4:15
Opening Remarks
William A. Birdthistle, Gurbir S. Grewal
25:58
Chair's Remarks
Hon. Gary Gensler
01:05:56
Division of Investment Management
William A. Birdthistle, Hon. Paul S. Atkins, Thoreau Bartmann, Melissa R. Harke, Timothy Husson, Michael Spratt
01:02:24
Division of Trading and Markets
Eric Juzenas, Hon. Roberta S. Karmel, Michael A. Macchiaroli, Carol McGee, Thomas K. McGowan, Jeffrey S. Mooney, Emily Westerberg Russell, David S. Shillman, Hon. Laura S. Unger, Haoxiang Zhu
11:43
Remarks by Office of the Advocate for Small Business Capital Formation Deputy Director Sebastian Gomez Abero
Sebastian Gomez Abero
01:05:36
Division of Corporation Finance
Hon. Paul S. Atkins, Erik Gerding, Renee Jones, Cicely LaMothe, Michael P. Seaman, Ted Yu
17:29
Remarks by Office of Minority and Women Inclusion Chief Diversity Officer Pamela A. Gibbs
Pamela A. Gibbs
01:04:51
Accounting
Hon. Cynthia A. Glassman, Lindsay McCord, Paul Munter, Jenson Wayne
01:02:57
Workshop C: Division of Corporation Finance
Tamara M.. Brightwell, Jessica Kane, Jennifer Lopez Molina, Daniel Morris, Anne Nguyen Parker, Terence O'Brien
01:08:05
Division of Enforcement
Gurbir S. Grewal, Olivia Choe, Hon. Daniel M. Gallagher, Daniel R. Gregus, David L. Hirsch, Nicole C. Kelly, Osman E.. Nawaz, Hon. Harvey L. Pitt, Sanjay Wadhwa, Samuel J. Waldon
17:41
Commissioner's Remarks
Hon. Mark T. Uyeda
01:05:25
Division of Economic and Risk Analysis
Chyhe Becker, Eugene Canjels, Marco Enriquez, Hon. Daniel M. Gallagher, Hon. Cynthia A. Glassman, Mike Willis
01:04:25
Division of Examinations
Hon. Paul S. Atkins, Richard R. Best, Keith E. Cassidy, Allison M.. Fakhoury, Hon. Daniel M. Gallagher, James T. Giles, Natasha V. Greiner, Hon. Harvey L. Pitt, John Polise, Lori H. Price, Adam Wendell
01:05:55
Judicial and Legislative Developments
Jeffrey A. Berger, Dan M. Berkovitz, Michael A. Conley, Kerry J. Dingle, Dominick V. Freda, Tracey A. Hardin, Hon. Roberta S. Karmel, David Lisitza, Daniel Staroselsky, Hon. Laura S. Unger, Brooke Wagner
01:03:41
Ethical Issues for Securities Attorneys
Hon. Paul S. Atkins, Philip Holmes, Thomas Karr, Tracey L. Sasser, Karen J Shimp
01:00:44
Workshop E: Division of Enforcement
Stacey Bogert, Jason J.. Burt, Charles E. Cain, D. Mark Cave, Rebecca Olsen, Thomas P. Smith, Jr.
William A. Birdthistle
William A. Birdthistle
Co-Chair
U.S. Securities and Exchange Commission

William Birdthistle is the Director of the Securities and Exchange Commission’s Division of Investment Management. He leads the development of policy and rulemaking relating to investment advisers and investment companies.

Prior to joining the SEC, Mr. Birdthistle joined the faculty at Chicago-Kent College of Law in 2006, and he earned the school’s Excellence in Teaching Award in 2010. He also has served as a visiting professor of law at the University of Chicago Law School, where he won the Award for Teaching Excellence in 2019 for teaching securities regulation. His research explores investment funds, securities regulation, and corporate governance, and he has served as counsel of record on multiple amicus briefs to the U.S. Supreme Court.

Mr. Birdthistle received his J.D. from Harvard Law School, where he served as managing editor of the Harvard Law Review, and received a B.A. summa cum laude in English and psychology from Duke University in 1995.

Gurbir S. Grewal
Gurbir S. Grewal
Co-Chair
U.S. Securities and Exchange Commission

Gurbir Grewal is the Director of the SEC’s Division of Enforcement. Immediately before joining the Commission, Gurbir was the Attorney General for the State of New Jersey. Prior to that, he served as the Bergen County Prosecutor, the chief law enforcement officer for New Jersey’s most populous county. Earlier in his career, Gurbir served as an Assistant United States Attorney for the District of New Jersey, where he was Chief of the Economic Crimes Unit, and an Assistant United States Attorney for the Eastern District of New York, where he was assigned to the Business and Securities Fraud Unit. He was also an attorney in private practice. He holds a J.D. from the College of William & Mary, Marshall-Wythe School of Law, and a B.S. in Foreign Service from the Georgetown University School of Foreign Service.

Sebastian Gomez Abero
Speaker
U.S. Securities and Exchange Commission
Sebastian Gomez Abero is the Chief of the Office of Small Business Policy in the Division of Corporation Finance of the Securities and Exchange Commission. The office assists companies seeking to raise capital through exempt or smaller registered offerings, and participates in and reviews SEC rulemaking and other actions that may affect small businesses. Previously, Mr. Gomez was a Special Counsel in the Office of Chief Counsel in the Division of Corporation Finance. Before joining the SEC, Mr. Gomez practiced securities law in the Washington DC office of Hogan Lovells. He received his law degree from Northwestern University School of Law and his B.S. in computer science from Bridgewater College.
Hon. Paul S. Atkins
Speaker
Patomak Global Partners, LLC
Paul Atkins founded Patomak Global Partners, LLC in 2009 and serves as the chief executive officer.

At Patomak, Mr. Atkins leads client work for financial services firms regarding an array of issues, including regulatory requirements, investigating and improving the effectiveness of compliance systems, and designing and implementing compliance policies and procedures. Mr. Atkins regularly serves as an independent compliance consultant and a court-appointed monitor in federal settlements. His expert witness engagements include federal, state, and foreign litigation, as well as SEC matters.

Since 2017, Mr. Atkins has led industry efforts to develop best practices for digital asset issuances and trading platforms as co-chair of the Token Alliance, an initiative of the Chamber of Digital Commerce. In 2017, Mr. Atkins served as a member of the President’s Strategic and Policy Forum advising on financial markets regulation and economic policy, and he led the President-elect’s transition team for independent financial regulatory agencies.

Prior to founding Patomak, Mr. Atkins served as a Commissioner of the U.S. Securities and Exchange Commission, 2002-2008. From 2009 to 2010, he was appointed by Congress to serve as a member of the Congressional Oversight Panel for the Troubled Asset Relief Program (TARP). He started his public service work in 1990, serving on the staffs of SEC chairmen Richard C. Breeden and Arthur Levitt as chief of staff and counsellor, respectively, until 1994.
 
In private practice, Mr. Atkins was a partner of PricewaterhouseCoopers and predecessor firm Coopers & Lybrand. Mr. Atkins began his career as a lawyer with Davis Polk & Wardwell in New York.

Mr. Atkins received his A.B., summa cum laude, Phi Beta Kappa, from Wofford College and his J.D. from Vanderbilt University School of Law.
Thoreau Bartmann
Speaker
U.S. Securities and Exchange Commission
Thoreau Bartmann is Senior Special Counsel for the Investment Adviser Rulemaking Office (IARO) at the US Securities and Exchange Commission. Thoreau has been involved in all aspects of asset management regulation, leading a variety of rulemaking initiatives for the Division of Investment Management during his more than ten years of experience at the SEC. Recently, he was the team lead for the efforts to modernize the regulation of both investment adviser marketing and fund fair valuation, culminating in new and reformed rules adopted for both of these areas in 2020. Before joining IARO, Thoreau was the branch chief managing the effort that led to the adoption of structural reforms to the $3 trillion money market fund industry, managed the fund derivatives proposal, and was the Division’s lead on the mutual fund liquidity rule adoption and its implementation. He also has expertise in fund distribution issues, drafting key guidance on mutual fund distribution and sub-accounting fee issues. Before he joined the SEC, Thoreau was a securities enforcement associate at the law firm Fried, Frank, Harris, Shriver and Jacobson where he provided advice to private funds on issues related to late trading and market timing, among other things. Thoreau earned his J.D. from the University of North Carolina, Chapel Hill, and B.A from the University of Alabama, Birmingham.
Chyhe Becker
Speaker
U.S. Securities and Exchange Commission

Dr. Chyhe Becker is Deputy Director in the Division of Economic and Risk Analysis. She joined the Commission in March 2008 as an assistant director, was promoted to associate director in 2015, and deputy director in 2019. She was previously a principal with Chicago Partners LLC, and a principal with Deloitte Financial Advisory Services LLP. She received an M.B.A. and Ph.D. in financial economics from the University of Chicago Graduate School of Business, and a B.A. in psychology from Yale University. 


Stephanie Bennett
Speaker
U.S. Securities and Exchange Commission

Stephanie has worked at the Commission for almost a decade in different regional offices including Denver, Chicago, and most recently, the Commission’s Home Office, located in Washington DC. She has served in a variety of roles in the Division of Examinations including Regulatory Counsel and Supervisory Attorney-Advisor. As Supervisory Attorney-Advisor, Stephanie is responsible for: overseeing examinations; assisting in the planning for and conducting of examinations primarily of broker-dealers, transfer agents, municipal advisors, exchanges, and other regulated entities; and providing expert analysis and review of activities related to the federal securities law requirements. Prior to government service, Stephanie worked for the Chicago Stock Exchange’s Market Regulation Group and the Financial Industry Regulatory Authority (“FINRA”). A member of the Illinois bar, she holds a bachelor’s degree in Creative and Technical Writing from the University of Illinois at Champaign-Urbana and a JD from DePaul University, Chicago.


Jeffrey A. Berger
Speaker
U.S. Securities and Exchange Commission

Jeff Berger is a Senior Litigation Counsel in the Office of the General Counsel at the Securities and Exchange Commission.   Jeff has served as a member of the Office’s Appellate Group since December 2009.  He joined the Commission’s staff from Mayer Brown, where he had been an associate in the firm’s Chicago and Washington, D.C. offices. 

Jeff graduated magna cum laude from the Northwestern University School of Law, where he was editor-in-chief of the Northwestern University Law Review.   After graduating in 2003, he clerked for Judge Karen Nelson Moore of the United States Court of Appeals for the Sixth Circuit.

