committee, and the NYSE Arca Options Ethics and Business Conduct Committee.
Director of Equity Trading
Glenmede Investment Management
Melissa Hinmon is Director of Equity Trading for Glenmede Investment Management LP.
Prior to joining Glenmede, Ms. Hinmon was employed as a Trader at Turner Investments, Merrill Lynch and NatWest Markets. Her three decades of experience at buy-side and sell-side firms includes positions as a Senior Proprietary Trader, Quantitative Trader, and Customer Facilitation Trader. She began her career as a runner on the Midwest Stock Exchange.
Ms. Hinmon is Co-Chair of the NYSE Institutional Traders Advisory Committee. She is also the NYSE Arca, Inc. participant selection for the CTA/UTP Advisory Committee. She is also a member of the Nasdaq Quality of Markets Committee and the CBOE Institutional Advisory Committee.
Ms. Hinmon is a board member of the National Organization of Investment Professionals, serves on the advisory committee for Quorum 15 and is a member of the Investment Traders Association of Philadelphia. She is a regular featured speaker and panel participant at securities industry conferences.
Ms. Hinmon received the Rising Star Award by Traders Magazine, awarded that year to “high-impact women professionals who will continue to lead the industry in the next generation.” She was selected by an independent advisory council of women in the industry.
Away from the desk, Ms. Hinmon contributes time to charitable organizations and serves as a board member of Trellis for Tomorrow.
Managing Director – Business Development & Market Structure Strategy
Paul Jiganti is the Managing Director of Business Development & Market Structure Strategy of IMC, and is responsible for facilitating IMC’s options business expansion by building new partnerships and emerging into new areas. Prior to joining IMC in 2015, Mr. Jiganti worked as an independent market maker on the CBOE floor for 6 years and, over the next 16 years, worked in various roles at Susquehanna Investment Group including Associate Director in charge of the Chicago office. He spent a year as a consultant to NASDAQ before joining TD Ameritrade where he was Managing Director in charge of market structure and retail client advocacy from 2012-2015.
Today, Mr. Jiganti shares his business knowledge in various communities including, Member Representative Director MIAX and MIAX Emerald, chairing the Listed Options Market Structure Working Group and past chairman and current member of SIFMA Listed Options Committee, SIFMA Equities Markets and Trading Committee and serves on the CBOE Advisory Committee. Previously, he served on the Board of Directors of both the CBOE and Direct Edge, NASDAQ Quality of Markets Committee, FINRA’s Limit up Limit down Advisory Committee, as well as Co-Chaired CBOE’s PAC. Mr. Jiganti has an Economics degree from University of San Diego and is Series 7 and 24 licensed.
Executive Director, Product Management – Equity Clearing
Bill Kapogiannis is an Executive Director in the Equity Clearing Product Management Group at The Depository Trust & Clearing Corporation (DTCC). In this role, Bill is responsible for the day-to-day management of equity clearing activities and developing enhancements to The National Securities Clearing Corporation’s (NSCC) core clearing applications, including Automated Customer Account Transfer Service, Cost Basis Reporting Service, Exchange Traded Funds and Real-Time Trade Matching Service for Corporate and Municipal Bonds and Unit Investment Trusts.
Mr. Kapogiannis previously led the Equity Market Structure team with focus on trade capture processing to meet the ever-changing needs of the marketplace. Additionally, he was responsible for managing relationships with exchanges and other liquidity providers.
Mr. Kapogiannis joined NSCC in 1992 and has held various positions within Product Management, Marketing, Relationship Management and Operations during that time. Prior to joining NSCC, he held various positions in Operations at Dean Witter Reynolds.
Mr. Kapogiannis attended the State University of New York at Oneonta graduating with a B.S. degree in Business Economics. He also completed the Securities Industry Institute Wharton Business School program in 2009.
Chief Executive Officer
Jonathan Kellner joined Members Exchange (MEMX) in February 2019 as CEO and the company’s first employee with responsibilities for strategic vision, management and execution. Under his leadership, the company has grown to 50 people, received SEC approval to operate a U.S. equity exchange and, while working remotely, developed a simple, transparent and efficient market model with a goal of serving all investors. MEMX has raised more than $135 million since inception from a diverse and influential group of sell-side, buyside, retail and independent market participants.
Before joining MEMX, Mr. Kellner was CEO at Instinet Inc., leading a global team of 800 people for nearly five years at the institutional agency-only broker and independent equity trading arm owned by Nomura Holdings. He previously served as President for more than six years. Mr. Kellner spent a total of 15 years under the Nomura umbrella, including four years as Head of U.S. Sales Trading at the parent firm before moving to Instinet.
Previously, he held technology and equity trading roles at global financial services firms such as Charles Schwab and Morgan Stanley.
An avid sports fan and basketball player, Mr. Kellner holds a bachelor’s degree in mechanical engineering from the University of Michigan.
Global Head of Market Structure and Liquidity Strategy
Vlad Khandros is a Managing Director and Global Head of Market Structure and Liquidity Strategy at UBS. He is actively engaged in the Americas Cash strategy and investments in financial technology focused on equity trading. His oversight includes the Smart Order Router (SOR), Americas Cash Architecture, and the ATS team, which is currently the largest ATS as per FINRA. He also created and leads the global cross-asset Market Structure team.
