SIFMA Annual Meeting 2013

Andrew Alter is Managing Director and Head of Capital Markets Legal, Americas, for BNP Paribas. From 2005 – mid-2008, he was Global Head of the New Business Group and later Head of Legal Risk Assessment for UBS Investment Bank; and from 1990-2005, Andy was at Citigroup (successor to Salomon Brothers and Salomon Smith Barney), most recently as Co-Head of Legal for Fixed Income & Derivatives. During his career, he has advised on both regulatory and compliance matters, as well as on transaction execution and operations in connection with a wide range of equity, fixed income, derivatives commodities and loan trading businesses. Andy has served a number of boards and committees of industry trade organizations, including SIFMA (including its predecessors, SIA and BMA), EMTA, ISDA, the Financial Markets Lawyers Group and the Global Documentation Steering Committee.

Andy received a BS in Molecular Biophysics & Biochemistry from Yale College and a JD from Harvard Law School.

Susan F. Axelrod is Executive Vice President of Regulatory Operations. In this capacity she oversees Enforcement, the Office of Fraud Detection and Market Intelligence, and Member Regulation. 

Before being named to her current role, Ms. Axelrod was Executive Vice President and head of Member Regulation—Sales Practice, with responsibility for ongoing surveillance and examinations, both routine and investigative, of FINRA-regulated securities firms. She was appointed to this position in July 2010. 

Previously, Ms. Axelrod was FINRA Senior Vice President and Deputy of Regulatory Operations. Her responsibilities included assisting in the oversight of the Market Regulation, Enforcement and Member Regulation functions at FINRA. She also played a key role in the integration of NASD and NYSE Member Regulation. 

Prior to joining FINRA in 2007, Ms. Axelrod was Chief of Staff to the CEO of NYSE Regulation for three years. In this position, her responsibilities included overseeing operations on a day-to-day basis and acting as a liaison with various business areas including finance, human resources, government relations and communications. 

Ms. Axelrod joined the NYSE in 1989 as a Staff Attorney in the division of enforcement and became an Enforcement Director in 1997. Among the cases she handled were those involving specialist and floor broker misconduct, insider trading, upstairs trading, sales practice violations, and financial and operational compliance issues. She received her J.D. from the Hofstra University School of Law in 1989 and her B.A. from Emory University in 1986.

Donald Bendernagel is a Managing Director and Legal Counsel and has been with Citi since 1991. He heads up a team of lawyers in New York that cover equities trading, credit trading, emerging markets and structured rate products as well as a group of lawyers in Latin America that cover derivatives.. He is also playing a leading role in Citi's advocacy and implementation efforts in response to the derivative regulations and Volcker rule under Dodd Frank. Prior to Citi, Mr. Bendernagel practiced law at Cleary, Gottlieb, Steen & Hamilton and clerked in the federal District Court in the District of Delaware.

Mr. Bendernagel received a J.D. from New York University School of Law in 1982.

Mr. Bentsen is President of SIFMA. Previously, Mr. Bentsen served as the Executive Vice President of Public Policy and Advocacy for SIFMA, responsible for SIFMA's legal, regulatory, and legislative affairs and advocacy initiatives.

Prior to joining SIFMA, Mr. Bentsen was president of the Equipment Leasing and Finance Association (ELFA), where he led the 700-member financial services trade association representing commercial and investment banks, financial services companies and manufacturers in the commercial finance sector. In that role he developed and implemented a new strategic direction for this principal industry association. From 2003 to 2006, Mr. Bentsen was a Managing Director at Public Strategies, Inc. where he was a strategic and management consultant principally to the firm's financial services clients.

From 1995 to 2003, Mr. Bentsen served as a Member of the United States House of Representatives from Texas, where he sat on the House Financial Services Committee (and its predecessor House Banking and Financial Services Committee), and separately on the House Budget Committee. Mr. Bentsen was an active participant in the drafting and enactment of the Sarbanes-Oxley Act, the Gramm-Leach-Bliley Act, the Terrorism Risk Insurance Act and the Commodities Futures Modernization Act. During his tenure in the Congress, he played an active role in legislation and oversight of regulations affecting bank and thrift charters, federal deposit insurance, securities law, derivatives, and the federal government sponsored enterprises (Fannie Mae, Freddie Mac, and the FHLB system). Mr. Bentsen was also instrumental in the passage of the landmark Balanced Budget Act of 1997, particularly with respect to health care policy.

Prior to his service in Congress, Mr. Bentsen was an investment banker at both a major Wall Street firm and a large regional firm, where he specialized in municipal and mortgage finance.

Mr. Bentsen holds a B.A. from the University of St. Thomas and an M.P.A. from American University.

Lloyd Blankfein has been the Chairman and Chief Executive Officer of The Goldman Sachs Group, Inc. since June 2006, and a Director since April 2003. He serves as a member of Goldman Sachs’ Management Committee and Board of Directors. Previously, he had been the firm’s President and Chief Operating Officer and prior to that, from April 2002 until January 2004, he was a Vice Chairman of Goldman Sachs, with management responsibility for Goldman Sachs’ Fixed Income, Currency and Commodities Division (FICC) and Equities Division. Prior to becoming a Vice Chairman, he had served as Co-Head of FICC since its formation in 1997. From 1994 to 1997, he headed or co-headed the Currency and Commodities Division. Lloyd Blankfein is not currently on the board of any public company other than Goldman Sachs. He is affiliated with certain nonprofit organizations, including as a member of the Dean’s Advisory Board at Harvard Law School, the Board of Dean’s Advisors of Harvard Business School, the Dean’s Council of Harvard University, the Advisory Board of the Tsinghua University School of Economics and Management, the Board of Overseers of Weill Cornell Medical College and the board of the Partnership for New York City.

Nevis Bregasi is Senior Counsel at MFS Investment Management. Ms. Bregasi is generally responsible for supporting MFS' derivative activities and the counterparty risk associated with all investment activities. Among the areas she covers are swaps, foreign exchange transactions, commodity investments and repurchase agreements. Ms. Bregasi is also the acting Vice-Chair of the Securities Industry and the Financial Market Association (SIFMA) Asset Management Group's Derivatives Committee.

Ms. Bregasi joined MFS in September 2007. Before joining MFS, she worked in the Bankruptcy and Commercial Law Department at WilmerHale's Boston office and in the International Markets and Bankruptcy Departments at Allen & Overy's New York office.

Ms. Bregasi received her law degree from Harvard Law School.

Jeb Bush is the 43rd governor of the state of Florida, serving from 1999–2006. He was the third Republican elected to the state's highest office and the only Republican in the state's history to be reelected. In addition, Bush served as Florida's Secretary of Commerce under Bob Martinez, Florida's 40th governor. He co-authored Profiles in Character, a book profiling 14 of Florida's civic heroes – people making a difference without claiming a single news headline. Currently, Governor Bush is the President of the consulting firm Jeb Bush and Associates and a Senior Advisor to Barclays. He is the Founder and Chairman of the Foundation for Excellence in Education, the Foundation of Florida's Future and Chairman of the Board of Trustees for the National Constitution Center. He and his wife Columba live in Miami and have three grown children.