Dan M. Berkovitz
Speaker
U.S. Securities and Exchange Commission

Dan M. Berkovitz serves at the Securities and Exchange Commission as its General Counsel. Prior to joining the SEC’s staff in November 2021, Mr. Berkovitz was a Commissioner for three years at the U.S. Commodity Futures Trading Commission, where he previously served as General Counsel from 2009 to 2013. In between those CFTC roles, he was a Partner and Co-Chair of the futures and derivatives practice at the law firm of WilmerHale, an Adjunct Professor at Georgetown University Law School, and Vice Chair of the American Bar Association Derivatives and Futures Law Committee. Earlier in his career, Mr. Berkovitz was a Senior Counsel for the U.S. Senate Permanent Subcommittee on Investigations and Deputy Assistant Secretary in the Department of Energy’s Office of Environmental Management. He received an A.B. in Physics from Princeton University and a J.D. from the University of California, Hastings College of the Law.

Richard R. Best
Speaker
U.S. Securities and Exchange Commission

Richard R. Best is the Director of the Division of Examinations of the United States Securities and Exchange Commission. He became Director in May 2022, after having served as its Acting Director since March 2022. He was previously the Regional Director of the Salt Lake Regional Office, serving from July 2015 to February 2018, Regional Director of the Atlanta Regional Office, serving from February 2018 to September 2020, and Regional Director of the New York Regional Office serving from September 2020 to March 2022.

Before coming to the Commission, Mr. Best was a Chief Counsel in the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA). Mr. Best was also a Director, Senior Trial Attorney and Trial Attorney at FINRA.

Mr. Best previously worked as an Assistant District Attorney in the Office of the Bronx County District Attorney. He was a supervisor in the Office’s Rackets Bureau where he managed high-profile public integrity and organized crime prosecutions, among other matters.   

Mr. Best received his bachelor’s degree from the State University of New York, College at Old Westbury, and a law degree from the Howard University School of Law.

Stacey Bogert
Speaker
U.S. Securities and Exchange Commission
Kaitlin Bottock
Speaker
U.S. Securities and Exchange Commission

Kaitlin Bottock is a Branch Chief in the Chief Counsel’s Office of the SEC’s Division of Investment Management.  Kaitlin’s work focuses on exemptive applications, no-action letters and counseling other divisions and offices at the SEC on investment management issues.  Kaitlin joined the SEC in 2014.  

Kaitlin received a Bachelor of Arts degree with high distinction from the University of Virginia and a Juris Doctor degree from the University of Virginia School of Law.  Prior to joining the SEC, Kaitlin worked at Dechert LLP.

Patrick Boyle
Speaker
U.S. Securities and Exchange Commission
Tamara M.. Brightwell
Speaker
U.S. Securities and Exchange Commission

Tamara Brightwell is a corporate partner in the Washington, D.C., office of Wilson Sonsini Goodrich & Rosati, where she counsels public company clients on a wide range of regulatory matters and provides expert securities law advice on complex capital markets transactions.

Prior to joining the firm, Ms. Brightwell served as the Disclosure Review Program Director in the Division of Corporation Finance at the U.S. Securities and Exchange Commission (SEC). In her most recent role at the SEC, she provided legal and policy guidance to the disclosure review program and oversaw the division’s reviews of transactional filings and periodic and current reports to monitor and enhance compliance with disclosure and accounting requirements, with specific oversight of industry offices for life sciences, industrial applications and services, energy and transportation, manufacturing, and trade and services. During her nearly two decades at the SEC and in the Division of Corporation Finance, Ms. Brightwell served in numerous roles, including as Deputy Chief Counsel and Senior Advisor to the Chair.

Ms. Brightwell received a B.S. in financial management, cum laude, from Clemson University, and a J.D. from the University of Notre Dame Law School.

Jason J.. Burt
Speaker
U.S. Securities and Exchange Commission

Jason Burt is the Associate Regional Director of Enforcement in the Denver Regional Office. In this role, Jason leads DRO's Enforcement efforts, supervising over 50 investigative and trial unit staff in their investigations and litigations. Prior to becoming the Associate Regional Director, Jason was an Assistant Regional Director in both the Asset Management Unit and the Market Abuse Unit of the Division of Enforcement. The Asset Management Unit focuses on cases related to mutual fund, hedge fund, and private equity fund practices, while the Market Abuse Unit specializes in cases related to large-scale insider trading, market structure, and cyber issues. Jason has also served as an Adjunct Professor at the University of Denver Sturm College of Law, teaching a class on Investment Adviser Enforcement and Regulation. Prior to joining the SEC, he worked in the Securities Enforcement group of a New York-based law firm representing financial institutions, public companies, and individuals in a broad range of investigations and other matters before the SEC and other agencies.

Charles E. Cain
Speaker
U.S. Securities and Exchange Commission

Charles E. Cain is the Chief of the Foreign Corrupt Practices Act Unit within the Securities and Exchange Commission’s Division of Enforcement. He has been in the SEC’s FCPA Unit since its formation in 2010 and with the Division of Enforcement for twenty-two years. As the Chief, his roles include oversight of the National FPCA program, coordination with domestic and foreign law enforcement, and supervision of individual investigations. During his tenure with the SEC, he has also been responsible for numerous significant cases in other areas including financial fraud, insider trading, offering fraud, market manipulation, disclosure fraud, and broker dealer practices. Mr. Cain is a graduate of The George Washington University Law School.

Eugene Canjels
Speaker
U.S. Securities and Exchange Commission

Eugene is an Assistant Director in DERA’s Office of Litigation Economics. He provides financial, economic, and statistical analyses to assist the Commission in its enforcement investigations, including disclosure issues, insider trading, market manipulation, and favorable trade allocations. An econometrician by training, Eugene is especially interested in the application of statistical techniques to enforcement matters.

Eugene received a Ph.D. in Economics from Northwestern University, and a Master’s degree in Quantitative Economics from Maastricht University, the Netherlands. Prior to joining the SEC in 2010, Eugene worked in private sector consulting firms, and taught at the New School for Social Research in New York.

Keith E. Cassidy
Speaker
U.S. Securities and Exchange Commission

Keith Cassidy is an Associate Director in the Securities and Exchange Commission’s (SEC) Division of Examinations and the head of Technology Controls Program (TCP). In this role, Mr. Cassidy oversees a staff of technologists and attorneys responsible for conducting examinations of entities subject to Regulation Systems Compliance and Integrity (SCI), and providing technical assistance to the other national exam programs on technology related issues. His staff also administers the SEC’s CyberWatch program, which is the primary intake point for information filed under Regulation SCI and the operations center for incident response. Mr. Cassidy also serves as the SEC’s representative to the G7 Cyber Experts Group, the Financial and Banking Information Infrastructure Committee and the Cyber Incident Reporting Council.


Before joining Examinations, Mr. Cassidy was the Director of the SEC’s Office of Legislative and Intergovernmental Affairs, where he worked directly for three separate Chairs. Before coming to the Commission in 2010, Mr. Cassidy was Chief of Staff and Counsel at the Department of Justice’s Office of Legislative Affairs. Prior to his time at the Department of Justice, Mr. Cassidy worked in the United States Senate as a legislative assistant.


Mr. Cassidy received his law degree from the George Washington University Law School and his LL.M. in Securities and Financial Regulation from Georgetown Law Center. He holds a bachelor’s degree in History from the University of Virginia and is a Certified Information Systems Security Professional (CISSP).


Mr. Cassidy is also an Infantry Officer in the U.S. Marine Corps Reserve, where he serves as the Reserve Operations Officer for 4th Reconnaissance Battalion, and has earned numerous awards. 

D. Mark Cave
Speaker
U.S. Securities and Exchange Commission

Mark Cave is an Associate Director in the U.S. Securities and Exchange Commission’s Division of Enforcement. He joined the SEC in 2010 as a staff attorney and has served as an Assistant Director and as Senior Counsel to the Director of Enforcement. Mark has led and supervised numerous significant enforcement actions involving public company accounting and disclosure violations, market manipulation, hacking, FCPA violations, SPACs, ICOs, and insider trading. Prior to joining the SEC, Mark was in private practice in New York. He received his J.D. from New York University School of Law and a B.A. from Duke University.   

Eric Celauro
Speaker
U.S. Securities and Exchange Commission

Eric Celauro is an attorney in the Division of Examination of the Securities and Exchange Commission. Since July 2021, he has been the Senior Regulatory Counsel for the Office of Clearance and Settlement. In that role, he serves as counsel for examination teams responsible for conducting exams and regulatory oversight of clearing agencies, with a focus on those designated as Systemically Important. Eric earned his J.D. cum laude from the University of Illinois College of Law in 2001, and joined the Division of Enforcement in 2007 after serving as a criminal prosecutor in the Cook County State’s Attorney’s Office for nearly six years.


Olivia Choe
Speaker
U.S. Securities and Exchange Commission

Olivia S. Choe is the Chief Litigation Counsel for the Division of Enforcement. She previously served as senior trial counsel and supervisory trial counsel in the SEC’s Washington, D.C. office. Before joining the SEC, Olivia was a federal prosecutor with the U.S. Attorney’s Office for the Southern District of Florida and an associate at Ropes & Gray LLP.  

Olivia received her A.B. summa cum laude from Harvard University and her J.D. from Yale Law School. After graduating from law school, Olivia clerked for the Honorable John M. Walker, Jr., of the U.S. Court of Appeals for the Second Circuit and the Honorable Rya W. Zobel of the U.S. District Court for the District of Massachusetts.

Michael A. Conley
Speaker
U.S. Securities and Exchange Commission

Michael A. Conley is the Solicitor at the Securities and Exchange Commission, a position that he has held since October 2015.  In that position, Mr. Conley oversees the agency’s appellate litigation and bankruptcy group.  Between September 2011 and October 2015, he was a Deputy General Counsel and from October 2000 to September 2011, he was a member of the Appellate Group within the Commission’s Office of the General Counsel.  Mr. Conley joined the Commission’s staff from Pillsbury Madison & Sutro LLP, where he had been a partner in the firm’s Washington, DC office. 

Mr. Conley graduated in 1989 from Boston University School of Law, where he was editor-in-chief of the law review.  He clerked for Judge Abner J. Mikva of the United States Court of Appeals for the District of Columbia Circuit and for Associate Justice Harry A. Blackmun of the Supreme Court of the United States.

Scott Davey
Speaker
U.S. Securities and Exchange Commission
Jill Davis
Speaker
US Securities and Exchange Commission

Jill Davis is an Associate Chief Accountant in the SEC’s Office of Chief Accountant’s International Group. During her tenure with the Division of Corporation Finance she was an Associate Chief Accountant in the Division’s Office of Chief Accountant where she focused on foreign private issuer reporting matters, International Financial Reporting Standards, non-GAAP, the extractive industry accounting, contingencies and auditor related matters. Prior to that she was a Branch Chief in the Division of Corporation Finance’s Office of Natural Resources. Jill earned a B.S. from Skidmore College and she is a CPA in Virginia.