Mr. Khandros works closely with exchanges, regulators, and policy makers around the world to help further improve capital markets. He represents UBS on numerous advisory committees, industry groups, and company boards including the CBOE Equity Advisory Committee, IEX Quality of Markets Committee, and SIFMA Equity Markets & Trading Committee. He is a founder and advisor to MEMX (Members Exchange). He is on the board of the UBS Americas Inc. Political Action Committee, and was previously a board member of BIDS Trading LP and Chi-X Global LLC.
Prior to joining UBS in 2011, he was Global Co-Head of Corporate Strategy at Liquidnet, working directly for the founder and CEO. There he was responsible for business development including M&A and strategic partnerships, global market structure and government relations.
Mr. Khandros serves on the board of Stay Pawsitive, Inc., an animal welfare charity, and Agahozo-Shalom Youth Village (ASYV), a youth village empowering orphans in Rwanda. He received the POTUS Volunteer Service Award from the President’s Council on Service and Civic Participation for his work with the American Red Cross.
He was the featured Rising Star of Finance in 2011 in Forbes Magazine’s 30 under 30, a Rising Star of Finance in 2017 in Business Insider’s 35 under 35, and is part of the Institute of International Finance’s Future Leaders Class of 2019.
Senior Policy Advisor for Regulatory Reporting
U.S. Securities and Exchange Commission
Manisha Kimmel serves as Senior Policy Advisor for Regulatory Reporting to Chairman Jay Clayton. In this role, Ms. Kimmel coordinates the SEC’s oversight of the self-regulatory organizations’ (SROs) creation and implementation of the Consolidated Audit Trail (CAT). Ms. Kimmel joined the SEC from Refinitiv, where she served as Head of Regulatory and Compliance, Wealth Management. In addition, Ms. Kimmel served as the chair of the Advisory Committee for CAT NMS LLC. She has previously been a member of the SEC’s Equity Market Structure Advisory Committee (EMSAC) where she chaired the Customer Issues Subcommittee. Prior to Refinitiv, Ms. Kimmel served as Managing Director of the Financial Information Forum, where she worked on issues involving regulatory and market data technology issues. She has also held positions at Jordan & Jordan and Automatic Data Processing.
Ms. Kimmel earned her B.S. in Economics from the Wharton School of Business at the University of Pennsylvania and her B.S. in Engineering from Penn’s School of Engineering and Applied Sciences.
Head of Institutional Equities
KeyBanc Capital Markets
Kevin Kruszenski is the Head of Institutional Equities for KeyBanc Capital Markets. His responsibilities include oversight of Key’s Sales and Trading teams, Equity Research, and Corporate Access offerings for our Institutional client base. With the acquisition of Pacific Crest Securities in late 2014, the Equities division covers more than 550 companies in the Consumer, Energy, Healthcare, Industrial, REIT and Technology sectors, and has over 170 employees with offices in Boston, Chicago, Cleveland, Dallas, Los Angeles, New York and Portland.
Before joining KBCM in 2002 as the Head of Trading, Mr. Kruszenski worked for Robertson Stephens in San Francisco as a position trader covering the Technology, REIT and Energy sectors. He previously held similar positions in New York City for Jefferies & Company and HSBC Securities. Mr. Kruszenski began his career as a market maker for Dempsey & Company on the floor of the Chicago Stock Exchange.
Mr. Kruszenski graduated from the University of Arizona in 1991 with a degree in Business Administration. He also holds Series 7, 9, 10, 24, 55, 63 and 79 licenses.
At Key, Mr. Kruszenski is involved with the Executive Council, KBCM Market Risk Management Committee, KBCM Credit Committee, KBCM Equity Underwriting Committee and helps manage the Key Bank Summer Intern Program. In addition, in 2017 he received the Ken Heath Award from the Security Traders Association, which honors those who make a notable and genuine contribution to the advancement of women in finance.
Theodore R. Lazo
General Counsel and Head of Market Structure
BIDS Trading, L.P.
T.R. Lazo is General Counsel and Head of Market Structure for BIDS Trading, L.P., an alternative trading system. In this role, Mr. Lazo manages legal and regulatory affairs for BIDS Trading and implements strategic goals of the company from a legal and compliance perspective.
Previously, he was Managing Director, Associate General Counsel, Equities at SIFMA, where he headed SIFMA’s equities activities, monitoring the impact of, and facilitating industry input on, equity trading and market structure issues. Prior to joining SIFMA, Mr. Lazo was a Senior Vice President of NYSE and the General Counsel of NYSE Regulation. Before joining NYSE, Mr. Lazo was an attorney in private practice in the Securities Industry and Capital Markets Regulation practice of Morgan, Lewis & Bockius LLP, where he counseled securities exchanges, market centers and broker-dealers on legal and regulatory matters. From 1997 to 2004, Mr. Lazo worked in the SEC’s Division of Trading and Markets, where he supervised equities and options exchange rule filing approvals and SEC rulemaking initiatives.
Greg Lee is a Managing Director at Paxos, focused on the Paxos Settlement Service, a first-of-its-kind blockchain settlement network for US Securities. Mr. Lee joined Paxos in 2019 from Barclays, where he was a Managing Director in Product Development and Platforms for Markets. He was responsible for coordinating the product development strategy of Markets, ensuring that new developments are efficiently aligned and adequately controlled across businesses and functions.
Previously, Mr. Lee oversaw Barclays Equities Electronic Trading sales and product development in Asia Pacific. He was responsible for Barclays’ technology investment in the Equities platform and was the Hong Kong responsible officer for electronic activities in Hong Kong. He joined Barclays in 2014 from Deutsche Bank where he was Head of Electronic Trading in Asia. He previously worked at UBS, Reuters and TIBCO Finance Technology. He holds a Bachelors’ degree in Information Technology from Charles Sturt University in Australia.
