Event Overview (Home) | The 2012 3rd Annual SEFCON III, Nov 13, Tues, Grand Hyatt Hotel at Grand Central Station, New York. Fixed Income Conference

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WMBAA November 13 Announcement - 9/14/2012

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Show Management:

SEFCON II

Presented by

The Wholesale Markets Brokers' Association Americas

3rd Annual, Tuesday, November 13, 2012,
Grand Hyatt Hotel at Grand Central Station, New York, NY

2012 Speakers

	Hon. Bart Chilton Commissioner, US Commodities Futures Trading Commission Bart Chilton was nominated by President Bush and confirmed by the U. S. Senate in 2007. In 2009, he was re-nominated by President Obama and reconfirmed by the Senate. He has served as the Chairman of the CFTC’s Energy and Environmental Markets Advisory Committee (EEMAC). His career spans 25 years in government service—working on Capitol Hill in the House of Representatives, in the Senate, and serving in the Executive Branch during the Clinton, Bush and Obama Administrations. Prior to joining the CFTC, Mr. Chilton was the Chief of Staff and Vice President for Government Relations at the National Farmers Union where he represented family farmers. In 2005, Mr. Chilton was a Schedule C political appointee of President Bush at the U. S. Farm Credit Administration where he served as an Executive Assistant to the Board. From 2001 to 2005, Mr. Chilton was a Senior Advisor to Senator Tom Daschle, the Democrat Leader of the United States Senate, where he worked on myriad issues including agriculture and transportation policy. From 1995 to 2001, Mr. Chilton was a Schedule C political appointee of President Clinton where he rose to Deputy Chief of Staff to U. S. Secretary of Agriculture Dan Glickman. In this role, Mr. Chilton became a member of the Senior Executive Service (SES)—government executives selected for their leadership qualifications to serve in the key positions just below the most senior Presidential appointees. As an SES member, Mr. Chilton served as a liaison between Secretary Glickman and the Federal work force at USDA. From 1985 to 1995, Mr. Chilton worked in the U. S. House of Representatives where he served as Legislative Director for three different Members of Congress on Capitol Hill and as the Executive Director of the bipartisan Congressional Rural Caucus. Mr. Chilton previously served on the Boards of Directors of Bion Environmental Technologies and the Association of Family Farms. Mr. Chilton was born in Delaware and spent his youth in Indiana, where he attended Purdue University (1979—1982). He studied political science and communications and was a collegiate leader of several organizations. Mr. Chilton and his wife, Sherry Daggett Chilton, split their time between Washington, D. C. and Arkansas.

	Hon. Jim Himes Representative, US Congress (D Conn-4); Member, Committee on Financial Services Jim Himes represents Connecticut’s 4th District in the United States House of Representatives. He is currently serving his second term in Congress and is a member of the House Committee on Financial Services. Jim grew up as the child of a single working mom in a small town. As a member of Congress, Jim works hard to provide all American children the same opportunities he had to succeed: access to a first-rate public school, affordable and effective health care, a decent and safe home, and a supportive community. Born in Lima, Peru in 1966 to American parents, he spent the early years of his childhood in Peru and Colombia while his father worked for the Ford Foundation and UNICEF. As an American abroad, Jim grew up fluent in both Spanish and English and was raised with an awareness of the unique position of the United States in the world. At the age of ten, Jim moved with his mother and sisters to the United States. Jim graduated from Hopewell Valley Central High School and then attended Harvard University. After completing his undergraduate work, Jim earned a Rhodes Scholarship, which enabled him to attend Oxford University in England where he continued his studies of Latin America, including research in El Salvador. Prior to his service in Congress, Jim ran the New York City branch of The Enterprise Community Partners, a nonprofit dedicated to addressing the unique challenges of urban poverty. Jim’s team led the way in financing the construction of thousands of affordable housing units in the greater New York metropolitan region, often using new green technologies to achieve energy efficiency and reduce utility costs. Jim’s experience at Enterprise spurred his involvement in politics. Putting his expertise in affordable housing to work, Jim served as a Commissioner of the Greenwich Housing Authority, ultimately chairing the board and leading it through a much-needed program of reforms. Jim went on to become an elected member of his town's finance board, setting tax and budget policy for Greenwich. Jim has also served as Chair of his local Democratic Town Committee, organizing others in the community to become more active in the political process. Jim began his professional career at Goldman Sachs & Co. where he worked his way up to Vice President over the course of a 12-year career. There he worked extensively in Latin America and headed the bank’s telecommunications technology group. Jim lives in Greenwich with his wife Mary and two daughters Emma and Linley.

