Nomura Securities International Inc. / Morgan Stanley & Co. / Goldman Sachs & Co. / Regulatory Americas / Virtu Financial LLC / Large Bank Supervision / Sanford C / Barclays / Fund Democracy / Artifice Forensic Financial Services LLC / Plancorp LLC / /
Facility
University of Mississippi School / /
Organization
Comptroller of the Currency / University of Mississippi School of Law / Commodity Futures Trading Commission / U.S. Securities and Exchange Commission / FINRA / Chicago Regional Office / Federal Reserve Board / office of Compliance Inspections and Examinations / office of Broker-Dealer Finances / /
Person
Allen Meyer / Christopher J. Mahon / Regulation / Heather Traeger / John Hanson / Elisse B. Walter / Alan Cohen / Thomas Gira / Merri Jo Gillette / Susan F. Axelrod / John Polise / Jessie D. Puckett / Jr. / Martin Pfinsgraff / Gary Barnett / Chris Concannon / David W. Blass / Ralph Mattone / Carlo di Florio / Kevin Piccoli / John M. Ramsay / Grace B. Vogel / Karen Cassidy / Daniel M. Gallagher / E. Bullard / Richard G. Ketchum / Michael Gibson / Andrew Bowden / Michelle Oroschakoff / Michael Macchiaroli / /
Position
Executive Vice President / Market Regulation / Director / National Examination Program / Deputy Director / Division of Swap Dealer and Intermediary Oversight / Executive Director / Professor of Law / Vice President / Member / Global Chief / Chairman and Chief Executive Officer / Vice President / Risk Officer / Lecturer and Associate Professor / Head of Global Compliance / President and Founder / Acting Senior Deputy Comptroller / Vice President / Market Regulation / Deputy Director / National Examination Program / Director / Division of Swap Dealer and Intermediary Oversight / Chief Counsel and Associate Director / Division of Trading and Markets / Broker-Dealer / Director / Corporate Treasury Division / Chairman / Executive Vice President / Member Regulation Sales Practice / Vice President and Head / Director / Commissioner / Managing Director / Managing Director / Corporate Treasury Division / Executive Vice President / Managing Director and Head / Acting Director / Division of Trading and Markets / Director / Division of Banking Supervision and Regulation / Director / Market Oversight / National Examination Program / /
Compliance Outreach Program for Broker-Dealers April 9, 2013 Washington, DC Agenda