Sandor Lehoczky is a principal at Jane Street and oversees the firm’s Options business. He was a founder of the firm’s algorithmic and statistical equity trading and quantitative research departments, and helps manage firmwide risk and strategy.
Mr. Lehoczky is a former math Olympian and one of the authors of The Art of Problem Solving, a series of textbooks for high-level young math students. He also co-founded the Art of Problem Solving Initiative, a nonprofit focused on providing an on-ramp to the highest level of mathematics for talented underprivileged students. Publications including Atlantic Monthly and The New York Times covered the Initiative’s signature program, Bridge to Enter Advanced Mathematics.
Prior to joining Jane Street, Mr. Lehoczky traded index arbitrage in the tech space during the final years of the late-1990s Internet bubble, and he was an equity options trader on the floor of the CBOE. He also served for nearly a decade on the board of the Cathedral School of St. John the Divine, including six years as treasurer.
Mr. Lehoczky received an A.B. with honors in physics from Princeton University. He and his wife raise four kids in New York City, where he also coaches three youth soccer teams.
Deputy General Counsel & Chief Compliance Officer
Matt Levine is Deputy General Counsel and Chief Compliance Officer at Virtu Financial. He has been with Virtu and its predecessor firms since 2009. Mr. Levine began his career his career at the Manhattan District Attorney’s Office in 1991, has counseled clients in private practice, and has held legal and compliance positions at the NYSE, Citigroup and Merrill Lynch.
Mr. Levine graduated from SUNY Albany in 1988 and Albany Law School in 1991.
Managing Director for Futures and Forex
TD Ameritrade Futures and Forex, LLC
JB Mackenzie is the Managing Director, Futures and Forex at TD Ameritrade Futures and Forex, LLC and has been leading the futures business for the last five years. During his nine years at the firm, TD Ameritrade Futures & Forex LLC has become into one of the largest retail futures firms in the world. Mr. Mackenzie has been in the Futures industry for more than 18 years and has worked at firms such as MF Global, Penson GHCO and Goldenberg Hehmeyer where his focus was on trading software, operations and product development. He is an active member within the FIA where he serves on the FIA Market Technology Board and he serves on the NFA FCM Advisory Committee and on the 2020 FCM Nominating Subcommittee. He was selected to lead TD Ameritrade’s Asia Pacific business just over three years ago and has helped create entities in China, Hong Kong and Singapore.
Finally, Mr. Mackenzie has a Bachelor of Arts in Biology and Psychology from Middlebury College and a Master of Business Administration from the University of Notre Dame. He holds FINRA Series 3 and 34 U.S. securities industry licenses.
Government Affairs Specialist
Williams & Jensen, PLLC
Mahlet Makonnen is a Government Affairs Specialist at Williams & Jensen. She is an attorney with public and private sector experience in financial services, privacy, and cybersecurity issues.
Previously, Ms. Makonnen worked as Regulatory Affairs Counsel for the National Association of Federally-Insured Credit Unions (NAFCU) advocating on various regulatory developments from federal agencies, including the National Credit Union Administration, the Consumer Financial Protection Bureau, and the Federal Communications Commission. She advised financial institutions on a variety of regulatory and compliance issues as a NAFCU Certified Compliance Officer. In addition to her regulatory role, she 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 has published extensively on privacy, technology, and international law issues. She received her B.A. from Syracuse University and her J.D. from College of William & Mary.
Head of U.S. Equity Execution
Francisco Manual has more than 20 years’ experience in the financial service industry in various roles within equities and derivatives trading, both on the buy and sell side. He is currently Head of U.S. Equity Execution at MAN Group, where he has been since 2016. Prior to MAN, he was Managing Director, Institutional Equity/Derivatives Sales & Trading at Bay Crest Partners, LLC. He spent time in London working for J.P. Morgan and UBS as Vice-President, European Equity Trading and Director, European Equity Trading, respectively.
Mr. Manuel graduated from the University of Massachusetts at Amherst with a Bachelor of Arts, with a concentration in Economics. He holds FINRA Series 7, 55 and 63 licenses. Mr. Manuel currently serves as Chair of STA’s STAR, or STA Job Re-Entry Program.
Managing Director, Head of Sales Strategy & Operations
DASH Financial Technologies
Tommy Martin is responsible for leading DASH’s options market structure team, overseeing the firm’s sales-based operational processes and is the business owner of DASH’s options and equity OEMS, Blaze.
Prior to joining DASH in 2015, Mr. Martin was a Business Development Relationship Manager for the International Securities Exchange where he was responsible for growing the exchange’s membership community and market share through the education of matching engine microstructure behavior across industry business models and the growth of the firm’s EMS, PrecISE. He began his career as a Global Market Intelligence Analyst at IPREO. Tommy holds a B.A. in Finance and Marketing from Fordham University.
Chief Executive Officer
John McKenzie is the Chief Executive Officer (CEO) of TMX Group.
Mr. McKenzie is a member of the TMX Group Board of Directors and also a member of the Board of Directors of several TMX Group subsidiaries.
Prior to his appointment as CEO on August 17, 2020, Mr. McKenzie served as TMX Group Chief Financial Officer and was responsible for corporate strategy, corporate development, investor relations and the financial management of the company as well as for the administrative oversight of TMX Group’s Capital Formation business.