	Hon. Scott Garrett Representative, US Congress (R NJ-5) Vice-Chairman, House Budget Committee For more than twenty years, Scott Garrett has been at the forefront of public policy deliberations dealing with issues related to the financial services industry, developing considerable expertise in areas ranging from securities and finance to insurance and regulatory oversight. Since his election to Congress in 2002, Garrett has consistently been one of the most active members of the House Financial Services Committee. During his tenure on the committee, Garrett has served on the Subcommittees on Capital Markets, Insurance, and Government-Sponsored Enterprises; Financial Institutions and Consumer Credit; Housing and Community Opportunity; and Oversight and Investigations. At the start of the 112th Congress, Garrett was selected to serve as the Chairman of the Subcommittee on Capital Markets and Government-Sponsored Enterprises. In this role, Garrett oversees the subcommittee with jurisdiction over the Securities and Exchange Commission and government-sponsored enterprises Fannie Mae and Freddie Mac. In addition, the subcommittee also handles all matters related to capital markets activities such as business capital formation and venture capital, and derivative instruments. A primary architect of the comprehensive House Republican financial regulatory reform proposal, Garrett authored substantive Republican alternatives in a number of areas, including derivatives and GSE reform. Despite his opposition to the overall package, he worked in a constructive fashion to pass several bipartisan provisions that strengthened the final product. As a culmination of his intense work on regulatory reform in the House, Garrett was selected to serve as a conferee on the House-Senate Conference Committee responsible for reconciling the two chambers’ versions of the financial services regulatory reform bill. His notable legislative achievements include easing the burden placed on small business by Sarbanes-Oxley and lessening the reliance on credit rating agencies by removing their reference in statute and regulation. In addition, he continues in his efforts to rein in the size and scope of Fannie Mae and Freddie Mac, and promoting the creation of a covered bond market in the U.S. Prior to his election to Congress, Garrett served in the New Jersey General Assembly as the Chairman of the Banking and Insurance Committee. Garrett is frequently sought after to appear in the national media to discuss financial services issues, having appeared on CNBC, Fox News, Fox Business, CNN and MSNBC. He has been quoted in the Wall Street Journal, the Financial Times and other national business publications on issues related to financial services policy.

	Shawn Bernardo Senior Managing Director of eBroking in the Americas Tullett Prebon Mr. Bernardo is a Senior Managing Director of eBroking in the Americas and sits on the North American executive committee at Tullett Prebon. Tullett Prebon is a leading global inter-dealer broker of over the counter securities. Subsequent to joining Tullett in 2006, he has spent the past five years building various electronic and hybrid platforms to promote more efficient markets in Fixed Income, Energy, Credit, FX Options and Rates. He is involved with all strategic investments and partnerships for the electronic business. Mr. Bernardo started his career in institutional brokerage in 1996 with Cantor Fitzgerald brokering US Treasuries. Mr. Bernardo moved off the trading desk to utilize his experience and knowledge of the US Treasury market in the further development and launching of the eSpeed electronic system. In 2003 Mr. Bernardo moved to ICAP and was responsible for successfully developing the fixed income market share on the Brokertec electronic platform and later was given responsibility and successfully launched their electronic CDS Index platform in Asia and New York. Mr. Bernardo, a graduate of St. Johns University New York, was a board member of the ConfirmHub and a founding board member and the current Chairman of the Wholesale Market Brokers Association, Americas.