Kerry J. Dingle
Speaker
U.S. Securities and Exchange Commission

Kerry J. Dingle is a Senior Counsel in the Securities and Exchange Commission’s Office of the General Counsel.  She is a member of the Office’s Appellate Group.

Kerry clerked for Judge R. Lanier Anderson III of the United States Court of Appeals for the Eleventh Circuit. She joined the Commission from Latham & Watkins LLP, where she was an associate in the Securities Litigation & Professional Liability and Supreme Court & Appellate practice groups.

Kerry received her J.D. from Harvard Law School and her A.B. from Harvard College.

Anita Doutt
Speaker
U.S. Securities and Exchange Commission

Anita Doutt is a Senior Associate Chief Accountant in the SEC's Office of the Chief Accountant where she advises on auditing, internal control, and auditor independence matters through consultations, oversight of the PCAOB, and rulemaking support. Previously, Anita was a Senior Manager at KPMG LLP, in the firm's assurance practice. During her tenure with KPMG LLP, she completed an 18-month professional practice fellowship at the Center for Audit Quality focusing on policy matters impacting the public company auditing profession. Anita earned a B.S. in Accounting and Finance from the University of South Florida and a MAcc from the Ohio State University. She is a CPA in Virginia and D.C. and is a Certified Government Financial Manager.

Jonathan Duersch
Speaker
U.S. Securities and Exchange Commission

Jon is an Associate Chief Accountant in the Office of the Chief Accountant at the U.S. Securities & Exchange Commission. He has been with the Commission for 18 years and engages in leading accounting interpretation requests from public and private companies, auditors, and other divisions within the SEC on current novel and complex accounting issues. He currently serves as the topic leader for debt-equity and oil and gas matters.  Jon has led SEC oversight of various FASB standard setting projects including those that implicate oil and gas accounting standards as well as worked with international regulators from around the world in responding to implications of proposed IFRS standards. Before joining the SEC, Jon was a Manager of Assurance Services at Tanner LC in Salt Lake City, Utah. Jon is a CPA and received his B.S. and Master’s degrees in accounting from Utah State University. 


Jennifer A. Duggins
Speaker
U.S. Securities and Exchange Commission

Jennifer A. Duggins is Assistant Director and Co-Head of the Private Funds Unit within the SEC’s Division of Examinations. Prior to joining the SEC, Jennifer was a Director in Regulatory Risk Consulting within the Advisory Practice of KPMG. Prior to joining KPMG, Jennifer was Senior Vice President and Chief Compliance Officer of Chilton Investment Company. Prior to Chilton, Jennifer was Vice President, Legal and Compliance at Andor Capital Management.

Jennifer has a B.A. in History from New York University and a M.S. in Human Resource Management from Sacred Heart University John F. Welch College of Business. Jennifer is an Investment Adviser Certified Compliance Professional, IACCP® and a FINRA Certified Regulatory and Compliance Professional, CRCP®. Jennifer is also an Adjunct Professor within Fordham Law School’s MSL Compliance Program where she currently teaches Introduction to Corporate Compliance and Compliance Risk Assessment. 

Marco Enriquez
Speaker
U.S. Securities and Exchange Commission
Allison M.. Fakhoury
Speaker
U.S. Securities and Exchange Commission

Allison M. Fakhoury joined OCIE’s Office of Clearance and Settlement as Senior Regulatory Counsel in 2014. In that role, she serves as legal counsel for the team responsible for examining clearing agencies, including those designated as Systemically Important Financial Market Utilities (SIFMUs). Prior to joining OCIE, Allison spent 11 years as Senior Counsel in the SEC’s Division of Enforcement, during which she handled numerous securities fraud investigations, including financial fraud, directed brokerage, best execution, market manipulation, insider trading, and offering frauds. She has also litigated securities fraud in federal district court, and instituted administrative and cease and desist proceedings.  Allison holds a JD from Loyola University Chicago School of Law and a BA in Business Administration from Wayne State University.

Katherine P.. Feld
Speaker
U.S. Securities and Exchange Commission

Katherine P. Feld is Senior Special Counsel for Investment Companies in the Division of Examinations at the U.S. Securities and Exchange Commission where she provides expert legal and regulatory guidance on investment companies and their investment advisers. She identifies higher risk areas for examination, develops IC exam initiatives, conducts examinations, organizes and leads cross-divisional teams to address regulatory questions, trains staff, and briefs senior leadership on priorities relating to investment companies and their advisers. 

Katherine is a co-coordinator of the IC-Specialized Working Group (IC-SWG), a task force across the SEC’s regional offices to collaborate and discuss current issues, exam initiatives and concerns related to investment companies, as well as inform rulemaking and policy initiatives.

Prior to joining the SEC in May 2013, Katherine spent nearly 30 years with major financial services firms in senior legal and compliance roles. She was previously Vice President & Corporate Counsel with Prudential Investments LLC; Chief Compliance Officer (CCO) and Counsel for the Alger Funds; Vice President & Senior Counsel with OppenheimerFunds, Inc.; and associate attorney with Brown & Wood LLP (now Sidley Austin LLP) in New York, NY. Katherine holds a J.D. from Cornell University Law School, M.B.A. from Cornell University’s Johnson Graduate School of Management, and B.A. in Economics from the University of Virginia.

Michael Ferrario
Speaker
U.S. Securities and Exchange Commission

Michael is a Senior Special Counsel in the SEC’s OIA, where he works in the Regulatory Policy/Supervisory Cooperation section. In this role, Michael cooperates with the SEC’s regulatory counterparts and engages with market participants in the US and abroad to prevent and address regulatory gaps, overlaps, and conflicts with other jurisdictions. Michael also facilitates and participates in bilateral and multilateral international policy discussions to promote the adoption of regulatory standards and policies consistent with the SEC’s regulatory framework, and to strengthen regulatory infrastructure in global financial markets. Michael has also served as Counsel to the Director of OIA.  

Prior to joining the SEC in 2014, Michael worked at a large global law firm where he counseled primarily investment adviser and broker-dealer clients on their regulatory and compliance obligations under the U.S. federal securities. 

Elizabeth Fitzgerald
Speaker
U.S. Securities and Exchange Commission
Dominick V. Freda
Speaker
U.S. Securities and Exchange Commission

Dominick V. Freda is an Assistant General Counsel in the Office of the General Counsel at the Securities and Exchange Commission.   Donnie has served as a member of the Office’s Appellate Group since December 2003.  He joined the Commission’s staff from Jones Day, where he had been an associate in the firm’s Issues and Appeals practice group in Washington, D.C.

Donnie graduated cum laude from the University of Pennsylvania Law School in 1998, where he was a member of the University of Pennsylvania Law Review and the National Trial Advocacy Team.  After graduating, he clerked for Judge Morton I. Greenberg of the United States Court of Appeals for the Third Circuit.

Hon. Daniel M. Gallagher
Speaker
Robinhood

Dan Gallagher is the Chief Legal, Compliance and Corporate Affairs Officer of Robinhood Markets. Before joining Robinhood, Dan 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. 

Dan 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. Dan 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. 

Dan 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. Dan holds a J.D. from Catholic University of America, Columbus School of Law, and B.A. from Georgetown University.

Grant A. Gartman
Speaker
U.S. Securities and Exchange Commission

Grant Gartman is an Assistant Director in the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations Office of FINRA and Securities Industry Oversight (FSIO).  FSIO is responsible for the oversight of FINRA and the MSRB.  Prior to FSIO, Mr. Gartman was an Assistant Director in OCIE’s Office of Market Oversight, which was responsible for conducting inspections of the National Securities Exchanges, FINRA, MSRB, and SIPC.  Mr. Gartman has been with the Commission since 2000.  He received a J.D. from American University and a B.A. in Economics from Pepperdine University. 

Hon. Gary Gensler
Speaker
U.S. Securities and Exchange Commission

Gary Gensler was nominated by President Joseph R. Biden to Chair the U.S. Securities and Exchange Commission on February 3, 2021, confirmed by the U.S. Senate on April 14, 2021, and sworn into office on April 17, 2021.

Before joining the SEC, Gensler was professor of the Practice of Global Economics and Management at the MIT Sloan School of Management, co-director of MIT’s Fintech@CSAIL, and senior advisor to the MIT Media Lab Digital Currency Initiative. From 2017-2019, he served as chair of the Maryland Financial Consumer Protection Commission.

Gensler was formerly chair of the U.S. Commodity Futures Trading Commission, leading the Obama Administration’s reform of the $400 trillion swaps market. He also was senior advisor to U.S. Senator Paul Sarbanes in writing the Sarbanes-Oxley Act (2002), and was undersecretary of the Treasury for Domestic Finance and assistant secretary of the Treasury from 1997-2001.

In recognition for his service, he was awarded the Alexander Hamilton Award, the U.S. Treasury’s highest honor. He is a recipient of the 2014 Frankel Fiduciary Prize.

Prior to his public service, Gensler worked at Goldman Sachs, where he became a partner in the Mergers & Acquisition department, headed the firm’s Media Group, led fixed income & currency trading in Asia, and was co-head of Finance, responsible for the firm's worldwide Controllers and Treasury efforts.

A native of Baltimore, Md., Gensler earned his undergraduate degree in economics in 1978 and his MBA from The Wharton School, University of Pennsylvania, in 1979. He has three daughters.

Erik Gerding
Speaker
U.S. Securities and Exchange Commission

Erik Gerding is Director of the Division of Corporation Finance at the U.S. Securities and Exchange Commission. He joined the SEC from the University of Colorado School of Law, where he is a Professor of Law. He was previously on the law faculty at the University of New Mexico and taught as a visiting professor at the University of Georgia. Erik practiced in the New York and Washington, DC offices of a large international law firm. He is the author of Law, Bubbles, and Financial Regulation (Routledge 2014).

Pamela A. Gibbs
Speaker
U.S. Securities and Exchange Commission

Pamela A. Gibbs serves as the Chief Diversity Officer for the U.S. Securities and Exchange Commission (SEC).  As head of the agency’s Office of Minority and Women Inclusion, Ms. Gibbs provides strategic and operational leadership to ensure the SEC’s diversity and inclusion strategy advances the goals of the agency’s core mission—protecting investors.  Under the direction of Ms. Gibbs, the SEC has developed strategic partnerships and alliances with diverse educational institutions, professional organizations, and community-based organizations, increased the utilization of minority-owned and women-owned businesses in the agency’s supply chain, and developed diversity standards for the more than 25,000 entities regulated by the SEC.  In addition, the SEC has initiated an enhanced national outreach program to attract a diverse talent pool for current and future employment opportunities.