Working with TMX for over 20 years, Mr. McKenzie’s career has included senior roles within Corporate Strategy and Development and Corporate Finance. He has led financial and strategic planning efforts and managed various TMX acquisitions, including the Maple transaction, the acquisitions of Montréal Exchange and Trayport, as well as the resulting integration initiatives.
From July 2015 to August 2016, he served as President of CDS, Canada’s equity and fixed income clearing house and a wholly-owned subsidiary of TMX Group. Prior to that he was the Chief Operating Officer (COO) and CFO of CDS.
Mr. McKenzie is a Chartered Professional Accountant (CPA, CMA) and has an MBA from Edinburgh Business School, Heriot-Watt University and an Honours BA from Wilfrid Laurier University. He has served on a number of boards, and currently is a member of The Accounting Standards Oversight Council.
Head of Trading
Jack Miller is Baird’s Head of Trading. He oversees the execution function within the trading business including cash, program, electronic, and related services, and is responsible for driving Baird’s strategic investments in execution services and related technologies.
Mr. Miller began his career at an Internet-based enterprise software company before joining Baird’s research department in 2006 as an associate analyst covering the technology sector. He is a member of the Security Traders Association of Wisconsin, and serves on the STA’s Market Structure and Retail Advisory committees. He is also a member of the board of the Wisconsin Conservatory.
Mr. Miller earned a BA in Computer Science from Harvard University and is a CFA charterholder.
Global Head of Business Development
Jamil Nazarali is Global Head of Business Development for Citadel Securities. In this role, he is responsible for identifying opportunities for global growth and expansion across markets and into new, diverse product lines.
Prior to assuming his current role, Mr. Nazarali served as a Senior Advisor to Citadel Securities CEO Peng Zhao. Before that, he was Head of Execution Services, overseeing the firm’s client market-making offerings in equities and options. He joined Citadel Securities in 2011.
Mr. Nazarali previously was Global Head of Electronic Trading at Knight Capital Group, and earlier was a management consultant at both Ernst & Young and Bain & Company.
Mr. Nazarali is Chairman of the Board of Directors of Members Exchange (MEMX), a planned U.S. Equities Exchange of which Citadel Securities is a founding member. He also sits on the Board of Directors of Symphony, a messaging and collaboration platform, and on the Board of Advisors of The Small Exchange, a pending futures exchange targeted at retail investors. Mr. Nazarali also serves as an Advisor to DARPA’s Financial Markets Vulnerabilities Project.
Mr. Nazarali received an MBA with high honors from the University of Chicago and a bachelor’s degree from University of Western Ontario.
Williams & Jensen, PLLC
Joel Oswald is a principal at the law and lobbying firm, Williams & Jensen. He specializes in a 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.
Americas Head of Electronic Trading
Bank of America
Pankil Patel is Managing Director and Americas Head of Electronic Trading at Bank of America.
Based in New York, Mr. Patel is responsible for managing the Electronic Trading business for the Americas.
Prior to joining Bank of America Securities, Mr. Patel was the Co-Head of Advanced Execution Services at Credit Suisse where he spent 14 years building their electronic franchise. He began his career in Equity Derivatives at JP Morgan.
Mr. Patel graduated Rutgers College of Engineering, where he studied Electrical Engineering. He currently serves on the Board of Directors for Level ATS and the MEMX Exchange.
Head of Algorithmic Product Management for the Americas
Philip Pearson joined J.P. Morgan in 2019 as an Executive Director, Head of Algorithmic Product Management for the Americas. Based in New York, he is responsible for all equity trading strategies in the region. Prior to joining J.P. Morgan, Mr. Pearson spent 11 years at ITG. At ITG, he held various roles within algorithmic trading, including trading coverage, execution consulting, market structure, and ultimately Head of Product for Algorithmic Trading and Routing products. Mr. Pearson began his career at E*TRADE Capital Markets.
Mr. Pearson graduated from Colgate University with degrees in Economics and History, and is a CFA Charterholder since 2011.
Global Head of ETF Capital Markets
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.
Recruiter & HR Consultant
RRW Consulting Group
Ruth Rama-Witt started her career in talent resources in the early 1990’s when she joined her family’s California-based healthcare staffing company, and launched the New York operations. She spearheaded the international and domestic recruitment of nurses as well as the sales/business development end of the business.
After 12 years in the healthcare space, Ms. Rama-Witt pivoted into marketing roles for luxury brands Armani and COACH, developing strategic marketing and sales initiatives. In 2016, she launched her own staffing firm called ProHelpers, a boutique agency dedicated to placing domestic personnel to high net worth households.
In 2018, Ms. Rama-Witt was presented with the opportunity to join a team of recruiters serving the needs of clients across various industries, at all levels of administrative and HR support. The firm, CitiStaffing, was founded by in 2001— by veterans of the staffing industry with 40+ years of combined experiences. Ms. Rama-Witt runs a full cycle recruitment desk at CitiStaffing with a robust client roster comprised of firms in financial services, real estate, pharmaceutical/biotech, media, marketing/creative and select non-profit organizations.
In addition to recruiting for her corporate clients, she has a private practice that provides job searchers with HR advisement, career “relaunch” coaching and workshops through her own firm, RRW Consulting Group.