	Sonali Das Theisen Director, Credit Trading Barclays Sonali Das Theisen is a Director in Credit Trading at Barclays, based in New York. Ms Theisen joined Barclays in 2010 from Bloomberg LP, where she was the Global CDS Business Manager. Prior to that, she worked at Bear Stearns as a Credit Derivatives salesperson and at Goldman Sachs as a Credit Derivatives Trader and Marketer. Ms Theisen graduated cum laude in Economics and Spanish from Harvard University.

	J Christopher Giancarlo Conference Chair GFI Group Mr. Giancarlo is responsible for executing strategic transactions and directing corporate communications. Mr. Giancarlo joined GFI in 2001 as part of the acquisition of Fenics, where he structured strategic alliances with major investment banks. Prior to Fenics, Mr. Giancarlo was a Corporate Partner in the New York law firm Brown Raysman Millstein Felder & Steiner, LLP.

	George Harrington, CFA Global Head Bloomberg Fixed-Income Trading George Harrington is the global head of Bloomberg's Fixed Income Trading (FIT) business, the world's largest and most widely used fixed income trading platform. In this position, he is responsible for overall strategy and delivery of FIT, which provides liquidity for more than 150 of the world's leading major and regional/specialist dealers. FIT also provides trading functionality, and straight through processing across all fixed income asset classes including cash bonds, repo, money markets, interest-rate and credit derivatives, mortgages, money markets, and municipal bonds. Previously, Mr. Harrington was head of Product Management for Bloomberg's Fixed-Income Derivative Trading business, overseeing single and multi-dealer execution services, clearing and legal execution services, and VCON – Bloomberg's Voice trading network. Prior to joining Bloomberg, he worked at Tradeweb managing the credit default swap execution business and at PriceWaterhouseCoopers where he worked in corporate valuation. Mr. Harrington holds a Master's degree in Business Administration from Boston College and is a Chartered Financial Analyst.

	Ron Levi Chief Operating Officer GFI Group Mr. Levi has been Chief Operating Officer of GFI Group since May 2006. He is responsible for the company's activities globally. Since 2010, Mr. Levi has served as Chairman of the Board of Directors of Kyte Group Ltd, an integrated clearing, broking and investment services provider, a subsidiary of GFI Group. Mr. Levi joined GFI in 1993 and became Managing Director, Europe in 2004. Prior to holding this position, Mr. Levi managed the company's European energy business. In 2008, Mr. Levi led the acquisition of Trayport Ltd, a leading provider of software to the global commodity trading community. Mr. Levi is a founding member of LEBA (London Energy Brokers Association), created in 2003 to represent the interests of London-based energy brokers. Before joining GFI, Mr. Levi was the Director of Fixed Income at Garban PLC.

	Richard M. McVey Chief Executive Officer and Chairman of the Board Richard M. McVey has been Chief Executive Officer and Chairman of the Board of Directors since the inception of MarketAxess. As an employee of J.P. Morgan & Co., one of the firm's founding broker-dealers, Mr. McVey was instrumental in the founding of MarketAxess in April 2000. Prior to founding MarketAxess, Mr. McVey was Managing Director and Head of North America Fixed Income Sales at JPMorgan, where he managed the institutional distribution of fixed-income securities to investors, from 1996 until April 2000. In that capacity, he was responsible for developing and maintaining senior client relationships across all market areas, including fixed-income, equities, emerging markets, foreign exchange and derivatives. From 1992 to 1996, Mr. McVey led JPMorgan's North America Futures and Options Business, including institutional brokerage, research, operations, finance and compliance. He currently serves on the Board of Directors of Blue Mountain Credit Alternatives L.P. Mr. McVey received a B.A. in Finance from Miami (Ohio) University and an M.B.A. from Indiana University.