Kent Christian is President of Wells Fargo Advisors Financial Network. Kent spent the majority of his professional career at Bank of America Corp., serving in various leadership and management capacities in capital markets, retail securities and private banking for the company and its predecessors. He then moved on to become executive vice president of Sales and Marketing for PlanMember Financial Corporation in Santa Barbara, Calif. Kent then delved into the independent brokerage space as national sales director at Raymond James Financial in St. Petersburg, Fla., where he managed the activities of more than 4,300 independent advisors nationwide.

In 2005, he joined Wachovia Securities (now Wells Fargo Advisors) to serve as president of the firm's Independent Brokerage Group, and, four years later, he was hired to lead the Financial Services Group.Kent is a graduate of Duke University with a degree in Economics and holds Series 7, 24, 53 and 63 registrations.

Kent is a board member for the United Way of Greater St. Louis,as well as on the executive committee and board of directors for the Securities Industry and Financial Markets Association (SIFMA). He is also affiliated with Wells Fargo Advisors' Diversity and Inclusion Council.

Henry Cisneros co-chairs the Bipartisan Policy Center's (BPC) Housing Commission and BPC's Immigration Task Force. He is Executive Chairman of the CityView companies, which work with urban homebuilders to create homes priced within the range of average families. CityView is a partner in building more than 60 communities in 13 states, incorporating more than 7,000 homes with a home value of over $2 billion.

Mr. Cisneros' community-building career began at the local level. After serving three terms as a City Councilmember, in 1981, Mr. Cisneros became the first Hispanic-American mayor of a major U.S. city, San Antonio, Texas. During his four terms as Mayor, he helped rebuild the city's economic base and spurred the creation of jobs through massive infrastructure and downtown improvements. In 1984, Mr. Cisneros was interviewed by the Democratic Presidential nominee as a possible candidate for Vice President of the United States and in 1986 was selected as the "Outstanding Mayor" in the nation byCity and State Magazine.

After completing four terms as Mayor, Mr. Cisneros formed Cisneros Asset Management Company, a fixed income management firm operating nationally and ranked at the time as the second fastest growing money manager in the nation.

In 1992, President Clinton appointed Mr. Cisneros to be Secretary of the U.S. Department of Housing and Urban Development. As a member of President Clinton's Cabinet, Secretary Cisneros was credited with initiating the revitalization of many of the nation's public housing developments and with formulating policies which contributed to achieving the nation's highest ever homeownership rate. In his role as the President's chief representative to the nation's cities, Mr. Cisneros personally worked in more than 200 U.S. cities in every one of the 50 states.

After leaving HUD in 1997, Mr. Cisneros was president and chief operating officer of Univision Communications, the Spanish-language broadcaster which has become the fifth-most-watched television network in the nation. Mr. Cisneros currently serves on Univision's Board of Directors.

Mr. Cisneros has served as President of the National League of Cities, as Deputy Chair of the Federal Reserve Bank of Dallas and is currently an officer of Habitat for Humanity International. Mr. Cisneros remains active in San Antonio's leadership where he is Chairman of the San Antonio Economic Development Foundation. He is currently a member of the advisory boards of the Bill and Melinda Gates Foundation and the Broad Foundation.

Mr. Cisneros has been inducted into the National Association of Homebuilders (NAHB) "Builders Hall of Fame" and honored by the National Housing Conference as the "Housing Person of the Year."

Mr. Cisneros has also been author or editor of several books including: Interwoven Destinies: Cities and the Nation. His book project with former HUD Secretary Jack Kemp, Opportunity and Progress: A Bipartisan Platform for National Housing Policy, was presented the Common Purpose Award for demonstrating the potential of bipartisan cooperation and Casa y Comunidad: Latino Home and Neighborhood Design was awarded the Benjamin Franklin Silver Medal in the category of best business book of 2006.

Mr. Cisneros holds a Bachelor of Arts and a Master's degree in Urban and Regional Planning from Texas A&M University. He earned a Master's degree in Public Administration from Harvard University, studied urban economics at the Massachusetts Institute of Technology, holds a Doctorate in Public Administration from George Washington University, and has been awarded more than 20 honorary doctorates from leading universities. He served as an infantry officer in the United States Army. Mr. Cisneros is married to Mary Alice P. Cisneros, who from 2007-2011 served on San Antonio's City Council and they have three children - Teresa, Mercedes, and John Paul - and four grandchildren.

William Jefferson Clinton, the first Democratic president in six decades to be elected twice, led the U.S. to the longest economic expansion in American history, including the creation of more than 22 million jobs.

After leaving the White House, President Clinton established the William J. Clinton Foundation with the mission to improve global health, strengthen economies, promote healthier childhoods, and protect the environment by fostering partnerships among governments, businesses, nongovernmental organizations (NGOs), and private citizens to turn good intentions into measurable results. Today the Foundation has staff and volunteers around the world working to improve lives through several initiatives, including the Clinton Health Access Initiative, which is helping 4.5 million people living with HIV/AIDS access lifesaving drugs.

The Clinton Climate Initiative, the Clinton Development Initiative, and the Clinton Giustra Sustainable Growth Initiative – are applying a business-oriented approach to fight climate change worldwide and to promote sustainable economic growth in Africa and Latin America. In the U.S., the Foundation is working to combat the alarming rise in childhood obesity through the Alliance for a Healthier Generation, and is helping individuals and families succeed and to increase small business growth in underserved communities through the Clinton Economic Opportunity Initiative. Established in 2005, the Clinton Global Initiative brings together global leaders to devise and implement innovative solutions to some of the world's most pressing issues. So far, more than 2,100 Clinton Global Initiative commitments have improved the lives of 400 million people in 180 nations.

In addition to his Foundation work, President Clinton has joined with former President George H.W. Bush three times – after the 2004 tsunami in South Asia, Hurricane Katrina in 2005, and Hurricane Ike in 2008, and with President George W. Bush in Haiti in the aftermath of the 2010 earthquake. The Clinton Foundation also supports economic growth, job creation, and sustainability in Haiti.

President Clinton was born on August 19, 1946, in Hope, Arkansas. He and his wife Secretary Hillary Rodham Clinton have one daughter, Chelsea, and live in Chappaqua, New York.

Robert Colby joined FINRA in June 2012 as its Chief Legal Officer. In this capacity, he oversees FINRA's corporate and regulatory General Counsel functions as well as FINRA's Regulatory Policy group and the Office of Emerging Regulatory Issues.

Previously, Mr. Colby was a partner in the Washington, DC, office of Davis Polk & Wardwell LLP, where he advised on regulatory and compliance matters involving securities and derivatives for financial institutions, markets and clearing organizations.

Before joining Davis Polk in 2009, Mr. Colby served for 17 years as Deputy Director of the Securities and Exchange Commission's Division of Trading and Markets. In that capacity, he was responsible for the regulation of broker-dealers, securities markets and clearing organizations. Previously, he was Chief Counsel of the Division, and Chief of the Division's Branch of Market Structure, for 11 years.

Mr. Colby received his undergraduate degree from Bowdoin College and earned his J.D. from Harvard Law School.