Prior to joining the SEC, Ms. Gibbs served as the Director for the Office of Diversity and Inclusion at the U.S. Commodity Futures Trading Commission.  Ms. Gibbs began her career at the U.S. Department of Labor, Office of the Solicitor, as a trial attorney in the Civil Rights Division, enforcing employment opportunity laws administered by the Office of Federal Contract Compliance Programs.  Later she represented the agency on internal employment discrimination and labor relations matters primarily before the US Equal Employment Opportunity Commission, the Merit System Protections Board, and the Federal Labor Relations Authority.  Ms. Gibbs is a graduate of the University of Virginia and the Georgetown University Law Center.

James T. Giles
Speaker
U.S. Securities and Exchange Commission

James T. Giles, CFA, CPA currently serves as the Acting Chief Risk and Strategy Officer for the Division of Examinations, at the U.S. Securities and Exchange Commission. Jim leads a centralized unit of staff that are responsible for enhancing the National Examination Program’s ability to identify and target those firms and practices that present the greatest risks to investors, markets and capital formation. He currently oversees the NEP’s risk assessment, market surveillance and financial intelligence efforts as well as its quantitative analytical teams and large firm monitoring staff.


Prior to his current role, Jim served as Assistant Director for the Office of Large Firm Monitoring (“LFM”), within the Division of Examinations. He helped create this Office and led this office since 2011. Previously, Jim was the Assistant Director for the Broker-Dealer Risk Office—Office of Prudential Supervision and Risk Analysis, within the Division of Trading and Markets. Jim joined the Commission in 2004 and has focused extensively on financial, risk, operational, and compliance practices within the financial markets, particularly with respect to large financial institutions.

 

Prior to coming to the Commission, Jim served as Director- Tax Accounting and Analysis at the Federal Home Loan Mortgage Corporation focusing largely on complex debt and derivative instruments. He started his career in public accounting at Coopers and Lybrand, L.L.P. Jim received his bachelor’s and master’s degree in accounting from the University of Florida. He is a licensed CPA and a Chartered Financial Analyst (CFA) charter holder.

Hon. Cynthia A. Glassman
Speaker

Cynthia A. Glassman is a member of the Board of Discover Financial Services where she chairs the audit committee. She was also on the Board of Navigant Consulting, Inc., until its recent sale, where she chaired the nominating and governance committee and served on the audit committee. In addition, Dr. Glassman is a Senior Research Scholar focusing on corporate governance in the Institute for Corporate Responsibility at the GWU School of Business. She is also of a member of the Dow Jones five-person Special Committee, an independent body charged with safeguarding the editorial independence of The Wall Street Journal and Dow Jones, as well as their adherence to the highest ethical and professional standards.

Prior to her current roles, she was appointed by President Bush to serve as the Under Secretary for Economic Affairs at the U.S. Department of Commerce from 2006 to January 2009. In that role, she served as the principal economic advisor to the Secretary of Commerce and oversaw two major Federal statistical agencies

She served as a Commissioner of the U.S. Securities and Exchange Commission from 2002 to 2006 and as Acting Chairman during the summer of 2005.  As the only Commissioner with a doctorate in economics, Dr. Glassman brought a unique voice to the Commission, where she regularly sought greater rigor in the regulatory process. During her tenure, she was closely involved in developing and voting on the regulations implementing the requirements of the Sarbanes-Oxley Act, as well as a number of other regulations regarding corporate governance and financial markets.

Dr. Glassman has spent over 45 years in the public and private sectors focusing on financial services regulatory and public policy issues. Earlier in her career, she spent 12 years at the Federal Reserve and 15 years at consulting firms. She is currently on the Advisory Board of the Business and Finance Law Program at the George Washington University (GWU) Law School and has served on several nonprofit boards.

Dr. Glassman received her M.A. and Ph.D. in Economics from the University of Pennsylvania and her B.A. in Economics from Wellesley College. She was a supervisor in economics at the University of Cambridge, England, where she has been named an Honorary Fellow of Lucy Cavendish College.

Lourdes Gonzalez
Speaker
U.S. Securities and Exchange Commission

Lourdes Gonzalez is Assistant Chief Counsel for Sales Practices in the Division of Trading and Markets at the U.S. Securities and Exchange Commission.  The Office of Sales Practices has program responsibility for a broad range of broker-dealer sales practice issues, including Regulation Best Interest and Form CRS, as well as broker-dealer supervision, anti-money laundering compliance, and securities arbitration.  The Office also has program responsibility for business conduct obligations of security-based swap dealers.

During her tenure, Ms. Gonzalez has received numerous SEC awards, including the SEC’s Distinguished Service Award in 2017, which is the SEC’s highest honorary award and given annually to recognize employees or teams who have made substantial and lasting contributions to the SEC’s mission.  Prior to joining the Commission, Ms. Gonzalez worked at the U.S. Department of the Treasury.   She earned her law degree from George Washington University and her undergraduate degree from Georgetown University

Daniel R. Gregus
Speaker
U.S. Securities and Exchange Commission

Dan is the Associate Director over OCIE’s Office of Clearance and Settlement Examinations and has led that group since 2016.  That group examines the financial and operational risks and controls of clearing agencies critical to the nation’s markets for compliance with the Dodd-Frank Act and federal securities laws applicable to clearing agencies.  Dan is also the Associate Regional Director in charge of the Broker-Dealer Examination (BD Exam) Program in the Chicago Regional Office (CHRO) of the SEC and has led that group since 2014.  He joined the CHRO BD Exam Program as an Assistant Regional Director in 2007, where he led some of the CHRO’s and Commissions’ largest and most complex fraud, sales practice and market structure exams of regulated entities.  Prior to that, Dan spent 14 years with the SEC as an attorney in the CHRO’s Enforcement Group.  There, he served as an Assistant Regional Director of Enforcement directing notable investigations and prosecutions of complex fraud and regulatory matters.

Dan is a member of OCIE’s Executive and Operating Committees.  He has also co-chaired and subsequently sponsored the OCIE’s New and Structured Products Specialized Working Group, where he directed and then supported that group’s efforts to identify such products, educate the exam staff as to the issues associated with them, inform policy and undertake National Exam Initiatives. Dan has also represented the Commission internationally, providing technical assistance and training to securities regulators from developing markets regarding the foundations of effective compliance systems and examination programs.   

Prior to joining the Commission, Dan spent seven years in the litigation departments of private law firms in Chicago handling matters involving personal injury and commercial disputes, including commercial fraud claims.  Dan received his Bachelor of Science in Business Administration and his Juris Doctor from the University of Illinois in 1983 and 1986 respectively.

Natasha V. Greiner
Speaker
U.S. Securities and Exchange Commission

Natasha Vij Greiner is the National Associate Director for the Investment Adviser/Investment Company Examination Program and Associate Director for the Washington, DC Investment Adviser/Investment Company Examination Program within the SEC’s Division of Examinations. Prior to these roles, she was the Acting Chief Counsel and an Assistant Chief Counsel in the SEC’s Division of Trading and Markets’ Office of Chief Counsel where she provided legal and policy advice on matters affecting various market participants, including broker-dealers and self-regulatory organizations, and the overall operation of the securities markets. Prior to joining the Division of Trading and Markets in 2012, Ms. Greiner worked in the SEC’s Division of Enforcement. While in the Division of Enforcement, Ms. Greiner was the lead attorney in various enforcement matters involving complex institutional and retail trading, market manipulation, municipal bonds, accounting fraud and insider trading. Prior to her time in the Division of Enforcement, Ms. Greiner was a lead examiner in the SEC’s Office of Compliance Inspections and Examinations where she led and conducted targeted examinations of broker-dealers on issues such as best execution, anti-money laundering, mutual fund sales, structured finance and analyst conflicts. Ms. Greiner earned a J.D. from The Catholic University of America, Columbus School of Law, and a B.S., cum laude, from James Madison University.

Alexis Hall
Speaker
U.S. Securities and Exchange Commission
Alexis Hall serves as Senior Special Counsel in the Technology Controls Program of the Office of Compliance Inspections and Examinations at the U.S. Securities and Exchange Commission.  In this capacity she provides regulatory guidance in connection to the Commission’s oversight of the use of technology in the U.S. securities markets.  Prior to joining the Commission, she served as Special Counsel in the Division of Market Oversight at the U.S. Commodity Futures Trading Commission.  In that role, Alexis focused on the regulation of futures exchanges and swap execution facilities.   Alexis received her J.D. from Howard University School of Law and her B.A. from the University of Maryland.
Tracey A. Hardin
Speaker
U.S. Securities and Exchange Commission

Tracey Hardin is an Assistant General Counsel in the Office of the General Counsel at the Securities and Exchange Commission.  Tracey has served as a member of the Office’s Appellate Group since June 2005.  She joined the Commission’s staff from the Department of Justice, where she had been a trial lawyer in the Civil Division in Washington, DC.     

Tracey graduated from Vanderbilt University School of Law in 1998, where she was an editor of the Vanderbilt Law Review.  After graduating, she clerked for Judge J. Owen Forrester of the District Court for the Northern District of Georgia and Judge Frank M. Hull of the United States Court of Appeals for the Eleventh Circuit. 

Melissa R. Harke
Speaker
U.S. Securities and Exchange Commission

Melissa Roverts Harke is the Assistant Director of the Investment Adviser Regulation Office in the U.S. Securities & Exchange Commission’s Division of Investment Management. Her office is responsible for investment adviser rulemaking and guidance. Prior to joining the SEC in 2008, Melissa was an Associate in the Investment Management Group of the Washington, D.C. office of K&L Gates. She received her undergraduate degree from Bucknell University and her law degree from American University.

David L. Hirsch
Speaker
U.S. Securities and Exchange Commission

Dave Hirsch J.D., CFE, is Chief of the Crypto Asset and Cyber Unit within the SEC Division of Enforcement. Prior to that he served as Counsel to SEC Commissioner Caroline Crenshaw, primarily responsible for matters relating to enforcement along with digital assets and cyber. He began his career with the SEC as Counsel in the Division of Enforcement, and in that role was a member of the SEC Digital Ledger Technology Working Group and the Dark Web Working Group. Dave is a graduate of the UCLA School of Law and clerked for Judge Edward J. Schwartz in the United States District Court for the Southern District of California. Before joining the SEC, he was a litigator, and later co-founded and ran a private investigation firm focused on securities fraud investigations. Throughout his SEC career he has provided trainings on issues relating to digital assets and cybersecurity, including for fellow regulators and law enforcement. Dave authored the chapter on Blockchain and Information Security in the Handbook of Blockchain Law.  