	Scott O'Malia Commissioner, U.S. Commodities Futures Trading Commission. Scott O'Malia was confirmed by the U.S. Senate on October 8, 2009, as Commissioner of the Commodity Futures Trading Commission, and was sworn in on October 16, 2009. He is currently serving a five-year term that expires in April 2015.m that expires in April 2015. Born in South Bend Indiana and raised in Williamston, Michigan, Commissioner O'Malia learned about commodity prices firsthand growing up on a small family farm. As a Commissioner of the Commodity Futures Trading Commission (CFTC), he brings both his agricultural background and experience in energy markets, where he has focused his professional career. From 2003 to 2004, Commissioner O'Malia served on the U.S. Senate Energy and National Resources Committee under Chairman Pete Domenici (R-N.M.), as Senior Policy Advisor on oil, coal and gas issues. From 1992 to 2001, he served as Senior Legislative Assistant to U.S. Sen. Mitch McConnell (R.-Ky.), now the Senate Minority Leader. During his career, O'Malia also founded the Washington office of Mirant Corp. Commissioner O'Malia earned his Bachelor's Degree from the University of Michigan. He and his wife, Marissa, currently live in Northern Virginia with their three daughters.

	Lee Olesky Chief Executive Officer, Tradeweb Lee Olesky is the CEO and co-founder of Tradeweb. He has an extensive background in managing both investment banking and financial technology companies, in a career highlighted by innovation and the successful introduction of a series of electronic trading companies. Olesky is playing a key role in the debate on the reform of the derivatives markets, providing government agencies with insight into the issues surrounding the move to electronic trading and central clearing. In his previous role as President of the company, Olesky was based in London, where he spearheaded the company's expansion in the international and derivative markets. Prior to joining Tradeweb, Olesky was the President and founder of BrokerTec, a successful electronic brokerage platform, which was sold to Icap in 2003. Previously, Olesky worked at Credit Suisse First Boston in a variety of management positions, most recently as Chief Operating Officer for the Fixed Income division. Olesky has been named one of the "Top Global Executives and Innovators in Financial Technology" by Institutional Investor magazine for the last 4 years. He has served on a variety of both private and public company boards and currently serves on the boards of Tradeweb, Data Explorers and the international advisory board of the British -American Business Council (BABC). Olesky has a Juris Doctorate from George Washington University, the National Law Center in Washington D.C.; a B.A. in History from Tulane University; and attended University College in London. He has lectured at leading academic institutions, including Cambridge University and University of California, Berkeley business schools and has provided expert testimony to the US Congress and various regulatory authorities. Olesky is based in New York City with his wife and three sons.

	Thomas Farley Senior Vice President of Financial Markets InterContinental Exchange Tom Farley is Senior Vice President of Financial Markets of Intercontinental Exchange (NYSE:ICE). In this role, he oversees the development of initiatives within ICE's OTC financial markets, such as Creditex, ICELink, YellowJacket and FX. Mr. Farley joined ICE in 2007 and previously held the role of President and COO of ICE Futures U.S. Previous to joining ICE, Mr. Farley was President of SunGard Kiodex, a risk management technology provider to the commodity derivatives markets. Before becoming President of SunGard Kiodex, Mr. Farley served as the business unit's Chief Financial O!cer and Chief Operating O!cer. Mr. Farley has also held various positions in investment banking at Montgomery Securities and private equity at Gryphon Investors. Mr. Farley holds a Bachelor of Arts degree in Political Science from Georgetown University and is a Chartered Financial Analyst.

	Paul Humphrey Chief Executive Officer Electronic Broking Tullett Prebon Paul Humphrey was appointed Chief Executive Officer of Tullett Prebon Electronic Broking & TP Information in October 2007. At Tullett Prebon, Paul is responsible for determining group strategy for electronic broking, application development and information. Paul occupies a seat on the Tullett Prebon global executive committee. Previously Paul was Executive Director - Global head of eBusiness for ABN AMRO where he was part of the traded markets management team and responsible for the electronic expansion of all asset classes. Prior to this Paul was Managing Director at Van der Moolen NV, Head of Sales at SLK Global Markets (Acquired by Goldman Sachs) and Managing Director at Garban.