Head of Capital Markets
WisdomTree Asset Management
Anita Rausch is Head of the Capital Markets team. The Capital Markets group is involved in all aspects of WisdomTree ETFs including product development, seeding and bringing new products to market, and working with the client base on trading strategies and best execution strategies. Ms. Rausch is responsible for the relationships with the trading community and works with them to support the liquidity of the WisdomTree ETFs. Prior to joining WisdomTree, she was an Executive Director on the JP Morgan ETF trading desk where she facilitated trades for a wide subset of clients across all ETFs. Ms. Rausch started her career at Morgan Stanley and became an Executive Director on their ETF trading desk, in charge of the International ETF product. She is also a major contributor to both of David Abner’s books, The ETF Handbook (Wiley, 2010) and The Visual Guide to ETFs (Bloomberg, 2013).
Director, Division of Trading and Markets
U.S. Securities and Exchange Commission
Brett Redfearn was named the U.S. Securities and Exchange Commission’s Director of the Division of Trading and Markets in October 2017.
Mr. Redfearn joins the SEC from J.P. Morgan, where he was Global Head of Market Structure for the Corporate and Investment Bank.
Mr. Redfearn has a long history in the U.S. equity markets, having worked with investors, exchanges and broker-dealers. During his career, he has focused on how technology, regulation and business trends are changing trading patterns across asset classes and geographic regions. He has helped build electronic trading products, worked closely with exchanges and other trading venues as these products evolved, and engaged with global asset managers on major regulatory developments. He has also been a frequent contributor at policy forums surrounding U.S. equity markets, and has been an active participant at several meetings of the SEC’s Equity Market Structure Advisory Committee.
He has served as Chairman of SIFMA’s Equity Markets and Trading Committee and was a participant on the Security Traders Association (STA) Market Structure Analysts Committee and the Canadian STA (CSTA’s) Trading Issues Committee. Previously, Mr. Redfearn has served on the boards of Bats Global Markets, BATS Exchange, the National Organization of Investment Professionals, the Chicago Stock Exchange, and BIDS Trading.
Mr. Redfearn earned his M.A. in political science from the New School for Social Research and his B.A. from the Evergreen State College in Olympia, Washington.
Vice President, ETF Capital Markets
State Street Global Advisors
Kimberly Russell is a Vice President and Market Structure Specialist in the ETF Capital Markets Group at State Street Global Advisors. Based in New York, she is responsible for business development with exchanges, evaluating market structure and regulatory developments, and providing analysis on aspects of equity market structure that impact ETF liquidity.
Prior to joining State Street, Ms. Russell was a Director at Barclays Capital Inc., where she held various roles in the Equities division from 2008-2017. Ms. Russell started her career at Lehman Brothers as an investment banking intern in the Global Real Estate Group.
She holds a BA with Honors from Cornell University. She is a member of the Security Traders Association’s Market Structure Analyst Committee, Nasdaq’s Institutional Traders Advisory Council (ITAC), and Limit Up-Limit Down Advisory Committee. Outside of the securities industry, she serves as an officer of the Cornell Rowing Association’s Board of Trustees.
Vice President, Associate General Counsel
Fidelity Capital Markets
Krista Ryan is a Vice President, Associate General Counsel at Fidelity Investments where she leads legal support for Fidelity Capital Markets, the institutional trading arm of Fidelity. FCM offers a suite of electronic brokerage products and execution services across multiple asset classes, including equities, fixed income, options, and FOREX as well as prime brokerage, securities lending and municipal and bank issued brokered CD underwriting. In her current role, Ms. Ryan also supports Fidelity’s back office brokerage operations. She is a graduate of the University of Massachusetts and Brooklyn Law School.
Global Head of Commodities & Options Products
Derek Sammann has served as CME Group’s Senior Managing Director, Global Head of Commodities & Options Products since 2014. He is responsible for leading the development, execution and management of CME Group’s global Commodities portfolio, including the Energy, Metals and Agricultural business lines. He also globally leads the company’s cross-asset class Options business. Since joining CME Group in September 2006, Mr. Sammann also has served as Senior Managing Director of Interest Rates and FX Products, and as Managing Director, Global Head of Foreign Exchange.
Prior to joining CME Group, Mr. Sammann acquired more than 16 years of sell-side trading experience in the global FX market, including serving as Managing Director, Global Head of FX Options and Structured Products at Crédit Agricole Corporate & Investment Bank in London. He also held senior level positions with Crédit Agricole Indosuez in London, Banque Indosuez in Paris and Cooper, Neff & Associates in Chicago.
In addition to serving on CME Group’s Management Team, Mr. Sammann serves as a member of the Board of Directors of the following entities: the Dubai Mercantile Exchange, the COMEX Board of Governors and the Commodities Markets Council, where he also serves as Treasurer. Mr. Sammann also serves on the Shanghai Gold Exchange’s International Advisory Board, the Commodity Futures Trading Commission’s Energy and Environmental Markets Advisory Committee and the Security Traders Association’s Listed Options Committee.
He holds bachelor’s degrees in both economics and political science from Northwestern University.
President, Equity Trading
As President, Equity Trading, Kevin Sampson leads the trading businesses of Canada’s premier equity Exchanges, Toronto Stock Exchange (TSX), TSX Venture Exchange and TSX Alpha Exchange, and is a member of TMX’s Executive Operating Committee. His responsibilities include developing and evolving an integrated strategy, creating new innovative products and services, and overseeing the business development activities for TMX’s entire equity trading business. In addition, he is accountable for the reliable operations of TMX’s equities marketplaces.
Mr. Sampson joined TMX Group in 2006 and has held various leadership positions across multiple facets of the equities division, including business development, strategy, and product management. Prior to working for TMX, he spent seven years at SS&C Technologies, where he held senior positions in product management and relationship management. Mr. Sampson has been an active contributor to constructive dialogue regarding market structure and policy issues in Canada over the years, including as a member of the OSC Market Structure Advisory Committee and IIROC’s Market Rules Advisory Committee (MRAC).
