Plenary: Compliance and Legal Trends Tuesday, May 24 4:15 p.m. 5:15 p.m.

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1 Plenary: Compliance and Legal Trends Tuesday, May 24 4:15 p.m. 5:15 p.m. Join us for a special session with senior leaders as they discuss key issues affecting the regulatory landscape. Panelists will discuss trends, key focus areas and strategies that are shaping the industry. They will share their thoughts on how these changes will affect compliance and how firms are evolving and responding to business, regulatory, technology issues. Moderator: Panelists: Robert Colby Executive Vice President and Chief Legal Officer FINRA Chief Legal Office Mari Buechner President and Chief Executive Officer Coordinated Capital Securities, Inc. Rick Ketchum Chairman and Chief Executive Officer FINRA John Thiel Head of Merrill Lynch Wealth Management Merrill Lynch Wealth Management James Weddle Managing Partner Edward Jones 2016 Financial Industry Regulatory Authority, Inc. All rights reserved. 1

2 Plenary: Compliance and Legal Trends Panelist Bios: Moderator: Robert L.D. Colby is the Chief Legal Officer of the Financial Industry Regulatory Authority (FINRA), which he joined in June In this capacity, he oversees FINRA s corporate and regulatory General Counsel functions as well as FINRA s Advertising and Corporate Financing Departments and the Office of Hearing Officers. Previously, Mr. Colby was a partner in the Washington, DC, office of Davis Polk & Wardwell LLP, where he advised on regulatory and compliance matters involving securities and derivatives for financial institutions, markets and clearing organizations. Before joining Davis Polk in 2009, Mr. Colby served for 17 years as Deputy Director of the U.S. Securities and Exchange Commission s Division of Trading and Markets. In that role, he was responsible for the regulation of broker-dealers, securities markets and clearing organizations. Previously, for 11 years he was Chief Counsel of the Division and Chief of the Division s Branch of Market Structure. Panelists: Mari J. Buechner is President and Chief Executive Officer of Coordinated Capital Securities, Inc. (CCS). With more than 20 years of industry experience, Ms. Buechner has comprehensive executive management expertise in compliance, finance, marketing, operations, service and technology. In 2008, Ms. Buechner was elected to serve on the FINRA Board of Governors and is a past member of FINRA s Small Firm Advisory Board and the FINRA District 8 Committee. Ms. Buechner currently serves on the FINRA Independent Dealer/Insurance Affiliate Committee and volunteers her time to work on various ad hoc committees and educational programs. She has been recognized as one of the Top 50 Women in Wealth Management (Wealth Manager, April 2009) and formerly served as Chairman of the Board for the Financial Services Institute. Ms. Buechner graduated from the University of Wisconsin-Madison with a bachelor s degree in finance and marketing. Richard Ketchum is Chairman and Chief Executive Officer (CEO) of FINRA. Prior to becoming CEO of FINRA, Mr. Ketchum was CEO of NYSE Regulation from March 2006 to March He served as the first chief regulatory officer of the New York Stock Exchange, a position he began in March From June 2003 to March 2004, Mr. Ketchum was General Counsel of the Corporate and Investment Bank of Citigroup Inc., and a member of the unit's planning group, Business Practices Committee and Risk Management Committee. Previously, he spent 12 years at NASD and The Nasdaq Stock Market, Inc., where he served as president of both organizations. Prior to working at NASD and NASDAQ, Mr. Ketchum was at the Securities and Exchange Commission (SEC) for 14 years, with eight of those years as Director of the division of Market Regulation. In February 2014, Mr. Ketchum was appointed by President Obama to serve on the President's Advisory Council on Financial Capability for Young Americans. In October 2010, he was appointed by President Obama to serve on the President's Advisory Council on Financial Capability a group established to promote and enhance financial literacy and capability among Americans. He also served on the Joint Advisory Committee on Emerging Regulatory Issues, a committee created by the SEC and CFTC to review emerging regulatory issues, starting with the market events coming out of the May 2010 so-called "flash-crash." John Thiel is head of Merrill Lynch Wealth Management. In this role, he is responsible for the strategic management of almost 14,000 financial advisors and 6,000 client associates who make up Merrill Lynch s U.S. Wealth Management Group, along with more than 300 private wealth advisors in the Private Banking and Investment Group. John was named head of Merrill Lynch Wealth Management in April 2011, but his journey with Merrill Lynch began two decades before, when he joined the company as a financial advisor in Tampa, Florida in John was then selected to join the Global Private Client Division leadership team, later serving as the director in both Oakbrook and Northbrook, Illinois. In 2000, John joined the Private Banking and Investment Group, opening the private wealth management business in the Pacific Coast Region as regional managing director. During that time, he also led the firm s leadership Advisory Council to Management between 2003 and He was named head of the Private Banking and Investment Group in 2006, a role he held until his current one. As his leadership and responsibilities within Merrill Lynch have grown, John has gained a new perspective on the role of Merrill Lynch s advisors. One of his key priorities as the head of Merrill Lynch Wealth Management is accelerating the shift toward a new dialogue: talking to clients about money in the way they think about it. Clients feel their money has a job to do to help them reach their goals (e.g., 2016 Financial Industry Regulatory Authority, Inc. All rights reserved. 2