	Chris Childs Managing Director DTCC Chris Childs joined the Depository Trust and Clearing Corporation (DTCC) in August 2007. He is currently the Chief Operating Officer of Deriv/SERV and the global head of product for DTCC's Loan/SERV business. Prior to this Chris worked at Citi for 21 years where he held a number of positions in Retail Banking Operations, Internal Audit and Corporate and Investment Banking Operations both in Europe and North America, including Global Head for Derivatives, Loan, Foreign Exchange and Money Market Operations

	Jeffrey Hogan Managing Director, Business Development BGC Partners As Managing Director for Business Development at BGC, Mr. Hogan is responsible for ongoing business development with clients in Europe and for liaising with government and regulatory bodies globally. Based in London, he has engaged in regulatory, sales, product development and strategic development issues since the formation of BGC in October 2004. Prior to his role with BGC, Mr. Hogan spent 19 years at Cantor Fitzgerald and eSpeed Inc. in New York and London. During this period he managed several derivative and cash brokerage units and was Managing Director of eCommerce at Cantor Fitzgerald. In addition, he managed sales, product development and merger & acquisition activity at eSpeed. Before joining Cantor Fitzgerald and eSpeed, Mr. Hogan served in various trading and management positions at Bankers Trust Company in New York and Manufacturers Hanover Trust in London.

	Matthew B. Kulkin Associate Corporate Finance Securities, Banking and Financial Institutions Patton Boggs LLP Matthew Kulkin represents financial institutions, corporations, and private investment firms across various industries in connection with public policy, corporate, securities, and regulatory matters. His transactional practice focuses on mergers and acquisitions, private and public offerings, corporate governance, and general business planning. Before joining the firm, Mr. Kulkin represented Wall Street financial institutions as an associate at a prominent national law firm. He primarily served as counsel to issuers and underwriters and negotiated the terms of billion-dollar asset-backed securities offerings. Mr. Kulkin's structured finance experience permits a unique perspective for advising clients regarding proposed and recently enacted federal regulation of financial institutions and financial products. He routinely provides clients strategic advice on actions taken by the Treasury Department, the Federal Reserve and U.S. Congress, including the implementation of the Emergency Economic Stabilization Act (EESA), the Troubled Assets Relief Program (TARP), the Term Asset-Backed Securities Loan Facility (TALF), and the Public-Private Investment Program (PPIP). While in law school, Mr. Kulkin was a judicial intern for the Honorable Ellen Segal Huvelle at the U.S. District Court for the District of Columbia. He co-authored several chapters of the recently released Emergency Economic Stabilization Act Handbook published by West. Mr. Kulkin is fluent in French.

	William J. Nissen Partner Sidley Austin LLP William J. Nissen is a partner of Sidley Austin LLP, in Chicago, Illinois, and has practiced with that firm since 1976. From 1982-1984 he was General Counsel of Heinold Commodities, Inc., a Chicago-based futures commission merchant. His law practice includes representing clients, including futures commission merchants and introducing brokers, institutional users of the futures markets, fund managers and exchange members in litigation and regulatory matters involving the futures and OTC derivatives markets. He is currently Chairman, Subcommittee on Private Litigation of the American Bar Association Committee on Derivatives and Futures Law, and is former Chairman, Committee on Futures Regulation of the Chicago Bar Association. Best Lawyers has named him 2013 Lawyer of the Year for Derivatives and Futures Law in Chicago.

	Edward Dasso Vice President of Market Regulation National Futures Association Edward returned to NFA in March 2011 as Vice President of Market Regulation. In this role Edward is responsible for developing and overseeing NFA's regulatory services program for swap execution facilities and designated contract markets. Prior to rejoining NFA, Edward was Manager of Market Regulation at Intercontinental Exchange ("ICE"). While at ICE, Edward developed the surveillance program for swaps that were deemed by the CFTC to serve a significant price discovery function. Edward also oversaw the daily compliance function for ICE's OTC exempt commercial market. Before joining ICE in 2009, Edward was Managing Director Trade Practice/Market Surveillance and Special Investigations at NFA. Edward began his career at the Chicago Board of Trade in the Office of Investigations and Audits in 1996. Edward is a graduate of the Kelley School of Business at Indiana University and received an MBA from Loyola University Chicago.