Peter Cook is Bloomberg Television’s chief Washington correspondent and the host of "Capitol Gains," which airs on Bloomberg Television and WUSA in Washington, D.C. on Sundays. He covers the intersection between business and government in Washington and reports on the Obama administration, Congress, the U.S. Treasury, the Federal Reserve, the Pentagon and regulatory agencies.

Cook, who joined Bloomberg Television in 2003, regularly talks to the key decision makers setting government policy. He has interviewed President Obama, Republican presidential candidate Mitt Romney, Treasury Secretary Timothy Geithner, House Speaker John Boehner, Senate Majority Leader Harry Reid, top regulators such as SEC Chairman Mary Schapiro and FCC Chairman Julius Genachowski and world leaders including Israeli Prime Minister Benjamin Netanyahu and Canadian Prime Minister Stephen Harper.

Cook's reporting at Bloomberg has taken him around the world. He covered President Obama's first trip to China, and traveled through Europe with Treasury Secretary Geithner during the European debt crisis. Cook also regularly talks to business leaders impacted by government policy including JPMorgan Chase Chairman and CEO Jamie Dimon, Honeywell Chairman and CEO David Cote and Ford President and CEO Alan Mulally.

Prior to joining Bloomberg Television, Cook was a producer and reporter for NBC News and MSNBC in Washington. Before that, he helped launch EnergyNewsLive.com as news director and Washington bureau chief. Cook also spent ten years as a local news anchor and reporter.

The son of a former Newsweek Rome bureau chief, Cook lived in Italy in his early youth. Cook is a graduate of Duke University and Northwestern University’s Medill School of Journalism.

John Dabbs is a Managing Director of Credit Suisse in the Investment Banking division, based in New York. He is the US Head of Prime Derivative Services, which includes all of the FCM related business lines.

Prior to his current role, he was based in London as the European Head of Listed Derivatives. Before joining Credit Suisse, he was the Asia Head of Listed Derivatives for both Lehman Brothers and Nomura.

Mr. Dabbs earned a B.A. in Economics from The University of Michigan

Michael Drayo is Senior Counsel at The Vanguard Group, Inc., an SEC registered investment adviser with more than $2 trillion in assets under management. At Vanguard, Michael focuses on CFTC and SEC derivatives rules impacting portfolios advised by Vanguard. He also provides advice on fund issues arising under the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Since 2010, he has co-authored more than a dozen comment letters submitted to federal regulators by Vanguard on derivatives rules proposed under the Dodd-Frank Act. Prior to joining Vanguard in 2007, he was in private practice for 6 years at the Philadelphia, Pennsylvania law firm of Ballard, Spahr, Andrews & Ingersoll, LLP where he concentrated on regulatory issues affecting mutual funds. He earned a bachelor’s degree in economics from Syracuse University in 1997 and his law degree from Syracuse University College of Law in 2001.

Laurence D. Fink, Chairman and Chief Executive Officer of BlackRock, also leads the Global Executive Committee.

Mr. Fink has led the firm since its founding in 1988, keeping client centric solutions and innovation at the forefront of his leadership. He was named "CEO of the Decade" by Financial News in 2011 and has been named one of the "World's Best CEO's" by Barron's for seven consecutive years.

Prior to founding BlackRock in 1988, Mr. Fink was a member of the Management Committee and a Managing Director of The First Boston Corporation. Mr. Fink joined First Boston in 1976 and quickly became one of the first mortgage-backed securities traders on Wall Street. During his tenure at First Boston, Mr. Fink was co-head of the Taxable Fixed Income Division, which was responsible for trading and distribution of all government, mortgage and corporate securities. Mr. Fink also started the Financial Futures and Options Department and headed the Mortgage and Real Estate Products Group

Mr. Fink serves as a member of the Board of Trustees of New York University and is Co-Chairman of the NYU Langone Medical Center Board of Trustees. Mr. Fink also serves on the Boards of The Museum of Modern Art (MoMA), the Council on Foreign Relations and Robin Hood, the New York City charitable organization. He is also Co-Chairman of The Partnership for New York City, which works to engage the business community in efforts to advance the City's economy and maintain its position as the center of world commerce, finance and innovation

Mr. Fink earned an MBA degree with a concentration in real estate from the University of California at Los Angeles (UCLA) in 1976 and a BA degree in political science from UCLA in 1974.

Kim Tillotson Fleming is Chairman and Chief Executive Officer of Hefren-Tillotson, Inc., a privately held Pittsburgh-based firm offering comprehensive financial planning and investment advisory services for individuals, foundations, trusts, and qualified retirement plans. Kim has served as President of Hefren-Tillotson since 1996, and in December 2010, was elected Chairman and Chief Executive Officer.

In October 2012, Hefren-Tillotson was awarded #1 Top Workplace in Western Pennsylvania and Kim received the Top Executive award for medium-sized companies by The Pittsburgh Post-Gazette. In October 2011, the company was awarded First Place for the 2011 Best Places to Work Contest (large company category) by the Pittsburgh Business Times. Hefren-Tillotson was also awarded the honor of "#1 Best Place to Work in Pennsylvania" for medium-sized businesses in 2001 and Best Place to Work in Pittsburgh in 2010 by Pittsburgh Magazine.

Kim is a graduate of Northwestern University with a degree in Economics and holds several professional designations. She is a Chartered Financial Analyst® charterholder, a graduate and board member of the Securities Industry Institute at the University of Pennsylvania, and has completed the Center for Fiduciary Studies Certification program at the University of Pittsburgh.

She is a member of the Association for Investment Management and Research, Pittsburgh Society of Financial Analysts (former President), Financial Planning Association, served on the NASD District Business Conduct Committee, and is currently serving on the Board of Directors of SIFMA. In 2009, Kim was voted one of the "Top 25 Women in Business" by the Pittsburgh Business Times, and in 2003, she was honored by the Pennsylvania Department of Community and Economic Development as one of "Pennsylvania's 50 Best Women in Business."

Kim serves on the boards of Allegheny College, Allegheny Conference on Community Development (Treasurer), The Buhl Foundation, Pittsburgh Civic Light Opera, Dollar Bank, The Pittsburgh Foundation, and UPMC Health Plan. Additionally, she has served on the capital campaign committees for the Children's Institute of Pittsburgh, the University of Pittsburgh Cancer Institute, and Children's Hospital. She is also a deacon and youth leader at Hiland Presbyterian Church.

She co-chaired the United Way Women's Leadership Council in 2008 and 2007. In 2011 and 2004, she was named an Athena Award finalist and received the 2005 YWCA "A Tribute to Women Leadership" award for business.

In 2012, Kim received the Haller Enterprise Institute's Entrepreneur of the Year Award from Thiel College. This award is given annually to a business owner who has demonstrated outstanding entrepreneurial leadership. In April 2012, Carlow University awarded Kim with the Women of Spirit® Award for Values, which recognizes a woman who leads her company to higher realms of excellence and service by personal example and commitment to others. Also in April 2012, Geneva College honored Kim with their Serving Leaders Award. This service award is presented annually to a person of faith who implements servant-leadership qualities in their life and work.

In 2012, 2011, and 2010, Kim was selected as a FIVE STAR Wealth Manager. This award is given to wealth managers in Pittsburgh who satisfied key client criteria and scored the highest in client satisfaction.

