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Lindsay Antoniello
Deputy Chief Compliance Officer
TPG Global, LLC
Stephanie Avakian
Co-Director, Division of Enforcement
Securities and Exchange Commission
Karen L. Barr
President & CEO
Investment Adviser Association
Thoreau A. Bartmann
Senior Special Counsel, Division of Investment Management
Securities and Exchange Commission
Kenneth J. Berman
Partner
Debevoise & Plimpton LLP
Gail Bernstein
General Counsel
Investment Adviser Association
Dalia Blass
Director, Division of Investment Management
Securities and Exchange Commission
Paula Bosco
Co-Founder & CEO
Activus Risk Management
Monique S. Botkin
Associate General Counsel
Investment Adviser Association
Garrett C. Broadrup
Vice President and Senior Counsel
Affiliated Managers Group, Inc.
Sharon C. Buccafusco
Vice President
Tradition Capital Management LLC
Sarah A. Buescher
Associate General Counsel
Investment Adviser Association
Claire G. Burke
Chief Compliance Officer
Vanguard Advisers, Inc.
Ari Burstein
President
Capital Markets Strategies
Eva Ciko Carman
Partner
Ropes & Gray LLP
Joanna Catalucci
Senior Managing Director and CCO
Guggenheim Funds
Jonathan G. Cedarbaum
Partner
WilmerHale
Kenneth W. Clowers
Managing Director
ACA Compliance Group
Robert A. Cohen
Chief, Cyber Unit, Division of Enforcement
Securities and Exchange Commission
Lewis Collins
General Counsel
GW&K Investment Management
Mark Dowdell
Assistant Regional Director, Philadelphia Regional Office
Office of Compliance Inspections and Examinations
Securities and Exchange Commission
Jisha Dymond
Chief of Staff & Compliance Counsel
Oz Management
David Edwards
President & Wealth Advisor
Heron Wealth
Kevin Ehrlich
Manager, U.S. Regulatory Affairs & CCO
Western Asset Management Company
James Ferrarelli
Vice President and Head of Investment Management Technology
Supporting Charles Schwab Investment Management, Inc. and Charles Schwab Investment Advisory, Inc.
Alexander Gavis
SVP & Deputy General Counsel
Fidelity Investments
Christopher Gilkerson
Senior Vice President, General Counsel
Charles Schwab & Co., Inc.
Paul D. Glenn
Special Counsel
Investment Adviser Association
Catherine (Katy) Courtney Gordon
Vice President and Corporate Counsel
Prudential Financial, Inc.
Laura L. Grossman
Associate General Counsel
Investment Adviser Association
Justin S. Guthrie, CFA
Partner
ACA Performance Services
Elizabeth Halterman
Legal Counsel, Legislative and Regulatory Affairs
T. Rowe Price Associates, Inc.
Paul Helms
Partner
McDermott Will & Emery
Ki P. Hong
Partner
Skadden, Arps, Slate, Meagher & Flom LLP
Holly Hunter-Ceci
Assistant Chief Counsel, Division of Investment Management
Securities and Exchange Commission
Michelle L. Jacko
CEO
Core Compliance & Legal Services, Inc.
Managing Partner and CEO
Jacko Law Group, PC
Robert J. Jackson, Jr.
Commissioner
Securities and Exchange Commission
Daniel Kahl
Co-Deputy Director and Chief Counsel
Office of Compliance Inspections and Examinations
Securities and Exchange Commission
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Mary E. Keefe
Director of Regulatory Affairs
Nuveen Asset Management
Mavis Kelly
Assistant Director
Office of Compliance Inspections and Examinations
Securities and Exchange Commission
Tanya Kerrigan
Vice President and Assistant General Counsel
MFS Investment Management
Ash Khan
Managing Director
Treliant, LLC
Jennifer L. Klass
Partner
Morgan, Lewis & Bockius LLP
Sanjay Lamba
Associate General Counsel
Investment Adviser Association
Ronald Long
Director of Regulatory Affairs and Elder Client Initiatives
Wells Fargo Advisors
Keith Marks
General Counsel and Executive Director
Compliance Solutions Strategies
Vivi Mazarakis
Branch Chief, Office of Chief Counsel
Office of Compliance Inspections and Examinations
Securities and Exchange Commission
Michael W. McGrath
Partner
K&L Gates LLP
Sharanya Mitchell
Vice President, Senior Global Regulatory Counsel and Chief Privacy Officer
Cohen & Steers Capital Management, Inc.
James O’Leary
GIPS Compliance Analyst
BNY Mellon Asset Management North America
Pamela Pendrell
Partner, Chief Compliance Officer
GlobeFlex Capital
Mark Perlow
Partner
Dechert LLP
Mari-Anne Pisarri
Partner
Pickard Djinis and Pisarri LLP
Robert E. Plaze
Partner
Proskauer Rose LLP
Patricia A. Poglinco
Partner
Seward & Kissel LLP
John Pollard
Director of Compliance
EJF Capital LLC
James R. Prescott
Vice President, Compliance
Ariel Investments, LLC
Robert Saperstein
Senior Managing Director
Guggenheim Partners, LLC
Aaron J. Schlaphoff
Partner
Kirkland & Ellis LLP
Michael L. Sherman
Partner
Dechert LLP
Linda Shirkey
President
The Advisor's Resource, Inc.
Neil Simon
Vice President for Government Relations
Investment Adviser Association
Jennifer Songer
Branch Chief, Private Funds Branch
Investment Adviser Regulation Office
Division of Investment Management
Securities and Exchange Commission
Marshall Sprung
Managing Director and Global Head of Compliance
Blackstone Alternative Asset Management LP
Chris Stanley
Founding Principal
Beach Street Legal
Sarah G. ten Siethoff
Associate Director for the Rulemaking Office
Division of Investment Management
Securities and Exchange Commission
Mitchell Thompson
Supervisory Special Agent, Cyber Division
Federal Bureau of Investigation
David G. Tittsworth
Counsel
Ropes & Gray LLP
Roberta Ufford
Senior Special Counsel, Division of Investment Management
Securities and Exchange Commission
Thomas P. Vartanian
Executive Director & Professor of Law
Program on Financial Regulation & Technology
Antonin Scalia Law School, George Mason University
Karyn Vincent, CFA, CIPM
Head, Global Industry Standards and GIPS Executive Director
CFA Institute
Gwendolyn A. Williamson
Partner
Perkins Coie LLP
Rana J. Wright
General Counsel
Harris Associates L.P.
Elcin Yildirim
Assistant Director, Quantitative Analytics Unit
Office of Compliance Inspections and Examinations
Securities and Exchange Commission
Kerry A. Zinn
Principal
Bressler, Amery & Ross, P.C.
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