	Ross Pazzol Partner Katten Muchin Rosenman Ross Pazzol concentrates his practice on financial services matters, with an emphasis on the regulatory issues that arise in connection with the trading and clearing of financial instruments. Mr. Pazzol's clients include exchanges and other trading platforms, banks, broker-dealers, futures commission merchants, swap dealers and commercial participants in the exchange-traded and over-the-counter markets. Mr. Pazzol also represents hedge funds and commodity pools with respect to their regulatory and transactional matters.

	Sean Tully Managing Director, Interest Rate Products CME Group Sean Tully is Managing Director, Interest Rate Products at CME Group, where he is responsible for leading and developing the company's global interest rate business. Tully's financial services career spans more than 20 years, including most recently serving as Managing Director, Global Head of Credit and Fixed Income Trading at WestLB in London. During his tenure at WestLB, he held roles of increasing responsibility including Managing Director, Regional Head of Derivatives, Americas and Managing Director, Regional Head of Trading. He also traded interest rate derivatives at Citibank and Greenwich Capital, running a global team in the interest rate swap business, and as a proprietary trader. He holds a bachelor's degree, magna cum laude, from Potsdam College and a master's degree in mathematics from Clarkson University. He is the author of "Restoring Confidence in the Financial System, See-Through Leverage: A Powerful New Tool for Revealing and Managing Risk."

	Nick Solinger Chief Marketing Officer Traina An experienced growth technology executive, Nick Solinger is responsible for marketing and product strategy at Traiana. Prior to joining the company in 2002, Nick led the team that defined and launched the Traiana Harmony offering, which today is the firm's flagship product and an important infrastructure for FX markets. Before joining Traiana in 2002, Nick held a series of successively more senior roles at business-to-business ecommerce and supply chain leader Ariba Inc. He joined Ariba in 1997 when it was a small but growing start-up, and went on to serve as VP Product Marketing across Ariba's series of enterprise software and on-line service offerings. Prior to Ariba, Nick managed the Americas Application Technology team at Oracle Corporation.

	Christopher Ferreri Managing Director ICAP Chris is a Managing Director at ICAP, currently managing the product design, development and deployment for ICAP’s hybrid electronic and voice trading systems for the securities and derivatives markets in the US. He has been in the Inter Dealer Broker space for more than 25 years. ICAP is the world’s largest interdealer broker with an average daily transaction volume in excess of $2.3 trillion, more than 50% of which is electronic. Across this broad product offering, ICAP’s customer base ranges from small regional banks to multi-national corporations, Broker-Dealers and Commercial Banks. After receiving his B.E. in Electrical Engineering from Stevens Institute of Technology, he began his career as an Engineer for E. I. DuPont de Nemours. In 1984, Chris joined Garban’s U.S. Treasury division, and is currently registered with FINRA. During his tenure as a U.S. Treasury broker, he helped design a variety of internal analytic applications as well as participate in the design and development of the proprietary trading systems used at Garban. It was during his last assignment as manager of the proprietary US Treasury desk that Garban began the move toward interactive electronic trading. Chris was charged with organizing a business line for hybrid electronic and voice trading and began the design, development and ultimate roll out of ICAP’s hybrid e-commerce solution, ETC. The trading platform grew into a separate division of ICAP, developing, installing and maintaining trading systems for US and Foreign Securities, Global Foreign Exchange trading, and a broad variety of money-market instruments. Today, Chris is responsible for trading systems strategy, design and planning for the blending of ICAP’s voice brokered Over-the-Counter markets and implementation of electronic trading. Chris has participated in numerous panel discussions with the Bond Market Association (now SIFMA) and ISDA, as well as presentations in financial markets conferences in London, Mexico, South America, Tokyo and Korea. Chris is the Chair of the Securities Industry and Financial Markets Association Interdealer Broker Advisory Committee, served as the inaugural Chairman of The Wholesale Markets Brokers’ Association, Americas, and has represented the industry at conferences ranging in topics from business strategies, technology and regulatory concerns. He is a Board member of the Stevens Institute of Technology School of Systems and Enterprises. Chris is an active subject matter expert for the OTC Derivatives markets and has testified before the US House of Representatives Financial Services Committee as well as the House Subcommittee on Capital Markets.