Service in mission work plays an important role in Kim's personal life. She has been actively involved with local, national, and international project-related mission trips, including annual youth group work camps.

Kim and her husband, Curt Fleming, have two sons, Grant and Todd.

Former Senator Judd Gregg is CEO of SIFMA. SIFMA brings together the shared interests of hundreds of securities firms, banks and asset managers who are engaged in communities across the country to raise capital for businesses and provide access to capital to help people on Main Streets across the nation thrive and prosper. America's success depends on a vibrant financial system; in his role as CEO, Senator Gregg will promote the role the financial services industry plays in leading economic growth and promoting job creation to the benefit of all Americans.

Senator Gregg served as a United States Senator from 1993 to 2011 and was both Chairman and the Ranking Member of the Senate Budget Committee. Prior to his tenure in the Senate, Senator Gregg served as Governor of New Hampshire (1989-1993) and as a U.S. Representative (1981-1989).

Senator Gregg is a national leader on fiscal policy, a well known budget expert and a respected voice on economic and financial regulatory issues. Senator Gregg served as the chief republican senate negotiator on the Emergency Economic Stabilization Act of 2008 (TARP) and as a member of the Senate Banking Committee, Senator Gregg served as one of the principal negotiators working to modernize the U.S. financial regulatory system.

Senator Gregg, along with Senators Alan Simpson, Erskine Bowles and Governor Ed Rendell co-chairs the "Fix the Debt" initiative, which is an effort to develop a comprehensive deficit reduction agreement along the lines of the Simpson-Bowles Commission, on which Senator Gregg served.

In New Hampshire, he is known as champion of land conservation with a more than 30-year commitment to protect the state's environment. His efforts have helped preserve more than 337,000 acres of sensitive land. As the former Chairman of the Senate Health, Education, Labor and Pensions (HELP) Committee, he has also been a major force for promoting excellence in the higher education community. In 2012, Senator Gregg was appointed the first Distinguished Fellow at Dartmouth College where he lectures on national governance and history issues.

Senator Gregg attended Columbia University (A.B. 1969), received his J.D. in 1972 from Boston University Law School and his L.L.M in tax law in 1975.

He serves on the Board of Directors of Honeywell Corporation.

Senator Gregg is married to Kathleen MacLellan Gregg. They have three children: Molly, married to John Otter; Sarah, married to William Orum; and Joshua. They also have two grandchildren.

Doug advises clients on regulatory matters involving risk management, compliance, investment products, derivatives, and capital markets. He also counsels financial services companies on general corporate governance, internal controls, and strategic advisory matters. He has considerable experience with the regulatory and compliance issues associated with trading, clearing, and capital markets activities, having served as Senior Deputy Comptroller for Capital Markets at the Office of the Comptroller of the Currency, and as General Counsel of a futures commission merchant and a designated-contract-market and derivatives clearing organization.

Immediately prior to joining Promontory, Doug was the General Counsel and Chief Operating Officer of BrokerTec Futures Exchange and BrokerTec Clearing Co. He has also served as Senior Deputy Comptroller for Capital Markets at the Office of the Comptroller of the Currency, where he was responsible for the regulation and supervision of national bank capital markets activities, including trading, dealing, and investing in derivatives and emerging markets instruments, as well as the development of risk management policies and guidelines. Doug was the principal draftsperson of OCC Banking Circular 277, "Risk Management of Financial Derivatives," the first bank regulatory guidance on managing the risks associated with derivatives, capital markets, and trading activities. He also served on the Inter-Agency Task Force on Bank-Related Derivatives Activities and as senior staff member of the President's Working Group on Financial Markets. Prior to his time at the OCC, Doug served as Assistant General Counsel of JPMorgan and General Counsel of JPMorgan Futures Inc.

Jack Hattem, CFA, Managing Director, is a member of the Multi-Asset High Alpha team within Americas Fixed Income and Deputy Lead Portfolio Manager of the BlackRock Obsidian. Additionally, he is the lead sector specialist for global interest rate derivatives. Mr. Hattem serves on BlackRock’s Derivatives Oversight and Central Clearing Steering Committees as well as on the ISDA Benchmark Committee.

He began his investment career as an analyst in BlackRock’s Portfolio Analytics Group in 2000 where he was responsible for analytics and risk management for BlackRock’s alternative investment products. In 2003, Mr. Hattem joined BlackRock’s Portfolio Management Group.

Mr. Hattem earned a BA degree, cum laude, in economics from the University of Pennsylvania in 2000.

Raymond James Financial Executive Vice President Chet Helck works with the CEO and other senior management in formulating and directing strategic initiatives for the firm. He oversees the Global Private Client Group which includes the firm’s domestic broker/dealer subsidiaries, Raymond James & Associates and Raymond James Financial Services, together with Canadian subsidiary Raymond James Ltd. and London-based Raymond James Investment Services. Collectively, the Private Client Group comprises nearly two thirds of the total firm revenues.
In addition, his leadership responsibilities include wealth management and marketing and corporate communications He also serves as a director of Raymond James Financial, as well as of numerous subsidiaries throughout the organization.

Mr. Helck began his association with Raymond James in 1989 as a vice president of business development for its independent contractor subsidiary. Increasing responsibilities led to his appointment as executive vice president of business development, where he shaped an environment of success that contributed significantly to remarkable growth in the firm’s independent contractor business.

Entering the financial services industry in 1983 as an investment representative for Edward D. Jones & Co., he built a successful retail office and later became the firm’s regional leader for Georgia and Florida. Prior to working in the securities industry, he served for nine years as a product marketing and territory manager for Deere & Co.

He earned his bachelor’s degree in 1974 from the West Virginia University Institute of Technology and is a graduate of the Securities Industry Institute at the Wharton School of Business and of the Harvard Business School Leading Professional Service Firms Program.

Deeply committed to addressing issues affecting the securities industry and the interests of investors, he serves as Chairman of the board of the Securities Industry and Financial Markets Association (SIFMA). Mr. Helck resides in St. Petersburg, Florida, with his wife, Abby.

Lisa Kidd Hunt is the head of International Services, serving international clients investing in the U.S, and Special Business Development , the group responsible for specific strategic new business initiatives. Prior to her current role, Hunt served as head of Schwab's branch network and acquisition delivery, managing over 2,000 employees in more than 300 branches throughout the country as well as the acquisition delivery group , sales support and international services. Prior to that she led Schwab Investor Development, which worked to provide participants of Schwab's Retirement and Stock Plan Services a path for financial fitness.

Hunt has worked in the securities industry for 26 years, the past 20 with Schwab. During her tenure at Schwab, she has worked in both the retail and institutional enterprises, focusing on sales management and new business development in a variety of both client-facing and staff roles. Prior to joining Schwab in 1992, Hunt worked as a municipal bond trader for six years.

Hunt received her bachelor's degree in finance with an emphasis in economics from the University of Maryland. She is a fellow with the International Women's Forum and has participated in executive leadership programs at Harvard Business School and Cambridge University. She is currently a board member of the Securities Industry and Financial Markets Association (SIFMA) and a former board member of EBRI.