Philip Holmes
Speaker
U.S. Securities and Exchange Commission
Philip J. Holmes is a special trial counsel in the Litigation and Administrative Practice Group of the SEC”s Office of the General Counsel. Mr. Holmes investigates and prosecutes attorney misconduct cases under SEC Rule of Practice 102(e) and Part 205 of the SEC”S Part 205 Standards of Professional Conduct for Attorneys Appearing and Practicing before the commission in the representation of an issuer. Mr. Holmes has an A.B in History from Dartmouth College and a J.D from Cornell Law School.
Timothy Husson
Speaker
U.S. Securities and Exchange Commission

Tim Husson is the Associate Director of the Analytics Office in the Division of Investment Management.  In this role, he oversees the data analysis and industry monitoring activities in the Division and provides guidance on complex financial and quantitative topics. 

Before joining the SEC, he was a Senior Financial Economist at SLCG, an economic consulting firm in Fairfax, Virginia, where he provided quantitative research and analysis in support of expert testimony and regulatory proceedings.  He has coauthored numerous research papers on exotic financial products, financial markets, and complex securities, available online from SSRN.

Dr. Husson holds a BA and Ph.D in Computational Neuroscience from the University of Chicago.  His scientific work focused on the development and applications of a novel neural imaging technique.

Renee Jones
Speaker
U.S. Securities and Exchange Commission

Renee Jones is a professor and Dr. Thomas F. Carney Distinguished Scholar at Boston College Law School. Her courses include Corporations, Securities Regulation, Startup Company Governance, and Financial Regulation. From 2018 to 2021, Professor Jones served as Associate Dean for Academic Affairs at the law school.  

From 2021 to 2023, Professor Jones served as the Director of the Division of Corporation Finance at the U.S. Securities and Exchange Commission. As Division Director, Professor Jones led a team of more than 400 lawyers, accountants and analysts charged with interpreting, implementing and ensuring compliance with the Securities Act of 1933, the Securities Exchange Act of 1934 and related statutory provisions. In this role, she oversaw the implementation of Commission’s ambitious rulemaking agenda, including the drafting of proposed and final rules covering topics including the disclosure of climate-related risks, cybersecurity risks, Special Purpose Acquisition Companies (SPACs), insider trading, executive compensation, shareholder voting. She also oversaw the Division’s Disclosure Review Program to ensure corporate compliance with SEC disclosure requirements, handling issues ranging from disclosure by China-based issuer and climate-related risk disclosure to the impact of the Russia-Ukraine conflict on corporate issuers. 

Professor Jones’s scholarship focuses on securities regulation, corporate governance and the federal-state relationship in corporate regulation. A frequent commentator on corporate and securities law issues, she has appeared at conferences at law schools and professional societies across the country and abroad.  Her article, The "Unicorn Governance Trap," published in the University of Pennsylvania Law Review Online, highlights the risks posed by the increasing number of unicorns (private companies valued at $1 billion or more) to investors, employees, consumers, and society. In 2019, Professor Jones testified on this topic before the Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets of the House Financial Services Committee and the Securities and Exchange Commission’s Investor Advisory Committee.

Professor Jones has been Visiting Professor at the University of Hawaii Richardson School of Law and the Sorbonne University in Paris. From 2005-2006, she was the Eugene P. Beard Faculty Fellow in Ethics at Harvard University’s Edmond J. Safra Foundation Center for Ethics. In 2010, she received the Faculty Award for Inspirational Achievement from the Boston College Law Business & Law Society.

Among her many professional and community activities, Jones is a member of the Academic Advisory Board of the Institute for Law and Economic Policy. She has also served on the Governing Committee of the Massachusetts Medical Malpractice Reinsurance Plan, and American Law Institute. In addition, she has served as a member of the American Bar Association’s House of Delegates, Human Rights Magazine's editorial board, and New England Committee of the NAACP Legal Defense Fund, and has co-chaired the Boston Bar Association’s Securities Law Committee.

Before joining BC Law in 2002, Professor Jones practiced for eight years at the Boston law firm Hill & Barlow, where she represented private and public companies on corporate and securities matters. Professor Jones received her AB degree from Princeton University and her JD, cum laude, from Harvard Law School, where she was an Editor of the Harvard Law Review.

Eric Juzenas
Speaker
U.S. Securities and Exchange Commission

Eric Juzenas is an Associate Director in the SEC’s Division of Trading and Markets, where he is responsible for oversight of the U.S. security-based swap, equity, and debt markets. Previously, he worked for Commissioner and Acting Chair Allison Herren Lee. Eric has also worked in the private sector and held roles at the Department of Treasury, Commodity Futures Trading Commission, and on Capitol Hill. He is a graduate of the University of Wisconsin—Madison and the George Washington University Law School.

Jessica Kane
Speaker
U.S. Securities and Exchange Commission

Jessica Kane is a Disclosure Review Program Director in the Division of Corporation Finance. In this capacity, Ms. Kane leads the Division’s important work reviewing transactional, periodic and current reports in furtherance of the Division’s mission critical work to promote capital formation and protect investors. Ms. Kane also leads initiatives to monitor and enhance the effectiveness, relevancy and transparency of disclosures.

Ms. Kane previously served as Director of the Office of Credit Ratings, leading its work to oversee credit rating agencies registered with the Commission as NRSROs. She led efforts on NRSRO examinations and related SEC annual reports, as well as monitoring initiatives and reports to Congress on competition, transparency and conflicts of interest. 

Before joining OCR, Ms. Kane was the Director of the Office of Municipal Securities and played a leading role in the implementation and operation of the municipal advisor registration regime.

She first joined the SEC in 2007 in the Division of Corporation Finance where she worked on corporate securities disclosure matters until 2012. She worked in the agency’s Office of Legislative and Intergovernmental Affairs from 2012 to 2013.

Ms. Kane holds a bachelor’s degree from Georgetown University and received her law degree from George Mason University School of Law.

Hon. Roberta S. Karmel
Speaker
Brooklyn Law School

Roberta S. Karmel is Distinguished Research Professor of law at Brooklyn Law School. Prior to that she served as Centennial Professor of Law and Co-Director of the Dennis J. Block Center for the Study of International Business Law at Brooklyn Law School. She was engaged in the private practice of law in New York City for over thirty years. She was a Commissioner of the Securities and Exchange Commission from 1977-80, a public director of the New York Stock Exchange, Inc. from 1983-89, and a member of the National Adjudicatory Council of the NASDR from 1998-2001. 

Professor Karmel is a member of the CFP Board and a Trustee of the Securities and Exchange Commission Historical Society. She is Chair Emerita of the Board of Trustees of the Practising Law Institute. She is a member of the the American Bar Association, the American Law Institute, the Economic Club of New York, the Financial Women’s Association, and a Fellow of the American Bar Foundation. 

Professor Karmel is the author of over 90 articles in books and legal journals and wrote a regular column on securities regulation for the New York Law Journal from 1980-2016. Her book entitled Regulation by Prosecution: The Securities and Exchange Commission vs. Corporate America was published by Simon and Schuster in 1982. Her book Life at the Center: Reflections on Fifty Years of Securities Regulation was published by PLI in 2014. 

Thomas Karr
Speaker
U.S. Securities and Exchange Commission

Tom has worked in the SEC’s Office of the General Counsel since 1998, and has been an Assistant General Counsel since 2006.    He helped draft the Part 205 attorney conduct rules, and is involved in investigating possible attorney misconduct and bringing administrative proceedings against attorneys pursuant to SEC Rule of Practice 102(e).   Tom was also involved in drafting the anti-retaliation and other provisions of the Commission’s rules implementing its Dodd-Frank whistleblower program, and has worked on amicus briefs on whistleblower issues, including the United States’ brief in Lawson v. FMR, 571 U.S. 429 (2014), and Digital Realty Trust v. Somers, 138 S.Ct. 767 (2019).

He is a graduate of Harvard University and of the University of Virginia School of Law. 

Nicole C. Kelly
Speaker
U.S. Securities and Exchange Commission

Cree Kelly is currently the Chief of the SEC’s Office of the Whistleblower. She has served in multiple roles in her over two decades at the Commission including as senior counsel in the Division of Enforcement where she was an original member of the Division’s Complex Financial Instruments Unit. She also served as Counsel to former Chair Mary Jo White where she advised the Chair on Enforcement charging, and whistleblower award recommendations. Most recently Cree served as Senior Special Counsel in the Office of General Counsel where she advised the Commission and staff on whistleblower-related matters. Cree has a B.A. from Amherst College and J.D. from Tulane University.

Cicely LaMothe
Speaker
U.S. Securities and Exchange Commission

Cicely LaMothe is Deputy Director for Disclosure Operations in the Division of Corporation Finance and oversees the Division’s disclosure review program for public companies. Ms. LaMothe joined the division in 2002 and served as the Senior Assistant Chief Accountant for the Office of Real Estate and Commodities, where she managed the accounting staff and led reviews of public company financial statements and related disclosure. She also previously served as an accounting branch chief and as a staff accountant in the division’s disclosure operations program.

Before coming to the SEC, Ms. LaMothe worked for six years in the private sector, including as the financial reporting manager for a public company and as a senior associate with a national accounting firm.  She received her bachelor’s degree in accounting from Hampton University in 1996.

David Lisitza
Speaker
U.S. Securities and Exchange Commission

David D. Lisitza David D. Lisitza is a member of the Securities and Exchange Commission’s Appellate Group in the Office of the General Counsel, where he writes briefs and argues cases in the federal courts of appeals, and develops national regulatory and policy analysis.


David focuses on insider trading, and wrote the SEC’s appellate briefs in Salman, Newman, Rajaratnam, Gupta, Obus, and Dorozhko. He also briefs remedies issues, including Liu. And he works on a range of crypto and digital asset issues.     


David clerked for Judge Frank H. Easterbrook. He also worked on appeals for Mayer Brown and Gibson Dunn. David received both his J.D. and B.A. from the University of Chicago.


Raymond A. Lombardo
Speaker
U.S. Securities and Exchange Commission
Raymond is the Assistant Director in the Office of Financial Responsibility (OFR) in the Division of Trading & Markets. His daily responsibilities focus on administering the Commission’s net capital, customer protection, notification, and recordkeeping and reporting rules governing broker-dealers. He is a staff representative on the Financial Stability Board Cross Border Crisis Management Group and serves as liaison for coordination with the U.S. banking regulators on matters such as resolution planning, information sharing, and other initiatives impacting broker-dealers. He joined the Commission staff in 2004 in the Office of Market Supervision within the Division of Trading & Markets where he worked on equity market structure matters such as Regulation NMS. He has also served as a Senior Counsel with the Commission’s Office of General Counsel where he provided the Commission with legal advice with respect to numerous rulemakings and enforcement matters. He is a graduate of Fordham University School of Law and Fordham College.
Jennifer Lopez Molina
Speaker
U.S. Securities and Exchange Commission

Jennifer López Molina is a Legal Branch Chief in the Office of Trade and Services in the Division of Corporation Finance at the SEC. Ms. López has been with the Commission since 2012. While at the SEC, Ms. López has also served as an attorney in the Office of Mergers and Acquisitions in the Division of Corporation Finance. 