Co-Founder & Chief Executive Officer
Nico Sand is Co-Founder and CEO of Zanbato. Mr. Sand is a serial entrepreneur with experience founding and growing several businesses in his native Norway and the United States.
Mr. Sand was introduced to fintech through work on a portfolio optimization technology called Wealth$im, where he helped develop a simulation engine capable of manufacturing realistic return scenarios across a broad range of asset classes. Prior to Wealth$im, he built and ran a food retail business in Norway.
Mr. Sand holds both a Master of Science and Bachelor of Science in Management Science & Engineering from Stanford University, where he graduated Tau Beta Pi with distinction.
Global Head of Investment Analytics
Vicky Sanders is the Global Head of Investment Analytics. She is responsible for overseeing Liquidnet’s next-generation analytics solution powered by AI machine learning and NLP that centralizes market data, alt data, research, and other inputs into one system.
Ms. Sanders co-founded RSRCHXchange in 2014 as an aggregator and marketplace for institutional research, a disruptive market-focused technology company. In May 2019, RSRCHXchange was acquired by Liquidnet. The award-winning RSRCHX platform is used by more than 1,200 buy side firms and over 400 banks, brokers and independent research providers better consume and distribute research. Ms. Sanders was named to the FN100 Most Influential Women in European Finance in 2019.
Prior to setting up RSRCHXchange in 2014, Ms. Sanders was an Executive Director at Goldman Sachs in the Equity Sales division. She began her career at Merrill Lynch in London, where she worked in Global and European equity sales. Originally from Boston, she graduated cum laude from Harvard University in 2005, with a degree in economics.
Managing Director & Partner
Justin Schack heads Rosenblatt’s Market Structure Analysis group, which provides asset managers, exchange groups, proprietary trading firms, regulators and other clients with in-depth intelligence on global market structure and the exchange industry. Prior to joining Rosenblatt in February 2008, Mr. Schack spent 14 years as a financial and public-affairs journalist, most recently as Assistant Managing Editor of Institutional Investor, where he authored more than 20 cover stories in eight years on the magazine’s staff. He is a frequent conference speaker and widely quoted as an expert by major media outlets. In 2014 The Trade magazine named him to its list of the decade’s 100 most influential people in buy-side trading. Mr. Schack also has served on the Market Structure Advisory Committee of the Toronto Stock Exchange and TSX Venture Exchange, testified before the US Securities and Exchange Commission and prepared US Congressional testimony on market-structure issues. His work in journalism has been recognized with awards from the National Press Club, the Society of Professional Journalists and the American Society of Business Publication Editors. He holds a BA in history from Seton Hall University and an MA in history from the University of Connecticut.
Executive Vice President, Head of Global Equity Trading
Eden Simmer is an Executive Vice President and heads up the global equity trading desk based out of New York City. Prior to joining PIMCO in 2010, she was a trader focusing on equities, foreign exchange and preferred securities for Deutsche Bank Asset Management. Previously, Ms. Simmer was a foreign exchange and derivatives trading associate at ABN AMRO. She has 14 years of investment experience and holds an MBA from Columbia Business School and undergraduate degrees in finance and economics as well as an international business certificate from the University of Iowa.
Jill Sommers puts her decades of experience in futures, options, swaps, and exchange issues to work advising clients on how to navigate the regulatory regime in place at the CFTC as a result of the Dodd-Frank Act. Her work spans CFTC Title VII rulemakings, swaps rules, position limits, and end-user and commodity pool operator issues. Based on her experience as a CFTC Commissioner, Ms. Sommers also advises companies on how to work with regulators to promote a more efficient, workable regulatory regime.
Ms. Sommers was nominated by both President George W. Bush and President Barack Obama, confirmed twice by the United States Senate and served two consecutive terms as a Commissioner of the Commodity Futures Trading Commission. She ended her six years of service on July 8, 2013.
During her time at the agency, Commissioner Sommers was a consistent advocate for common sense regulation that included a thorough cost benefit analysis. In November of 2011, Sommers was named senior Commissioner with respect to MF Global matters, including overseeing the enforcement division’s investigation and ultimate filing of charges against both the companies as well as senior MF Global executives. Commissioner Sommers served as Chairman and Designated Federal Official of the Commission’s Global Markets Advisory Committee (GMAC), which discussed the regulatory challenges of a global marketplace.
She also had the opportunity to represent the United States throughout the world working with regulators from over 100 countries as the Commission Representative to the Technical Committee meetings of the International Organization of Securities Commissions (IOSCO).
Ms. Sommers has worked in a variety of capacities within the derivatives industry throughout her career, including as Policy Director and Head of Government Affairs for the International Swaps and Derivatives Association (ISDA) and Managing Director of Regulatory Affairs for the Chicago Mercantile Exchange.
A native of Kansas, Ms. Sommers graduated from the University of Kansas and started her career in Washington in 1991 working for Senator Robert J. Dole (R-KS). She has continued her engagement with Members of Congress and federal regulators on a variety of financial and commodity industry issues over the past twenty-five years.
Currently, she serves as a member of the Board of Directors for Cboe Markets, Cboe Futures Exchange and SEF, a Director on the Ethics Research Board, a member of the Advisory Board of Green Key Technologies, and a member of the board of Everybody Wins! DC.