	Jeff Bandman Head of Partnerships & Alliances LCH Clearnet Ltd.

	Mark Beeston CEO, Portfolio Risk Services ICAP Plc Mark Beeston is responsible for the post trade risk and information division which includes ICAP’s bulk risk mitigation businesses, reconciliation, portfolio compression and data sales. Mark is a member of the ICAP Group Executive Management Committee. Prior to joining ICAP in December 2009, he spent four years establishing T-Zero (now ICE Link) and was a member of the Creditex Executive Management team. Before this he spent 13 years at Deutsche Bank where, among other roles, he served as Chief Operating Officer for Global Credit Trading, Chief Operating Officer for OTC Derivatives and global head of Money Market Derivatives trading. Mark represented Deutsche Bank at board level across numerous industry companies and associations including ISDA, Markit, OTCDerivNet and DTCC DerivServ.

	Jeffrey L. Steiner Counsel Washington, DC office of Gibson, Dunn & Crutcher His practice focuses on assisting clients with navigating through and implementing requirements resulting from the Dodd-Frank Act and with other matters relating to derivatives, the Commodity Exchange Act and the CFTC. Prior to this, Mr. Steiner was special counsel in the Division of Market Oversight at the Commodity Futures Trading Commission (“CFTC”) and served as Team Lead for the Real-Time Public Reporting of Swap Transaction Data (Part 43) rulemaking team for both the proposed and final rules. While at the CFTC, he worked on resolving and advising on issues relating to Title VII of the Dodd Frank Act, including reporting, trading and execution in all asset classes (i.e., interest rates, credit, FX, equity and other commodity), swap data repositories (SDRs), swap execution facilities (SEFs), block trades and cross-border issues. Prior to being a special counsel at the CFTC, he served as an attorney-advisor in the CFTC’s Division of Market Oversight from 2009 - 2010. Prior to the CFTC, Mr. Steiner worked as an associate at two international law firms where he focused on representing clients on OTC derivatives, futures and commodities-related matters, capital markets transactions and hedge fund formation. Mr. Steiner holds a J.D. from Tulane Law School and a B.B.A. from Emory University’s Goizueta Business School.

	Dawn Stump Senior Vice President and Head of Government Affairs Futures Industry Association Dawn Stump is the Senior Vice President and Head of Government Affairs at the Futures Industry Association, based in Washington, D.C. She is responsible for developing and implementing the association’s strategy with federally elected officials and regulators and represents the organization before key government officials and policymakers. Prior to joining FIA, she was Vice President with NYSE Euronext based in Washington, DC. In this role, Ms. Stump was responsible for executing legislative, regulatory and political strategies, leading efforts to ensure that the Commodity Futures Trading Commission and Members of Congress were aware of issues of importance to the Exchange’s derivatives business. Prior to joining NYSE, Ms. Stump held various Congressional staff positions. Over the past decade, she served in senior staff positions at both the House and the Senate Agriculture Committees, where she was involved in matters pertaining to the oversight of the CFTC, reauthorization of the Commodity Exchange Act and engaging in negotiations for the derivatives components of the Dodd-Frank Wall Street Reform and Consumer Protection Act. She holds a degree in Economics from Texas Tech University. She resides in Alexandria, VA with her husband and children.