Before joining the SEC, Ms. López was a Certified Public Accountant in private practice in New York and Virginia. Ms. López received an LL.M. in Securities and Financial Regulation from Georgetown Law Center and was the recipient of the Thomas Bradbury Chetwood, S. J. Prize. Ms. López received her law degree from the University of Puerto Rico School of Law. She holds a bachelor’s degree in Accounting from the University of Puerto Rico.

Michael A. Macchiaroli
Speaker
U.S. Securities and Exchange Commission

Michael A. Macchiaroli is an Associate Director, Office of Broker-Dealer Finances, Division of Trading and Markets, U.S. Securities and Exchange Commission, where he is responsible for the broker- dealer financial responsibility program, which deals with the capital record-keeping, reporting and customer protection Rules. Mr. Macchiaroli has been employed at the Commission since 1970 and in the Division of Trading and Markets since 1978.

Akrivi Mazarakis
Speaker
U.S. Securities and Exchange Commission

Having held several roles within the SEC, Akrivi currently serves as the Assistant Director over the Office of Security Based Swaps (OSBS) in the SEC’s Division of Examinations. Her team is primarily responsible for examining security-based swap dealers and major security-based swap participants. Akrivi also serves as a co-lead for the SEC’s security-based swap joint venture, an intra-agency task force responsible for coordinating functions related to security-based swap regulation and oversight of related registered entities. Prior to her current roles, Akrivi was an Acting Assistant Director and Branch Chief in the Division of Examinations’ Office of Chief Counsel, where she provided advice on law, policy, operations, and ethics to examination staff in Washington, DC and in the regional offices. 

 

In addition to her federal government experience, Akrivi was a senior associate at several major private law firms in their enforcement and litigation practices, where she represented broker-dealers, investment advisers, and executives of public companies in civil litigation and in investigations by the SEC, the U.S. Department of Justice, and other U.S. regulatory agencies regarding alleged violations of the U.S. securities laws. Vivi has counseled clients on legal and compliance issues as well as best practices in the areas of broker-dealer regulation, the Bank Secrecy Act/anti-money laundering regulations, and the Foreign Corrupt Practices Act and authored several articles on topic such as cross-border regulation of financial markets, securities compliance and enforcement. 

 

She earned a Bachelor of Arts in Political Science and Economics from the University of Houston and graduated from American University with a Juris Doctor as well as a Master of Arts in International Affairs.

Lindsay McCord
Speaker
U.S. Securities and Exchange Commission

Lindsay McCord is the Chief Accountant for the Division of Corporation Finance at the U.S. Securities and Exchange Commission. As Chief Accountant, she oversees financial reporting policies and practices in the Division.

Ms. McCord previously severed as a Deputy Chief Accountant for the Division’s Office of Chief Accountant where she was responsible for managing a team of highly technical and experienced accountants that provided accounting and reporting guidance to the Division. Before joining the leadership team of the Division’s Office of Chief Accountant, she was an Associate Chief Accountant in this office with a focus on the financial services industry, financial instruments and internal control over financial reporting. She joined the Division in the Financial Services industry group as a Staff Accountant in 2009 where she reviewed Securities and Exchange Commission filings for compliance with accounting and regulatory standards. 

Prior to joining the Commission, Ms. McCord was a Manager in the Assurance Practice at Grant Thornton in the McLean, Virginia office where she served clients primarily in the technology and services industries. 

She is a graduate of George Mason University and she is a Certified Public Accountant in the Commonwealth of Virginia.

 

Carol McGee
Speaker
U.S. Securities and Exchange Commission

Carol McGee is the Associate Director for the Office of Derivative Policy and Trading Practices in the Division of Trading and Markets at the U.S. Securities and Exchange Commission. Ms. McGee previously served as the Assistant Director over the Office of Derivatives Policy. Prior to rejoining the SEC to serve in that role she was a Partner at Alston & Bird LLP and the co-leader of its securities practice group. She also spent nearly ten years in the Division of Corporation Finance where she served in several roles including as Deputy Chief Counsel.  

Ms. McGee holds a J.D. from the University of Virginia, an M.Phil from the University of St. Andrews and a B.A., magna cum laude, from Wellesley College.


Thomas K. McGowan
Speaker
U.S. Securities and Exchange Commission
Since 1994, Mr. McGowan has worked in the Office of Broker-Dealer Finances at the Commission. Areas of responsibility include the broker-dealer net capital rule, the customer protection rule, and recordkeeping and reporting requirements. 

Prior to working at the Commission, Mr. McGowan worked as an attorney with McGuire, Woods, Battle & Boothe.  

EDUCATION

University of Virginia School of Law
J.D. 1987

Virginia Polytechnic Institute and State University
B.S. Economics 1984
Magna Cum Laude
 
Angela Mokodean
Speaker
US Securities and Exchange Commission

Angela Mokodean is a Branch Chief in the Investment Company Regulation Office in the SEC’s Division of Investment Management. In this role, Angela manages rulemaking teams focused on Investment Company Act regulations and provides advice on policy initiatives affecting the asset management industry. Before joining the Division in 2017, she was a Branch Chief in the Division of Trading and Markets. Angela received a B.A. from Lehigh University and a J.D. from Indiana University Maurer School of Law.

Katherine Monahan
Speaker
U.S. Securities and Exchange Commission

Katherine Monahan is an Exam Manager in the Office of Broker-Dealers and Exchanges (BDX) within the SEC’s Division of Examinations. Katherine has spent close to 15 years at the Commission primarily examining broker-dealers and national securities exchanges. She received an LL.M. in Securities and Financial Regulation from Georgetown Law Center, a J.D., cum laude, from the University of Baltimore, and a B.A. in Philosophy, cum laude, from The Catholic University of America.


Jeffrey S. Mooney
Speaker
U.S. Securities and Exchange Commission

Jeffrey Mooney is an Associate Director in the SEC's Division of Trading and Markets.  He heads the Office of Clearance and Settlement where his responsibilities include developing regulatory standards for central counterparties, central securities depositories and other entities that provide clearance and settlement services.  He also represents the SEC in domestic and international policy initiatives. 

During his tenure, Jeffrey Mooney has served as counsel to former SEC Chairman Arthur Levitt, and co-chaired a working group of securities regulators and central bankers that developed the international standards for financial market infrastructures.  He has also received several SEC awards, and has been a presenter at SEC Speaks, the SEC's International Institute, and various securities industry conferences and events.  Jeffrey Mooney received a JD from Georgetown University Law Center and BA in Economics from Fisk University.

Daniel Morris
Speaker
U.S. Securities and Exchange Commission

Dan Morris, Special Counsel in Disclosure Review Program. Dan has served as special counsel in the Disclosure Review Program and Office of Rulemaking.

Paul Munter
Speaker
U.S. Securities and Exchange Commission

Paul Munter is Chief Accountant of the Office of the Chief Accountant (OCA) at the U.S. Securities and Exchange Commission. He joined OCA as Deputy Chief Accountant for International Activities in 2019. Prior to joining the SEC staff he served as professor of accounting at University of Miami and a national office partner for KPMG. He earned his PhD in accounting from the University of Colorado, Boulder and his B.S. and M.S. in accounting from Fresno State University. He is a CPA in Colorado, New York, and Florida. 

Osman E.. Nawaz
Speaker
U.S. Securities and Exchange Commission

Osman Nawaz serves as a Senior Officer and National Unit Chief in the Division of Enforcement. As head of the Complex Financial Instruments Unit (CFIU), Mr. Nawaz leads a team of lawyers, a dedicated data analyst, and industry experts located throughout the SEC’s nationwide offices and in its Washington, DC Headquarters. CFIU focuses on complex and emerging issues, as well as the creation, sale, trading, rating, and valuation of complex products. CFIU’s work includes numerous first-in-kind actions and investigations across a wide spectrum of subject matter and involves, among others, registrants including investment advisers, broker-dealers, and rating agencies, as well as other market participants. Prior to becoming Chief, Mr. Nawaz served as an Enforcement Assistant Regional Director and Senior Counsel in the SEC’s New York Regional Office, where he is based as head of CFIU. Before joining the SEC, Mr. Nawaz was in private practice at an international law firm focusing on commercial litigation and white collar work. He is an honors graduate of Baylor University and Denver University Law School.

Anne Nguyen Parker
Speaker
U.S. Securities and Exchange Commission

Anne Nguyen Parker is the Assistant Director in the Office of Transportation and Leisure in the Division of Corporation Finance at the SEC.  Ms. Parker has been with the Commission since 2002.  While at the SEC, Ms. Parker has also served as the Legal Branch Chief in the Office of Natural Resources and Food, the Special Counsel in the Office of Online Services, and an attorney in the Office of Healthcare and Insurance.  She has considered no-action relief requests as part of the Division of Corporation Finance’s shareholder proposals task force.  Ms. Parker also worked on the Securities Offering Reform rulemaking project that, among other things, created the WKSI category of issuers and the automatic shelf registration process.

Before joining the SEC, Ms. Parker was an attorney in the corporate department of a large firm in San Francisco.  Ms. Parker graduated from Stanford Law School and Duke University.

Terence O'Brien
Speaker
U.S. Securities and Exchange Commission

Terence O’Brien is an Accounting Branch Chief in the Office of Life Sciences within the Division of Corporation Finance. Mr. O’Brien joined the Division of Corporation Finance in 2003. Prior to joining the staff of the SEC, Mr. O’Brien worked as an Assurance Manager at Grant Thornton LLP. He graduated from The Pennsylvania State University with a B.S. in Finance.

Rebecca Olsen
Speaker
U.S. Securities and Exchange Commission

Ms. Olsen is the Director of the SEC’s Office of Municipal Securities (OMS). Previously, she served in the roles of Acting Director, Deputy Director and Chief Counsel for the office.  OMS is responsible for administering SEC rules pertaining to municipal securities brokers and dealers, municipal advisors, investors in municipal securities, and municipal issuers.  OMS advises the Commission on policy matters relating to the municipal securities market and is responsible for policy development, coordination and implementation of Commission initiatives to improve the municipal securities market, as well as providing technical assistance to other SEC offices on wide array of municipal securities matters.  OMS coordinates with the Municipal Securities Rulemaking Board (MSRB) on rulemaking and enforcement actions.  OMS also acts as the Commission’s liaison to the MSRB, Financial Industry Regulatory Authority (FINRA), the Internal Revenue Service, a variety of investor and industry groups, and regulators on municipal securities issues.