Ms. Jordal is an Executive Vice President and Attorney in PIMCO's Legal and Compliance department. As global practice head of the counterparty transactional management team, she oversees and advises PIMCO's global offices on derivatives and forward/financing related transactions and agreements, as well as any related regulatory issues. Ms. Jordal is also an active participant in various industry initiatives on behalf of PIMCO with respect to recent regulatory requirements regarding central clearing of derivatives in the U.S. and Europe. She serves as a member of various advisory boards, steering committees and working groups of leading industry trade associations, including the International Swap and Derivatives Association (ISDA), SIFMA Asset Managers Group and Investment Company Institute. Prior to joining PIMCO in 2002, Ms. Jordal was a member of the legal department at Deutsche Bank AG, working on a variety of derivative-related matters for the corporate/investment banking and asset management divisions. She has more than 17 years of legal and financial services experience and holds a J.D. from Brooklyn Law School and a bachelor's degree from Connecticut College.

Richard Ketchum is Chairman and CEO of FINRA.

Prior to becoming CEO of FINRA, Mr. Ketchum was CEO of NYSE Regulation from March 2006 to March 2009. He served as the first chief regulatory officer of the New York Stock Exchange, a position he began in March 2004. From June 2003 to March 2004, Mr. Ketchum was General Counsel of the Corporate and Investment Bank of Citigroup Inc., and a member of the unit's planning group, Business Practices Committee and Risk Management Committee.

Previously, he spent 12 years at NASD and The Nasdaq Stock Market, Inc., where he served as president of both organizations.

Prior to working at NASD and NASDAQ, Mr. Ketchum was at the Securities and Exchange Commission (SEC) for 14 years, with eight of those years as director of the division of Market Regulation.

In October 2010, Mr. Ketchum was appointed by President Obama to serve on the President's Advisory Council on Financial Capability—a group established to promote and enhance financial literacy and capability among Americans. He also serves on the Joint Advisory Committee on Emerging Regulatory Issues, a committee created by the SEC and CFTC to review emerging regulatory issues, starting with the market events coming out of the May 2010 so-called "flash-crash."

Mr. Ketchum serves on the Board of Directors of Appleseed, a non-profit network of 16 public interest justice centers in the United States and Mexico dedicated to advancing the rule of law, promoting effective government and creating opportunities for individuals' economic advancement.

Mr. Ketchum earned his J.D. from the New York University School of Law in 1975 and his B.A. from Tufts University in 1972. He is a member of the bar in both New York and the District of Columbia.

Yoon-Young Lee is a partner in the firm's Securities Department, the chair of the Broker-Dealer Compliance and Regulation Practice Group and a member of the Futures and Derivatives Practice Group. She joined the firm in 1988. Ms. Lee's practice has particular emphasis on broker-dealer regulation and securities compliance policies and procedures. She is also a member of the firm's Management Committee.

Ms. Lee advises and represents broker-dealers and other financial institutions on various regulatory and compliance matters. She has worked with clients to devise and implement comprehensive policies and procedures to prevent the misuse of confidential information, to avoid conflicts of interests and to achieve compliance with federal securities laws and SRO regulations. She has extensive experience with compliance reviews and audits as well as internal investigations. Her practice includes providing advice regarding information barriers, research analyst independence, insider trading, sales practices, capital markets trading issues, electronic communications, supervision and surveillance measures.

Mario Nava has been in the European Commission since 1994. He studied economics at Bocconi University and at Louvain and has a PhD in public finance from the London School of Economics. His previous posts include acting director for financial services policy and financial markets, member of the group of policy advisers to Commission President Romano Prodi and a member of Mario Monti’s cabinet. He also worked for DG Budget and DG TAXUD.

Ms. Nazareth is a Davis Polk partner practicing in the firm's Financial Institutions Group in the Washington DC office. She advises clients across a broad range of complex regulatory matters and transactions. She also works closely with Davis Polk's SEC enforcement practice, counseling nonfinancial sector corporations that are subject to government regulatory and enforcement actions.

Ms. Nazareth was a key financial services policymaker for more than a decade. She joined the SEC Staff in 1998 as a Senior Counsel to Chairman Arthur Levitt and then served as Interim Director of the Division of Investment Management. She served as Director of the Division of Market Regulation (now the Division of Trading and Markets) from 1999 to 2005. As Director, she oversaw the regulation of broker-dealers, exchanges, clearing agencies, transfer agents and securities information processors. In 2005, she was appointed an SEC Commissioner. During her tenure at the Commission, she worked on numerous groundbreaking initiatives, including execution quality disclosure rules, implementation of equities decimal pricing, short sale reforms and modernization of the national market system rules. Ms. Nazareth also served as the Commission's representative on the Financial Stability Forum from 1999 to 2008.

Since leaving the SEC in January 2008, she has served as Rapporteur for the Group of Thirty's report, The Structure of Financial Supervision: Approaches and Challenges in a Global Marketplace and as Project Director for their report, Enhancing Financial Stability and Resilience: Macroprudential Policy, Tools and Systems for the Future. Earlier in her career, she held a number of senior legal positions at several investment banks.

Barbara Novick is a member of BlackRock’s Global Executive and Global Operating Committees and Chairs the Government Relations Steering Committee.

From the inception of the firm in 1988 to 2008, Ms. Novick headed the Global Client Group and oversaw global business development, marketing and client service across equity, fixed income, liquidity, alternative investment and real estate products for institutional and individual investors and their intermediaries worldwide. In her current role, Ms. Novick heads the firm’s efforts globally on Government Relations and Public Policy.

Prior to founding BlackRock in 1988, Ms. Novick was a Vice President in the Mortgage Products Group at The First Boston Corporation. Ms. Novick joined First Boston in 1985 where she became head of the Portfolio Products Team. From 1982 to 1985, Ms. Novick was with Morgan Stanley.

Ms. Novick has authored numerous articles on asset management and public policy issues. Ms. Novick is a member of CFA Institute’s Future of Finance Advisory Council and Reuters’ Editorial Advisory Board. She currently serves as a Trustee of Cornell University, UJA-Federation, and the HCM Foundation, and coaches in the Westchester Youth Soccer League. Ms. Novick previously served on the boards of Robert Toigo Foundation (2007–2010), City Harvest (2010-2012) and Westchester Day School (2000-2005), and served as both Treasurer and Trustee of Westchester Jewish Center (1994-2012).

Ms. Novick earned a BA degree, cum laude, in economics from Cornell University in 1981.

Karen Peetz, President of BNY Mellon, oversees the company's global client management, regional management, human resources functions and its treasury services business. She also leads the company's strategic growth and global innovation efforts. Prior to her appointment as President in January 2013, she led BNY Mellon's Financial Markets & Treasury Services group, comprised of the alternative investment services, broker-dealer and advisor services, corporate trust, depositary receipts, and treasury services businesses.

Before joining BNY Mellon in 1998 to run the domestic corporate trust business, Karen spent 16 years with JPMorgan Chase in a variety of sales and business management positions, including an assignment in London.

She has consistently been named among American Banker's "25 Most Powerful Women in Banking." In 2011, Karen ranked #1 in this survey, based on her responsibilities, management style, crisis management skills, influence within the industry and charitable endeavors.