Peter D. Stutsman
Head of Equity Trading
Peter D. Stutsman is head of equity trading at Capital Group. He has been with Capital Group for 20 years. Earlier in his career at Capital, he was a senior equity trader. Prior to joining Capital, Mr. Stutsman was a sales trader with S.G. Securities in Asia. He holds a bachelor’s degree in liberal arts from the University of Texas, Austin.
Head of Fixed Income Market Structure & E-Trading
Bank of America
Sonali Das Theisen is head of Fixed Income Market Structure and E-Trading at Bank of America. Ms. Theisen oversees FICC electronic trading initiatives, working with senior management and the bank’s largest clients to drive new business opportunities. She plays a key role in driving the firm’s strategy in LIBOR transition, data intelligence, client connectivity, fintech investments and Fixed Income ETFs.
In the US, Ms. Theisen was appointed by the Securities and Exchange Commission (SEC) in 2018 to serve on the Fixed Income Market Structure Committee (FIMSAC), as the only representative selected from a global bank. In 2019, she became the firm’s representative on the Federal Reserve Board’s Alternative Reference Rate Committee (ARRC). In Europe, Ms. Theisen served as the Chair of the Secondary Markets Practices Committee of the International Capital Markets Association (ICMA) from 2016 to 2019.
Ms. Theisen is passionate about collaborating with market participants, regulators, policy makers, and trading venues to promote responsible evolution of Fixed Income markets. Over the course of her career, she has written data-driven comment letters on proposed legislation such as MiFID II and Dodd-Frank, as well as presented analysis on market liquidity in several regulatory and policy forums. She speaks regularly at industry conferences, and is frequently cited in the Wall Street Journal, Financial Times, Risk Magazine, Bloomberg News, Markets Media, and Business Insider.
Prior to joining Bank of America in 2018, Ms. Theisen spent five years at Citi as Global Head of Market Structure and Data Strategy for Credit and Securitized Products. Prior to that, she was head of Credit E-Trading at Barclays. She began her career as a CDS trader at Goldman Sachs, and has also held positions at Bear Stearns and Bloomberg.
Ms. Theisen graduated cum laude from Harvard in 2000 with a Bachelor’s degree in Economics and Citation in Spanish, where she played Division I Varsity Water Polo. She graduated Valedictorian of Ramsey High School as well as from the American College of Musicians National Guild of Piano in 1996. Ms. Theisen currently serves on the board of the Lulu & Leo Fund, a creative education non-profit which helps children and families develop creative confidence. She resides in Manhattan with her husband and two children.
President & CEO
Security Traders Association
Jim Toes is President and CEO of the Security Traders Association (STA), a grassroots trade organization which serves individuals employed in the financial services industry.
In his role, Mr. Toes maintains STA’s relationship with U.S. regulators and congressional policymakers. Since assuming his role in 2011, STA has written more than fifty (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; 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 under STA’s Monthly Newsletter; Taking Stock and Lighthouse columns. Using a combination of data; personal experiences and humor, these articles resonate well with individual members and align with one of STA’s core principles, the relationship matters.
Mr. Toes has over 30 years’ experience in the securities business. 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 in equity and options sales, trading and clearing while interacting with a broad range of clients that included – institutional and middle market asset managers; broker-dealers; and retail investors. Over the course of his career, Mr. Toes has served on various best execution and market structure committees and has testified before Congress. He was particularly active in the STA’s successful work on Section 31a fees.
Besides possessing a knowledge of market structure and the business models deployed across the industry, as a past President of the Security Traders Association of New York and a former Governor and Secretary of STA Mr. Toes brings has an 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.
Vice Chairman and Chief Commercial Officer
John Tuttle is Vice Chairman and Chief Commercial Officer for NYSE Group, a wholly owned subsidiary of Intercontinental Exchange, Inc. (NYSE: ICE).
As member of the senior leadership team, Mr. Tuttle leads the commercial outreach and business development of NYSE Group. In this role, he oversees NYSE’s Global Listings, Capital Markets, and Exchange Traded Products businesses and is responsible for managing the Exchange’s relationships with more than 2,300 NYSE-listed companies and overseeing the creation of new offerings in emerging and growing sectors of the economy.
Since joining NYSE in 2007, Mr. Tuttle has served in a succession of roles including Chief Operating Officer, Global Head of Listings, Chief of Staff, Head of Corporate Affairs, and as Managing Director of Global Affairs and Government Relations for NYSE Euronext, then-parent company of the New York Stock Exchange as well as five other financial exchanges in Europe. Prior to joining the organization, Mr. Tuttle held various roles in the United States Government, including at the United States Department of State and at the White House.
Mr. Tuttle holds a MBA from the University of Notre Dame and BBA from Eastern Michigan University.
Managing Director, Co-Head of Electronic Trading
Joe Wald is responsible for BMO’s Electronic Trading vision and strategic direction. He identifies and executes on growth opportunities and shares responsibility for the overall growth and success of the electronic division. He has a proven track record, years of industry experience, thought leadership, and public speaking. Prior to the sale of Clearpool Group to BMO Capital Markets, Mr. Wald was the CEO and Co-Founder. He was executive vice president at GAIN Capital where he ran GTX, the institutional electronic FX trading business. Before Gain, he was managing director and head of Knight Direct, Knight Capital Group’s institutional electronic trade execution business. Before Knight Capital, he was CEO and co-founder of EdgeTrade Inc., the pioneer developer of agency-only, liquidity seeking algorithms and direct market access technologies for the U.S. equities market. EdgeTrade was sold to Knight Capital Group in 2008. Mr. Wald holds a B.S. in Business, Management and Finance from Brooklyn College.