3 educate their children, care for their parents, fund their homes, etc.). Under John s leadership, Merrill Lynch is focused on helping clients reach the outcomes they desire by offering the right capabilities, stripping away needless complexity, and constantly adjusting and adapting to their changing needs the heart of the company s goals-based approach. Merrill Lynch has always been the standard-bearer for the financial services industry, and this is a responsibility John takes very seriously. Since joining the firm, John has strived to carry out the principles of Charlie Merrill s 100+ year old legacy that the customer must always come first, through good economic times and bad. Simultaneously, John recognizes how the wealth management industry continues to change, and the requirement for Merrill Lynch to be forward-thinking. Outside of his other responsibilities as head of Merrill Lynch Wealth Management, John serves as a member of the Board of Directors of Merrill Lynch, Pierce, Fenner & Smith Incorporated, the Global Wealth and Investment Management (GWIM) Executive Committee, the Risk Rating Executive Oversight Committee, and the GWIM Product Approval Committee. He is also the executive sponsor for the GWIM Diversity and Inclusion Council. In 2015, John joined FINRA s Board as a Board Governor. Before joining Merrill Lynch, John led a distinguished career in public accounting and the insurance industry. His background includes tax and estate planning experience, with financial operating expertise as a CPA with KPMG. John also served as a senior instructor of the Dale Carnegie Professional Selling courses, helping countless students improve their skills. A vocal advocate for cancer research, John serves as chairman of the Manhattan Region Financial Services Cares Board of the American Cancer Society. He supports his alma mater by serving as chairman of the Board of Florida State University s Foundation. John received his Bachelor of Science degree in accounting from Florida State University and became a Certified Public Accountant in James D. Weddle is Managing Partner of Edward Jones, a financial services Firm serving nearly 7 million individual investors in the United States and Canada. Today with more than 14,500 Financial Advisors, Edward Jones is one of the largest U.S. financial services firms. Growing to serve more individual investors is a key strategy for the Firm. During Mr. Weddle s tenure, Edward Jones has added nearly 5,000 Financial Advisors without merger or acquisition. Every aspect of the Firm's business, from the types of investment options offered to the location of branch offices, is designed to cater to individual investors in the communities where they live and work. Clients have voted Edward Jones #1 in J.D. Power s client full-service investor satisfaction survey 4 of the past 5 years. Edward Jones is a privately-held partnership owned by its Associates. The Firm has earned eight top 10 rankings in Fortune magazine s 100 Best Companies to Work For," including consecutive #2 rankings in 2009 and As a Financial Advisor, Mr. Weddle opened the Firm s 200 th branch in After building a successful practice in Connersville, IN, Mr. Weddle was named a Partner in the Firm in 1984 and was invited to St. Louis, where he assumed a series of responsibilities in Training, Marketing, and Branch Administration. He became a member of the Firm's Management Committee in Mr. Weddle has spent his entire career at Edward Jones. He became the Firm s fifth Managing Partner in A native of Illinois and a graduate of DePauw University in Greencastle, IN, Mr. Weddle earned his MBA at Washington University in St. Louis. He also graduated from the University of Pennsylvania Wharton School's Securities Industry Institute in Mr. Weddle is a member of the Washington University Olin School of Business National Council; Board Chair, 2010 Campaign Chair, and current Executive Committee member for the United Way of Greater St. Louis; a member of the Barnes Jewish Hospital Board and BJC Health Care board; and a member of the Financial Industry Regulatory Authority (FINRA) Board of Directors Financial Industry Regulatory Authority, Inc. All rights reserved. 3

4 FINRA Annual Conference May 23 25, 2016 Washington, DC Plenary: Compliance and Legal Trends

5 Panelists Moderator Robert Colby, Executive Vice President and Chief Legal Officer, FINRA Chief Legal Office Panelists Mari Buechner, President and Chief Executive Officer, Coordinated Capital Securities, Inc. Rick Ketchum, Chairman and Chief Executive Officer, FINRA John Thiel, Head of Merrill Lynch Wealth Management, Merrill Lynch Wealth Management James Weddle, Managing Partner, Edward Jones FINRA Annual Conference 2016 FINRA. All rights reserved. 1

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