Howard R. Plotkin is a Managing Director and the Director of Compliance for RBC Capital Markets and Wealth Management. He is also the Global Co-Head of Capital Markets and Investor and Treasury Services ("I&TS") Compliance, and a Vice President of the Royal Bank of Canada. Howard is a member of the Global Compliance Operating Committee ("GCOC"). Prior to RBC, Howard was a Managing Director within the Global Compliance team at Barclays Capital where he was responsible for Global Equities and Prime Services Compliance. He previously was a Managing Director and the Director of Compliance at Lehman Brothers Inc. Prior to joining Lehman Brothers in 2000, he was a Senior Vice President, Chief of Fixed Income Compliance and Deputy Director of Capital Markets Compliance at Salomon Smith Barney and its predecessor firm, Salomon Brothers Inc.

Howard served a four-year term on the Securities Industry/Regulatory Council on Continuing Education from 2004 through 2007. He was elected to serve as Chairman for 2006. He served a three-year term as a Member of NASD District 10, and was elected as the Committee Chairman for 2006. Mr. Plotkin served on the Chicago Board of Options Exchange's Business Conduct Committee from 2009 through 2012. He has also served on FINRA's Membership Committee. He currently serves on FINRA's Compliance Advisory Committee. Mr. Plotkin is a member of the SIFMA Compliance and Legal Society's Executive Committee and is the President of the Society. He has previously served as the Executive Vice President and Vice President of Education, Vice President of Membership and Chair of the Compliance Subcommittee of the Society. Mr. Plotkin was appointed to the New York Stock Exchange Task Force on Electronic Communications, and served for the duration of the Task Force. Mr. Plotkin has chaired, co-chaired, and spoken on and moderated panels at various Securities Industry Association, Futures Industry Association, Bond Market Association and SIFMA events.

Mr. Plotkin received his B.S. in Business, Management and Finance and graduated cum laude from Brooklyn College.

Paul E. Purcell is Chairman, President & Chief Executive Officer of Baird Holding Company, Baird Financial Corporation and Robert W. Baird & Co. Incorporated. Purcell joined Baird in 1994 and served in a variety of capacities, including Chief Operating Officer, before becoming President & Chief Executive Officer in 2000. He added the title of Chairman in 2006. Purcell is a member of the Baird Financial Corporation board of directors and Robert W. Baird & Co. board of directors. Prior to joining Baird, he spent 22 years with Kidder, Peabody & Co., where he was a Managing Director and head of the Midwest Investment Banking Group.

In addition to his duties at Baird, Purcell serves on the RC2 Corporation Board of Directors, the Alverno College Board of Trustees, the University of Chicago Booth School of Business Advisory Council, the University of Notre Dame Mendoza College of Business Advisory Council, Schools That Can – Milwaukee Board of Directors, the Greater Milwaukee Committee Board and Executive Committee, the Board of Discovery World, the United Performing Arts Fund Board, the Junior Achievement of Chicago Board of Directors and the United Way of Greater Milwaukee's Board and the Board of Directors of RiverFront Investment Group, LLC. He is past Vice Chairman and member of the Board of Directors of Securities Industry and Financial Markets Association (SIFMA) as well as the former Chairman of the Board of Directors at Cristo Rey Jesuit High School.

He received an MBA from the University of Chicago Booth School of Business (1971) and is a graduate of the University of Notre Dame (1969). In 2009, he received the University of Chicago Booth School of Business Distinguished Corporate Alumni Award.

Becky Quick is co-anchor of "Squawk Box," CNBC's signature morning program.

Quick is known for her hard-hitting interviews and profiles of some of the world's richest and most influential investors, including Warren Buffett, Bill Gates, Alan Greenspan, T. Boone Pickens, Jamie Dimon, Charlie Munger and many others. She also has interviewed three U.S. presidents and has hosted panels at some of the most prestigious conferences in the world such as the Microsoft CEO Conference, Fortune's Most Powerful Women's Conference and the Allen & Co. Sun Valley Media Conference. Quick also authors a regular column for Fortune magazine as well as contributes to CNBC.com.

Previously, Quick, a seven-year veteran of The Wall Street Journal, covered the Wall Street beat for CNBC as part of the network's partnership with Dow Jones.

Prior to joining CNBC in February 2001, Quick covered various beats for The Wall Street Journal, including retail, e-commerce and the Internet. She also played a crucial role in the launch of The Wall Street Journal Online, while serving as the site's International news editor.

She graduated from Rutgers University in New Brunswick, N.J., and previously served on the board of The Robert Wood Johnson University Hospital.

Emmy-nominated investigative journalist Trish Regan is an anchor on Bloomberg Television and host of Bloomberg's daily business program, "Street Smart," which airs weekdays from 3-5 pm ET. In addition to covering the final hours of trading in the U.S., Regan anchors primetime specials for Bloomberg TV and helps to lead the network's coverage of the 2012 Presidential campaign.

Prior to joining Bloomberg in December 2011, Regan was an anchor at CNBC, where she anchored primetime documentaries and reported on major economic news, including the U.S. banking collapse of 2008 and the European debt crisis. While at CNBC, Regan reported from the G-8 summit in Germany, covered Brazil's economic boom and challenges, and interviewed Colombian President Álvaro Uribe on investing in emerging markets. Regan was also a regular contributor to NBC’s “Nightly News with Brian Williams,” the “Today” show, and the syndicated “Chris Matthews Show.”

Regan joined CNBC from CBS News where she was a correspondent reporting for the “CBS Evening News” and a contributor to "Face the Nation" and "48 Hours." Her coverage focus at CBS News was the U.S. economy. Regan is a member of The Council on Foreign Relations and is a graduate of Columbia University.

Mr. Rosenberg is an associate in Davis Polk’s Financial Institutions Group. He advises financial institutions, corporations and trade associations on the requirements, impact and implementation of the Dodd-Frank financial reform legislation. In this area, he focuses on the regulatory treatment, trading and clearing of derivatives and the Volcker Rule proprietary trading restrictions.

In his practice, Mr. Rosenberg seeks to use technology to help market participants understand and implement Dodd-Frank. By advancing the Davis Polk Regulatory Tracker and other tools, Mr. Rosenberg has worked closely with major financial institutions to help them employ new technology to closely monitor and refine implementation plans for Dodd-Frank strategic business planning and compliance. Through development of the Dodd-Frank Progress Reports, he has helped the market understand and gauge regulator progress on Dodd-Frank rulemaking through quantitative and graphical analysis.

Before joining the Financial Institutions Group, Mr. Rosenberg completed a rotation in the Capital Markets Group.

Jim Rosenthal is the Chief Operating Officer of Morgan Stanley. He is also a member of Morgan Stanley's Management and Operating Committees and reports to Morgan Stanley's President and Chief Executive Officer, James Gorman.

Jim assumed his current role in January 2011 and continues to serve as Head of Corporate Strategy for Morgan Stanley, a position he has held since January 2010.