Prior to joining the SEC, Ms. Olsen worked as a public finance attorney at the law firm of Ballard Spahr, LLP for over a decade where she served as underwriter’s counsel, bond counsel, lender’s counsel and borrower’s counsel on a wide variety of public debt offerings and private placements.  Ms. Olsen has a bachelor’s degree in Political Science from Boston College, a J.D. from the Georgetown University Law Center and an LL.M in International Business Law from the Vrije Universiteit Amsterdam, The Netherlands.

 

Rajal Patel
Speaker
U.S. Securities and Exchange Commission
Hon. Harvey L. Pitt
Speaker
Kalorama Partners, LLP; Kalorama Legal Services, PLLC

Harvey Pitt is CEO of global business consulting firm Kalorama Partners, and its law firm affiliate, Kalorama Legal Services. From 2001-03, Mr. Pitt was 26th SEC Chairman. Mr. Pitt served previously at the SEC (1968-78), including three years as General Counsel.

Mr. Pitt was a senior corporate partner at Fried, Frank LLP (1978-2001). He received his J.D. from St. John's University Law School (1968), and his B.A. from Brooklyn College (1965). He received an honorary St. John's LL.D. (2002).

Mr. Pitt is an independent director of Paulson & Co.’s international hedge funds and a member of their Audit Committees; is a member of Millennium Capital’s Advisory Council. In 2017, he was appointed to the Advisory board of JBS USA Holdings, Inc.

John Polise
Speaker
U.S. Securities and Exchange Commission

John Polise is the Associate Director, Broker-Dealer and Exchange (BDX) group in the SEC’s Division of Examinations. He started at the Commission in 1991 and has been an Assistant Director in Division of Enforcement and the Division of Trading and Markets.  He clerked for the Honorable Stanley Sporkin, US District Court for the District of Columbia was an Associate at Cahill Gordon Reindel, Counsel to the Chairman of the CFTC, and has worked at FINRA in both enforcement and member regulation. He graduated from the University of Pennsylvania, magna cum laude in 1985 and 1988 from New York University School of Law.  

Lori H. Price
Speaker
U.S. Securities and Exchange Commission

Ms. Price joined OCR in August 2020. She previously served in the SEC’s Office of the General Counsel (OGC) in several roles of increasing responsibility, most recently as Associate General Counsel, where she and her team were responsible for advising on some of the agency’s most complex rulemaking initiatives and interpretive matters. Immediately before joining OGC in 2003, Ms. Price was in private practice for three years. Prior to that, she worked for various SEC offices and divisions from 1987 to 2000. Ms. Price received a J.D. (Order of the Coif) from the University of Maryland School of Law and a B.A. from the University of Maryland.

Tyler B. Raimo
Speaker
U.S. Securities and Exchange Commission

Tyler Raimo serves as Senior Special Counsel in the Office of Market Supervision in the Division of Trading and Markets, where he is responsible for the oversight of alternative trading systems (ATSs) and NMS Stock ATSs.  Prior to joining the Division of Trading and Markets, Mr. Raimo served as a Branch Chief in the Office of Compliance Inspection and Examinations, where he was responsible for examining self-regulatory organizations, ATSs, and broker-dealers.  Prior to joining the SEC in 2007, Mr. Raimo was in-house counsel for a publicly-traded information technology company with both government and commercial customers. Mr. Raimo received a B.A. from the University at Albany, State University of New York;  a J.D. from American University, Washington College of Law; and an LL.M. in Securities and Financial Regulation from Georgetown University Law Center.  

Mick Riley
Speaker
U.S. Securities and Exchange Commission
Jeremiah Roberts
Speaker
U.S. Securities and Exchange Commission

Jay is Branch Chief in the Supervisory Cooperation Group in OIA, where he facilitates international cooperation on a variety of cross-border supervisory issues, including the development and implementation of supervisory MOUs and the exchange of supervisory information with foreign authorities.  

Emily Westerberg Russell
Speaker
U.S. Securities and Exchange Commission

Emily Westerberg Russell was named Chief Counsel of the SEC’s Division of Trading and Markets in July 2019, after serving as a member of the Office of Chief Counsel for a decade.  The Office of Chief Counsel provides legal and policy advice to the Commission on a variety of matters affecting broker-dealers and the operation of the securities markets.  Among other things, the Office was responsible for developing and drafting key components of the Commission’s recently adopted package of rulemakings and interpretations designed to enhance the quality and transparency of retail investors’ relationships with investment advisers and broker-dealers, in particular, Regulation Best Interest.  

Prior to joining the SEC, she was a Senior Associate in the Financial Institutions Group at WilmerHale.   Ms. Russell received her J.D. from Columbia University School of Law, where she was a James Kent and a Harlan Fiske Stone Scholar, and served as Executive Editor of the Columbia Journal of Transnational Law.  She earned her B.A., summa cum laude, in economics and international relations from Colgate University.

Tracey L. Sasser
Speaker
U.S. Securities and Exchange Commission

Tracey L. Sasser joined the Securities and Exchange Commission in June 2021 as Associate General Counsel for Litigation and Administrative Practice in the Office of the General Counsel (OGC).  As an Associate General Counsel, Ms. Sasser leads her group in its provision of legal advice and representation to the Commission and SEC Divisions and Offices on a wide range of matters involving the operations and management of the agency, the defense of third-party litigation, and the handling and disposition of allegations of attorney misconduct. 

Prior to joining the SEC, Ms. Sasser enjoyed a long tenure serving as the Assistant General Counsel for the Division of Business and Administrative Law at the U. S. Department of Education where she led a team in practice areas including employment and labor relations, procurement and appropriations, the Freedom of Information Act, suspension and debarment, and intellectual property.  She also served as the chief legal advisor to senior leadership on all matters involving workforce planning, policies, and regulations.  Ms. Sasser earned her Juris Doctorate from the University of North Carolina, School of Law in Chapel Hill, North Carolina and her Bachelor of Science degree in Elementary Education from the University of Maryland, College Park.  

Michael P. Seaman
Speaker
U.S. Securities Exchange Commission

Michael Seaman is Chief Counsel in the SEC’s Division of Corporation Finance. He has held a variety of positions in the Division, including Acting Deputy Director for Legal and Regulatory Policy and Senior Special Counsel to a number of Division Directors and Acting Directors. Before joining the SEC, Michael was in private practice in Washington DC where he focused on corporate and securities transactions for financial institutions.

Robert S. Shapiro
Speaker
U.S. Securities and Exchange Commission
Robert Shapiro is a Branch Chief in the SEC’s Division of Investment Management’s Chief Counsel’s Office. In that role, he routinely reviews requests for interpretive and/or exemptive relief under both the Investment Company Act and the Investment Advisers Act. 

Prior to joining the Commission, Robert was an associate at Ropes & Gray LLP, where he focused on providing advice to investment companies and investment advisers. Robert received his JD from the University of Virginia and his BS in Political Science and History from the University of Illinois at Urbana-Champaign.
David S. Shillman
Speaker
U.S. Securities and Exchange Commission

David Shillman is an Associate Director in the SEC’s Division of Trading and Markets, where he is responsible for oversight of the U.S. equity and debt markets.  Prior to that time, he served in a variety of positions in the Division, including Counsel to the Director and International Counsel.  Mr. Shillman was in private practice in New York and Washington, D.C. before joining the SEC in 1995.  He is a graduate of Northwestern University and the University of Michigan Law School.

Karen J Shimp
Speaker
U.S. Securities and Exchange Commission

Ms. Shimp joined the SEC in October 2000 as an attorney in the Office of the General Counsel, representing the SEC in civil and administrative litigation at the trial and appellate levels. Her work has included defending the SEC’s $22 million judgment against the former CEO and Chairman of Gemstar-TV Guide International, Inc. (SEC v. Yuen, 9th Cir. Case No. 06-55857); and defending the SEC against allegations that one of its investigations was tainted by an alleged breach of the attorney-client privilege (SEC v. Finazzo, 2nd Cir. Case Nos. 08-1733 and 08-3995).


Since 2006, Ms. Shimp has also focused on the SEC’s investigation of attorneys who appear or practice before it. In December 2012, Ms. Shimp was promoted to her current position, where she works closely with the Assistant General Counsel for Litigation and Professional Misconduct in investigating possible attorney misconduct and bringing administrative proceedings against attorneys pursuant to SEC Rule of Practice 102(e). She is also actively involved in examining whistleblower issues that involve attorneys.


Before joining the SEC, Ms. Shimp was an associate with two tax law boutiques in Washington, D.C. She is a graduate of Harvard Law School.

Thomas P. Smith, Jr.
Speaker
U.S. Securities and Exchange Commission

Tom Smith is an Associate Regional Director in the SEC’s Enforcement Division and supervises the New York Office’s Enforcement Division. Tom joined the SEC in 2004 and has also served as an Assistant Regional Director, as a member of the SEC’s Market Abuse Unit, and as a senior counsel. Tom has investigated numerous actions, including those involving Ponzi schemes and offering frauds, accounting fraud, market manipulation, insider trading, the operation of alternative trading systems, and auditor independence.  Tom received his J.D. from the Georgetown University Law Center and received a B.S. in Mechanical Engineering from the United States Naval Academy. Between college and law school, Tom served as a commissioned officer in the U.S. Navy’s submarine force.

Michael Spratt
Speaker
U.S. Securities and Exchange Commission

Mr. Spratt is an Assistant Director in the Division of Investment Management at the Securities and Exchange Commission.  In this role, he manages a team responsible for reviewing investment company filings, including filings by exchange-traded funds, mutual funds, closed-end funds, business development companies, and unit investment trusts. 

Michael joined the Commission in 2010 in the Office of Investment Adviser Regulation, where he drafted rules and provided interpretative guidance on regulations applicable to investment advisers.  He also worked as counsel to Commissioners Elisse Walter and Kara Stein, where he provided advice on all aspects of asset management issues, including rulemakings, enforcement actions, and policy.

Before working at the Commission, Michael was an associate in the asset management groups at Willkie Farr & Gallagher, LLP and Dewey & LeBouef LLP.  Michael received his B.A. from Johns Hopkins University and J.D. from Georgetown University Law Center.

Daniel Staroselsky
Speaker
U.S. Securities and Exchange Commission

Daniel Staroselsky is a Senior Litigation Counsel in the Office of the General Counsel at the Securities and Exchange Commission.   Dan has served as a member of the Office’s Appellate Group since November 2011.  He joined the group after working for a year in the Commission’s Division of Trading and Markets.

