Conference Presentations

Washington 2009 Day 1

Rick Ketchum

CEO, FINRA

Keith Darcy

Executive Director of the Ethics and Compliance Officer Association (ECOA)

James A. Brigagliano

Deputy Director, SEC Division of Trading & Markets

Short Sale Discussion

Moderator: Brett Mock; Panelists: Len Amoruso, James A. Brigagliano, Jeff Brown, Peter Driscoll, Joseph Mecane

Joshua Rosner

Managing Director, Graham Fisher

Washington 2009 Day 2

Paul E. Kanjorski

Congressman (D-PA); Chairman, Capital Markets Subcommittee; Financial Services Committee

Troy Paredes

SEC Commissioner

Gregory Meeks

Congressman (D-NY)

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