Prior to this role, Jim served as the Chief Operating Officer of Morgan Stanley Smith Barney, with responsibility for overseeing the integration of this business, and the Head of Firmwide Technology and Operations for Morgan Stanley. Jim has more than two decades of experience across a wide spectrum of financial services. He joined the Firm in March 2008 from Tishman Speyer, where he served as Chief Financial Officer since 2006. Prior to that, he worked at Lehman Brothers from 1999 to 2005, where he was Head of Corporate Strategy and Corporate Development and a member of the Management Committee. Jim was with McKinsey & Company from 1986 to 1999, where he was a Senior Partner specializing in financial institutions, with a particular focus on securities brokerage, asset management and capital markets. He has led numerous restructuring efforts addressing issues in technology, operations and other areas in financial institutions around the globe.

Jim has a B.A. degree from Yale and a J.D. degree from Harvard Law School.

Mr. Ryan is the Global Head of Regulatory Strategy and Policy at JPMorgan Chase.  Prior to joining JPMorgan, he was President and Chief Executive Officer of the Securities and Financial Markets Association from 2008-2013.  

From 1993-2008, Mr. Ryan was Vice Chairman, Financial Institutions and Governments, at JPMorgan where he was a member of the firm's senior leadership. 

Prior to joining JPMorgan in 1993, Mr. Ryan was the Director of the Office of Thrift Supervision, U.S. Department of the Treasury.  As OTS Director, Mr. Ryan was a principal manager of the savings and loan cleanup which involved closing approximately 700 insolvent institutions, improving capital bases and selling over $300 billion of assets.  Mr. Ryan was a Director of the Resolution Trust Corporation and a Director of the Federal Deposit Insurance Corporation.  From 1983 to 1990, Mr. Ryan was a Partner in the Washington, D.C. office of the law firm Reed, Smith, Shaw & McClay, where he headed the Pension Investment Group and was a member of the firm's Executive Committee.  From 1981 to 1983 Mr. Ryan was Solicitor of Labor, U.S. Department of Labor.  Mr. Ryan is a graduate of Villanova University and American University Law School.   He served as an officer in the U.S. Army from 1967 - 1970. 

Mr. Ryan has served as a director of Lloyds Banking Group, Power Corporation of Canada, Power Financial Corporation, and Great-West Lifeco Inc. from 2009-2013.  He was a private sector member of the Global Markets Advisory Committee for the National Intelligence Council (NIC) (2007 to 2011).  He served from 2000 to 2004 as a Board Member and Chairman of the Audit Committee at Koram Bank in Seoul, Korea and served from 2001 to 2012 as a Board Member and Chairman of the Finance Committee for the US Japan Foundation.

As Deputy Director for Systemic Resolution Planning and Implementation, John F. Simonson is responsible for the implementation of the FDIC's resolution obligations under Title I and Title II of the Dodd Frank Wall Street Reform and Consumer Protection Act ("Dodd Frank Act"). This includes overseeing the review or development of resolution plans for the rapid and orderly of a complex financial institution designated as systemically important.

Mr. Simonson has over 20 years of experience in finance, capital markets, and business operations and planning. Immediately prior to joining the FDIC, he was the Senior Vice President and Chief Financial Officer for the Export-Import Bank of the United States. In this position, he was the principal advisor on all matters pertaining to the Bank’s funds and financial policies and for leading the Bank’s financial operations, including accounting, budget, treasury, and management of its $85 billion credit portfolio.

Mr. Simonson has also held Managing Director and Vice President–level positions at several large global financial firms, where he was responsible for structuring, underwriting, restructuring, and risk management of a variety of loans and other credit products in national and international markets. He also held positions in strategic and operational planning and analysis. He received his undergraduate degree magna cum laude from Rice University, majoring in mathematics and economics. He received his MBA from the University of Chicago, specializing in finance and international business, and has also studied at the London School of Economics.

Joseph E. Sweeney, President – Advice & Wealth Management, Products and Service Delivery

Joseph (Joe) Sweeney's overall responsibility includes the company's brokerage, managed products, retail retirement products, cash & certificates, personal trust, information management, service delivery and home & auto insurance areas. In 2005, he led the operations effort for the transition of Ameriprise to an independent, publicly traded company.

Sweeney joined American Express, former parent company of Ameriprise Financial, in 1983 and has served in a number of senior leadership positions across the firm, including:

• President, Advice and Wealth Management, Products and Services, Ameriprise Financial, Inc. 2009-2012
• President, Financial Planning, Products and Services, Ameriprise Financial, Inc. 2005-2009 
• Senior vice president and general manager of Banking, Brokerage and Managed Products, American Express Financial Advisors 2003-2005 
• Senior vice president of Business Transformation, Global Financial Services, American Express 1998-2003 
• Vice president of Business Processes, Global Network Services, American Express 1997-1998 
• Vice president of Quality and Reengineering, Travel Related Services, American Express 1995-1997 

He serves on the board of directors for American Enterprises Investment Services and the Securities Industry and Financial Markets Association (SIFMA). He is also co-chair of the SIFMA private client group steering committee and currently chairs the board of directors for Ameriprise National Trust Bank. He earned a Bachelor of Arts degree, magna cum laude, in economics from Saint Anselm College in Manchester, N.H., where he also is a member of the board of trustees and serves on the Finance, Investment & Student Affairs committees.

Brokerage, investment and financial advisory services are made available through Ameriprise Financial Services, Inc. Member FINRA and SIPC. Some products and services may not be available in all jurisdictions or to all clients.

John Taft is head of RBC Wealth Management in the U.S. Mr. Taft is responsible for RBC's wealth management growth strategy in the U.S.

• Helping clients achieve their financial objectives through a full- service wealth management offering (investment management, retirement planning, cash management, credit and lending, insurance trust, estate planning and other solutions); and,
• Enhancing the productivity of financial advisors and relationship managers in RBC's Private Client Group, Correspondent Services, Advisor Services and U.S.-based international businesses

Mr. Taft has worked in financial services since 1981. He has served as Chairman-Elect and Chairman of the Securities Industry and Financial Markets Association (SIFMA), the leading securities industry trade group representing securities firms, banks and asset managers in the United States. He is an industry thought leader who frequently speaks at government and industry events and who is widely quoted in the media. He is also executive sponsor of the firm's Gay, Lesbian, Allied and Diverse Employees group, representing the interests of LGBT employees and clients. 

He is the author of Stewardship: Lessons Learned from the Lost Culture of Wall Street, a book that explores the importance of stewardship as a core principle – for him personally; for the financial services industry; for the global financial system; and for society at large. 

Mr. Taft graduated Magna Cum Laude, Phi Beta Kappa with a bachelor of arts from Yale and earned a master's degree in public and private management from the Yale School of Organization and Management. 

Mr. Taft is active on the board's of many non-profit, cultural and public service organizations. In his spare time, he enjoys athletic activities including golf, tennis and triathlons as well as collecting contemporary art.

Mary Thompson joined CNBC in 2000 as a general assignment reporter. She has covered a wide range of stories for CNBC, including the 2008 financial crisis, Hurricane Katrina from along the Gulf Coast and the mutual fund industry's market-timing scandal in 2003.

Thompson has reported extensively on the banking and insurance industries, executive pay and the stock market from the New York Stock Exchange and the NASDAQ MarketSite. She also appears on NBC's "Today" and "Weekend Nightly News."

Nick Timiraos is a reporter for The Wall Street Journal, where he covers housing and mortgage markets. Previously, he covered the 2008 presidential elections where he traveled with the Obama and Clinton campaigns. Nick joined the staff of the Journal in 2006 and lives in New York.