Chief Operating Officer
Jason Wallach serves as Chief Operating Officer of CODA Markets, Inc., as well as the firm’s parent and technology provider, PDQ Enterprises, LLC. CODA Markets is a FINRA-registered broker dealer and operator of the CODA ATS, an equity marketplace empowered by the industry’s only on-demand auction market structure.
Mr. Wallach is responsible for overseeing day-to-day operations of the firms. Additionally, he maintains active roles on several internal teams, including the firms’ product development, sales and strategic efforts. Mr. Wallach has been with PDQ since its founding and helped spinout the company from his previous employer, ExchangeLab International, Inc., a fintech intellectual property development company.
Williams & Jensen, PLLC
Chris Wilcox got his start on Capitol Hill in the office of Sen. Daniel Patrick Moynihan (D-NY) and later served as Legislative Counsel and staff to Rep. Michael Arcuri (D-NY) on the House Rules Committee during the previous Democratic majority in the House. Most recently, he was Legislative Director and Counsel to Congresswoman Val Demings (D-FL), where he was responsible for matters before the Homeland Security and Judiciary Committees. Between tours working in Congress, Mr. Wilcox served 5 years as a senior advisor to Gov. Andrew Cuomo (D-NY) for issues including homeland security, cybersecurity, defense and on Native American affairs. He remains closely involved in political campaigns, and currently assists and advises a number of Congressional reelection campaigns.
As a Principal at Williams & Jensen, Mr. Wilcox assists clients across a number of industries achieve their policy objectives and maintain relationships with members and staff of the Blue Dog Coalition, the New Democrat Coalition, the Congressional Black Caucus, and the National Governor’s Association.
Mr. Wilcox holds a B.S. in Mathematics and Government from St. Lawrence University, a Master of Public Policy from the University of Michigan, and a J.D. from Albany Law School in New York. He is a member of the bar in New York, Massachusetts and District of Columbia.
J. Slade Winchester
Citigroup Global Markets
Slade Winchester is a Director at Citigroup Global Markets, Inc. He has over 30 years’ experience in the U.S. listed options market. Mr. Winchester has held various roles within Citi including Head of Single Stock Option Market Making, running the customer facing option router, running the institutional electronic option business for CGMI, overseeing option market structure and being responsible for numerous highly visible regulatory projects for CGMI, including CAT.
Mr. Winchester serves on the CBOE Option Advisory Board, is Chairman of the STA Listed Options Committee and Vice Chairman of the Listed Options Market Structure Working Group (STA, SIFMA, Exchanges and the SEC). Prior to joining Citi, he was an independent Market Maker on the Cboe for 10 years.
Vice President, Securities Finance
Matt Wolfe is Vice President, Securities Finance, for OCC, the world’s largest equity derivatives clearing organization.
In his current role, Mr. Wolfe is focused upon strategic initiatives for OCC’s clearing services. He was a principal designer of the technology, legal, and operational framework used to support clearing of OCC’s Market Loan program. Mr. Wolfe also is responsible for defining OCC’s enhanced stock loan program, which includes additional guarantees and opportunities for broker dealers, expanded access for banks and other agent lenders, and support for clearing of additional types of securities financing products. Previously, he managed and worked with the team responsible for launching new options and futures products and services for participant exchanges, new exchanges, and other entities for which OCC provides central counterparty clearance and settlement services, as well as with internal teams for enhancing OCC’s clearance capabilities. Mr. Wolfe joined OCC in 2000 as a Specialist in Collateral Services.
Mr. Wolfe received a Master’s in Financial Markets from the Illinois Institute of Technology, a B.S. in Economics from the University of Wisconsin-Madison and is a graduate of the Securities Industry Institute at the Wharton School of Business.
Douglas M. Yones
Head of Exchange Traded Products
New York Stock Exchange
Douglas Yones is currently the Head of Exchange Traded Products at the New York Stock Exchange, where he oversees the team responsible for the delivery of customized, full service end-to-end capabilities for ETP and Closed End Fund Issuers. From the moment an asset manager begins developing their product, the team at NYSE can help to drive product and index development, regulatory guidance and legal support, an unparalleled listing day experience, and long term enhancement of product growth and distribution alongside superior market quality and liquidity.
Prior to joining the NYSE, Mr. Yones spent 17 years at The Vanguard Group, most recently as the Head of Domestic Equity Indexing/ETF Product Management. From 2007 through 2015, he worked on the development and launch of numerous ETFs in the U.S., U.K., and Canada. He also spent a number of years in Hong Kong, responsible for the development and launch of the regional ETF business for Vanguard in Asia.
Mr. Yones holds the Chartered Financial Consultant (ChFC®) designation with the American College, an M.B.A from Villanova University, an undergraduate degree from the Pennsylvania State University, and is a registered General Securities Principal with FINRA.
General Counsel and Corporate Secretary
OTC Markets Group
Dan Zinn is OTC Markets Group General Counsel and Corporate Secretary. He leads the company’s regulatory and policy making efforts and is often a speaker on over-the-counter equity markets. Prior to joining OTC Markets Group in 2010, he served as outside counsel to OTC Markets, as a partner at The Nelson Law Firm LLC. Previously, Mr. Zinn worked in the corporate office of AIG. He earned his JD at the Benjamin N. Cardozo School of Law and received his BS from Pennsylvania State University.