Dan graduated from the Georgetown University Law Center in 2006, where he was a member of the Georgetown Law Journal.  Before joining the Commission, he practiced in the Supreme Court and Appellate Litigation group at Mayer Brown in Chicago, IL, and clerked for Judge Kathryn A. Oberly of the District of Columbia Court of Appeals.

David Stevens
Speaker
U.S. Securities and Exchange Commission

David Stevens is an Assistant Director in the Analytics Office. He came to the SEC from Millennium Partners, where he was a Portfolio Manager. His background also includes expertise in derivatives in volatile sectors. Prior to joining Millennium, Mr. Stevens was a Research Analyst at Citadel LLC and an Equity Research Associate at Goldman, Sachs and Co., first in the derivatives strategies group and later in equity research.

Thomas Swiers
Speaker
U.S. Securities and Exchange Commission

Mr. Swiers is currently a branch chief in the SEC’s Office of International Affairs working on international enforcement and cooperation matters. Mr. Swiers started at the Securities and Exchange Commission in 1998 working in the Division of Enforcement where he conducted securities investigations in financial fraud, insider trading, front running, market manipulation, Ponzi-prime bank schemes, internal controls and books and records violations. In 2002 and 2003, Mr. Swiers served as a special Assistant United States Attorney and prosecuted a range of felony and misdemeanor criminal matters. In 2013, Mr. Swiers started working in the SEC’s Office of International Affairs. 

Prior to coming to the SEC, Mr. Swiers was a litigator specializing in medical malpractice defense for six years. 

Hon. Laura S. Unger
Speaker

Ms. Unger has extensive experience with regulatory and legislative policy and strategy in the financial services industry. 

She currently serves as an independent director of two public companies - Nomura Holdings Inc. (NHI) and Navient Corp. (Navient) - one foreign private issuer, Nomura Holdings America (NHA) and a Nomura subsidiary, Instinet. Ms. Unger Chairs the NHI Board Risk Committee, the NHA and Instinet Audit Committees and the Navient Nominations & Corporate Governance Committee.  

She is also a member of the Board, Chair of the Nominations and Governance Committee and an Executive Committee Member of Children’s National (a non-pro?t children’s hospital.) 

In November 1999, Ms. Unger was appointed to serve as the 78th member of the Securities and Exchange Commission (SEC). Her tenure at the SEC included six months as Acting Chair. While at the SEC, she focused on the impact of technology on the capital markets, investors and regulation. She authored a report in 1999, “Keeping Apace of Cyberspace,” which earned her technology person of the year and remains relevant. She wrote numerous articles about technology and regulation following the Report’s publication - culminating in a speaking role at the Davos World Economic Forum in 2001. Ms. Unger remains keenly interested in this topic. 

After resigning her SEC Commissioner seat, Ms. Unger took on several roles as a television ?nancial news commentator and as a consultant. In 2002, she became CNBC’s Regulatory Expert for one year, later joining PBS’s Nightly Business Report as a monthly commentator. She continues to provide on air commentary and analysis for ?nancial news programs.  

In 2003, she began a six year appointment as JPMorgan’s Independent Consultant for the Global Analyst Con?ict settlement. She joined Promontory Financial Group as a Special Advisor in 2010. At Promontory, she primarily worked with ?nancial services companies to analyze and engage in Dodd Frank related rule making over a four year period. 

Ms. Unger began her career in government. Her ?rst government stint was as an Enforcement Attorney at the SEC in NYC and Washington, D.C., followed by her serving as Securities Counsel to the U.S. Committee on Banking, Housing and Urban A?airs. 

Ms. Unger received her B.A. in Rhetoric from U.C. Berkeley in 1983 and her J.D. from New York Law School in 1987.

Hon. Mark T. Uyeda
Speaker
U.S. Securities and Exchange Commission

Mark T. Uyeda was sworn into office on June 30, 2022, after being nominated by President Joseph Biden and confirmed by the U.S. Senate.

Commissioner Uyeda has served on the staff of the SEC since 2006, including as Senior Advisor to Chairman Jay Clayton, Senior Advisor to Acting Chairman Michael S. Piwowar, Counsel to Commissioner Paul S. Atkins, and various staff positions in the Division of Investment Management. He most recently served on detail from the SEC to the Senate Committee on Banking, Housing, and Urban Affairs as a securities counsel to the committee's minority staff.

Prior to joining the SEC, Commissioner Uyeda served as Chief Advisor to the California Corporations Commissioner, the state’s securities regulator. He also worked as an attorney at the law firms of K&L Gates (formerly known as Kirkpatrick & Lockhart LLP) in Washington, D.C., and O’Melveny & Myers LLP in Los Angeles.

Commissioner Uyeda earned his bachelor's degree in business administration at Georgetown University and his law degree with honors at the Duke University School of Law.

He is the first Asian Pacific American to serve as a Commissioner at the SEC.

Sanjay Wadhwa
Speaker
U.S. Securities and Exchange Commission

Sanjay Wadhwa has served as the Deputy Director of Enforcement since August 2021. Previously, he was the Senior Associate Director for Enforcement in the SEC’s New York Regional Office, a position he held from January 2013 until August 2021. Prior to then, Sanjay served in additional roles in the Enforcement Division, including Associate Director, Assistant Director, and Branch Chief in New York, as well as the Deputy Chief of the Market Abuse Unit. Sanjay joined the SEC as a staff attorney in July 2003.

Prior to joining the SEC, Sanjay was in private practice in New York for 7 years, first at the law firm of Cahill Gordon & Reindel, and then at Skadden, Arps, Slate, Meagher & Flom.

Sanjay has a B.B.A. from Florida Atlantic University, a J.D. from South Texas College of Law Houston, and an LL.M. in Taxation from New York University School of Law.

Brooke Wagner
Speaker
U.S. Securities and Exchange Commission

Brooke Wagner is a Senior Counsel in the Securities and Exchange Commission’s Office of the General Counsel.  She is a member of the Office’s Appellate Group, where she handles litigation before the federal courts of appeals.

Prior to joining the Commission, Brooke was a litigation associate at Debevoise & Plimpton LLP.  She has clerked for Judge Guido Calabresi of the United States Court of Appeals for the Second Circuit and Judge Naomi Reice Buchwald of the United States District Court for the Southern District of New York. 

Brooke received her J.D. from Harvard Law School, where she was a member of the Harvard Law Review and a recipient of the Sears Prize, and her B.A. from Yale University.   

Samuel J. Waldon
Speaker
U.S. Securities and Exchange Commission

Sam Waldon is the Chief Counsel for the SEC’s Division of Enforcement. He joined the SEC in that role in March 2022. Prior to joining the SEC, he was a Partner at the law firm of Proskauer Rose LLP. He was also previously Assistant Chief Counsel for the SEC’s Division of Enforcement from 2010 to 2018, and earlier in his career, he was a Senior Counsel in the SEC’s Division of Enforcement. He received a B.A. in Economics from Virginia Tech and a J.D. from the University of Texas School of Law.

Jenson Wayne
Speaker
U.S. Securities and Exchange Commission
Adam Wendell
Speaker
U.S. Securities and Exchange Commission

Adam R. Wendell is the Deputy Director of the Office of Municipal Securities at the Securities and Exchange Commission. He has been at OMS since January 2016, serving as Attorney-Adviser and then as Senior Special Counsel prior to his appointment as Deputy Director. At OMS, Adam has worked on a wide range of matters including MSRB Rulemaking, disclosure, municipal advisor regulation, and market structure. Prior to joining the SEC, Adam worked in the private sector for over 15 years as a municipal finance attorney, representing issuers, underwriters, conduit borrowers, trustees, credit enhancers, municipal advisors, and other transaction participants. Adam is a graduate of Northwestern University and New York University School of Law.

Jay Williamson
Speaker
U.S. Securities and Exchange Commission

Jay Williamson is a Branch Chief in the Division of Investment Management’s Disclosure Review and Accounting Office. He leads a team of lawyers responsible for reviewing disclosure filings made by registered investment companies and business development companies. Prior to joining the Division in 2014, he was a Senior Counsel in the Division of Corporation Finance. Jay is a graduate of the Georgetown University Law Center and the College of the Holy Cross. Prior to law school he worked as a consultant at Oracle Corporation and an auditor at PricewaterhouseCoopers. 

Mike Willis
Speaker
U.S. Securities and Exchange Commission

Mike is a retired PwC partner with public company reporting, audit and data analytics experience and knowledge of relevant reporting standards, regulations and process and control considerations. He is the Associate Director of the Office of Data Science and Innovation at the U.S. Securities and Exchange Commission where he is responsible for leading the design and implementation of technological processes, tools and innovations to support the many data analytical needs of the Commission, including the creation, implementation, and maintenance of forms, tools and processes designed to capture, analyze and disseminate structured data submitted by SEC registrants through their filings with the Commission. 

Ted Yu
Speaker
U.S. Securities and Exchange Commission

Ted Yu is the Associate Director (Specialized Policy and Disclosure) in the Division of Corporation Finance at the U.S. Securities and Exchange Commission (SEC), where he is responsible for overseeing the Division’s Office of Mergers and Acquisitions, Office of International Corporate Finance, and Office of Structured Finance. Prior to that, he was the Chief of the Office of Mergers and Acquisitions, the Senior Advisor to SEC Chair Mary Jo White, Senior Special Counsel to the Director of the Division of Corporation Finance, and Senior Special Counsel in the Division’s Office of Chief Counsel. In addition, Mr. Yu was in private practice in New York and Washington, D.C. He received his law degree from The George Washington University Law School and his B.A. in history from Cornell University. 

Haoxiang Zhu
Speaker
U.S. Securities and Exchange Commission
View by Chapters
View by Segments
A. Tolga Ergun, George O. Aragon, Giulio Girardi
Slides/Other Materials
DERA
Chyhe Becker, Eugene Canjels, Marco Enriquez, Mike Willis
Ethical Issues for Securities Attorneys
Hon. Paul S. Atkins, Philip Holmes, Thomas Karr, Tracey L. Sasser, Karen J Shimp
- Opening Remarks
Slides/Other Materials
- Division of Economic and Risk Analysis
Slides/Other Materials
DERA
Chyhe Becker, Eugene Canjels, Marco Enriquez, Mike Willis
- Ethical Issues for Securities Attorneys
Slides/Other Materials
Ethical Issues for Securities Attorneys
Hon. Paul S. Atkins, Philip Holmes, Thomas Karr, Tracey L. Sasser, Karen J Shimp
Announcements Archive
Segments - no content
Announcements Archive