Joseph Tracy is a senior advisor to the president at the Federal Reserve Bank of New York where he will focus on housing and household credit issues. He had been head of the Research and Statistics Group since December 2004.

Prior to being named to this position, Mr. Tracy was senior vice president since January 2003. He also served as the senior administrative officer for the group since June 2002.

Mr. Tracy joined the Bank as a research officer in August 1996 and was assigned to the domestic research department. He was promoted to assistant vice president in December 1997 and in July 1999, he was promoted to vice president with responsibility for domestic research function and assumed additional responsibility for the research support function in March 2000.

Prior to joining the Bank, he was an associate professor of economics at Yale University from July 1986 to June 1992 and at Columbia University from July 1992 to June 1996.

Mr. Tracy holds a bachelor's degree in political economy from the University of Missouri and a doctorate in economics from the University of Chicago.

Mark E. Van Der Weide is a deputy director in the Division of Banking Supervision and Regulation at the Federal Reserve Board in Washington, D.C. In this capacity, he advises the Division Director and Board members on financial regulatory policy issues.

Mr. Van Der Weide was detailed to the U.S. Treasury Department during 2009-2010, where he provided assistance to the Administration in its efforts to implement the comprehensive financial reform legislation that ultimately became the Dodd-Frank Act.

From 1998 until 2009, Mr. Van Der Weide worked in the Legal Division of the Federal Reserve Board.

Prior to joining the Federal Reserve Board in 1998, Mr. Van Der Weide worked as an associate in the Washington, D.C., office of Cleary, Gottlieb, Steen & Hamilton.

Mr. Van Der Weide received a J.D. degree from Yale Law School in 1995 and a B.A. degree in history and philosophy from the University of Iowa in 1992.

Kevin Watters is the Chief Executive Officer of Mortgage Banking at Chase. He serves on the Consumer & Community Banking Leadership team and reports to Gordon Smith, co-CEO of CCB.

Chase is one of the largest U.S. providers of banking, lending, treasury, wealth management and investment services. Chase serves 50 million customers, including consumers, small businesses, mid-size companies, corporations, financial institutions, nonprofits and governments. The Mortgage Banking business originates more than $155 billion in home loans annually and is the third largest servicer, with $1.1 trillion of mortgages.

Prior to being named Mortgage Banking CEO, Watters was head of Mortgage Originations and the Customer Experience. In that role, he led Chase's four mortgage production channels: Retail, Consumer Direct, Correspondent Lending and Rural Housing. Watters was also responsible for marketing, product management and the Executive Office. He transitioned to Mortgage Banking in June 2010 from Business Banking, where he served as Chief Executive Officer for five years.

Prior to the merger with JPMorgan Chase, Watters served in the following roles at Bank One: Head of the Corporate Internet Group, President of the Consumer Internet Group, Chief Strategy Officer of the Consumer Internet Group, and Chief Marketing Officer of Wingspan, Bank One's Internet-only bank.

Earlier in his career, Watters worked in finance and operations at McNeil Consumer Products, a division of Johnson and Johnson; as Brand Manager at Procter and Gamble Business; as Director at Pinnacle, Inc.; and as Senior Manager of Vlasic Foods.

Watters' bachelor's degree is from Lehigh University and his MBA is from the University of Virginia.

He is married with three children.

Ben White, 38, is Chief Economic Correspondent for POLITICO and author of the “Morning Money” column covering the nexus of finance and public policy.

Prior to joining POLITICO in the fall of 2009, Mr. White served as a Wall Street reporter for the New York Times, where he shared a Society of Business Editors and Writers (SABEW) award for breaking news coverage of the financial crisis.

From 2005 to 2007, Mr. White was Wall Street correspondent and U.S. Banking Editor at the Financial Times.
Mr. White worked at the Washington Post for nine years before joining the FT. He served as national political researcher and research assistant to columnist David S. Broder and later as Wall Street correspondent.

Mr. White, a 1994 graduate of Kenyon College, has two sons and lives in New York City.

Mary Jo White was sworn in as the 31st Chair of the SEC on April 10, 2013. She was nominated to be SEC Chair by President Barack Obama on Feb. 7, 2013, and confirmed by the U.S. Senate on April 8.

Chair White arrived at the SEC with decades of experience as a federal prosecutor and securities lawyer. As the U.S. Attorney for the Southern District of New York from 1993 to 2002, she specialized in prosecuting complex securities and financial institution frauds and international terrorism cases. Under her leadership, the office earned convictions against the terrorists responsible for the 1993 bombing of the World Trade Center and the bombings of American embassies in Africa. She is the only woman to hold the top position in the 200-year-plus history of that office.

Prior to becoming the U.S. Attorney for the Southern District of New York, Chair White served as the First Assistant U.S. Attorney and later Acting U.S. Attorney for the Eastern District of New York from 1990 to 1993. She previously served as an Assistant U.S. Attorney for the Southern District of New York from 1978 to 1981 and became Chief Appellate Attorney of the Criminal Division.

After leaving her U.S. Attorney post, Chair White became chair of the litigation department at Debevoise & Plimpton in New York, where she led a team of more than 200 lawyers. Chair White previously was a litigation partner at the firm from 1983 to 1990 and worked as an associate from 1976 to 1978.

Chair White earned her undergraduate degree, Phi Beta Kappa, from William & Mary in 1970, and her master's degree in psychology from The New School for Social Research in 1971. She earned her law degree in 1974 at Columbia Law School, where she was an officer of the Law Review. She served as a law clerk to the Honorable Marvin E. Frankel of the U.S. District Court for the Southern District of New York.

Chair White has won numerous awards in recognition of her outstanding work both as a prosecutor and a securities lawyer. The 2012 Chambers USA Women in Law Awards named her Regulatory Lawyer of the Year. Among other honors she has received are the Margaret Brent Women Lawyers of Achievement Award, the George W. Bush Award for Excellence in Counterterrorism, the Sandra Day O'Connor Award for Distinction in Public Service, and the "Women of Power and Influence Award" given by the National Organization for Women.

Chair White is a fellow in the American College of Trial Lawyers and the International College of Trial Lawyers. She also has served as a director of The NASDAQ Stock Exchange and on its executive, audit, and policy committees. Chair White is a member of the Council on Foreign Relations.

Gerri Willis joined Fox Business Network (FBN) in March of 2010. She is the host of "The Willis Report" (6 & 9PM/ET), a primetime program that covers the leading financial and political stories of the day and their impact on consumers.

Prior to joining FBN, Willis served as the personal finance editor for CNN Business News and hosted the weekly half-hour program entitled “Your Bottom Line,” which focused on ways to save Americans money and the economy’s effects on personal finance. Before CNN, she was senior financial correspondent at SmartMoney magazine.

Willis received the 2001 Excellence in Retirement Savings Reporting award, which is bestowed by the American University School of Communication and the Investment Company Institute's Education Foundation. She is also the author of two business books, “The Smart Money Guide to Real Estate Investing” and “Home Rich.”

Willis is a graduate of Columbia Business School, where she was a Knight-Bagehot Fellow. She was born in Spruce Pine, NC and currently resides in Westchester County.