Plenary Session III: Dispelling Myths around the FINRA Board Monday, May 21 4:15 p.m. 5:15 p.m.

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1 Plenary Session III: Dispelling Myths around the FINRA Board Monday, May 21 4:15 p.m. 5:15 p.m. During this session, panelists discuss what goes on at a FINRA Board meeting. Moderator: Panelist: Marcia Asquith Executive Vice President FINRA Board and External Relations Carol Anthony Davidson FINRA Public Governor Shelly Lazarus Chairman Emeritus FINRA Public Governor / Ogilvy & Mather Kathleen Murphy President of Personal Investing Fidelity Investing Joseph Romano President Romano Wealth Management Elisse Walter Former Commissioner and Chairman FINRA Public Governor / Retired from the U.S. Securities and Exchange Commission (SEC) 2018 Financial Industry Regulatory Authority, Inc. All rights reserved. 1

2 Plenary III - Dispelling Myths around the FINRA Board Panelist Bios: Moderator: Marcia E. Asquith, Executive Vice President, Board and External Relations, oversees FINRA s Offices of the Corporate Secretary, Investor Education, Member Relations, Government Affairs and Corporate Communications. Ms. Asquith's tenure at FINRA began in 2001 when she was hired as the Director of Government Relations. In 2004 she was promoted to Vice President of Government Relations and, in 2007 she was named Deputy Corporate Secretary. In her Government Relations role, Ms. Asquith created the congressional investor forums that FINRA continues to host across the country. She was also instrumental in obtaining the legislation FINRA needed to put data on the web that enables BrokerCheck, FINRA s free tool that helps investors research the backgrounds of brokers and firms. In 2017, Ms. Asquith was promoted to her current role, where she oversees the group that serves as the liaison between FINRA and its Board of Governors. She also leads FINRA s media, internal communications, investor education, member relations and government relations programs, and its editorial, production, design and multimedia communications services. Ms. Asquith joined FINRA from the Senate Agriculture Committee, where she served as Counsel to the Committee and helped write historic legislation on the regulation of futures and commodities. She has extensive knowledge of SROs and other financial services businesses. Ms. Asquith holds a BA in Economics from Oklahoma State University and a JD from the Marshall Wythe School of Law at the College of William and Mary. Panelists: Carol Anthony (John) Davidson is the former senior vice president, controller and chief accounting officer of Tyco International where he was responsible for overseeing financial reporting, internal controls and accounting policy across Tyco s global operations. Prior to joining Tyco in January 2004, Mr. Davidson served as vice president, Audit, Risk and Compliance for Dell Inc. During his six-year career at Dell he served in other senior capacities including chief compliance officer, vice president and corporate controller, and vice president of Internal Audit. In addition, Mr. Davidson spent 16 years with Eastman Kodak Company where he led the company s internal audit function and previously served in a variety of accounting and financial leadership roles. He began his career with Arthur Andersen & Co. Mr. Davidson s affiliations include memberships on the boards of Pentair Plc., DaVita Inc., Legg Mason Inc., TE Connectivity Ltd., and the University of Rochester. He is a certified public accountant and holds a master s degree in business administration from the University of Rochester and a bachelor s degree in accounting from St. John Fisher College in Rochester, New York. Rochelle (Shelly) B. Lazarus joined Ogilvy & Mather Worldwide in 1971, becoming president of its U.S. direct marketing business in Ms. Lazarus subsequently became president of Ogilvy & Mather New York and president of Ogilvy & Mather North America before becoming president and chief operating officer of the worldwide agency in She served as chief executive from 1996 to 2008 and chairman from 1997 through June Ms. Lazarus currently serves as a director of Merck & Co., Inc., General Electric, Inc., and Blackstone. She serves on the Business Board of the Department of Defense, the boards of The NYC Partnership, The World Wildlife Fund and Lincoln Center for the Performing Arts. She is also a trustee of the New York Presbyterian Hospital and is a member of the Board of Overseers of Columbia Business School. She is a member of The Council on Foreign Relations. Ms. Lazarus received an M.B.A. in Marketing from Columbia University in 1970 and an undergraduate degree in Psychology from Smith College. Kathy Murphy is president of Personal Investing, a Fidelity Investments company that provides retail brokerage, mutual funds, managed accounts, annuities and other financial products and services to millions of individual investors. Ms. Murphy is also responsible for Fidelity s life insurance and annuities business, its workplace savings business for tax-exempt organizations, all of the firm s brand and advertising programs, its online strategies through Fidelity.com, and Fidelity s mobile device applications. Ms. Murphy, a 25-year industry veteran, oversees a business with more than $1.7 trillion in client assets under administration, more than 16 million customer accounts and over 13,000 employees. Her business is the nation s No.1 provider of individual retirement accounts (IRAs), one of the largest brokerage businesses, one of the largest providers of mutual fund managed account programs, and one of the leading providers of college savings plans. Prior to joining Fidelity, Ms. Murphy was CEO of ING U.S. Wealth Management, leading the Defined Contribution, Defined Benefit, Retirement Solutions, Annuities, 2018 Financial Industry Regulatory Authority, Inc. All rights reserved. 2

3 and ING Advisors Network businesses. Ms. Murphy began her career with Aetna, spending 15 years in a variety of legal and government affairs positions, eventually serving as general counsel and chief compliance officer, Aetna Financial Services. Ms. Murphy received her Bachelor of Arts degree, summa cum laude, in economics and political science from Fairfield University in She earned her juris doctorate with highest honors from the University of Connecticut in Ms. Murphy sits on the Board of Directors of America s Promise Alliance and the National Football Foundation. Ms. Murphy has repeatedly been named one of the 50 Most Powerful Women in American Business by Fortune Magazine, one of the Wall Street Top 50 and Business 100 by Irish America Magazine and named as one of the 25 Most Powerful Women in Finance by US Banker, among other honors. Joseph Romano is President of Romano Wealth Management, a dually registered RIA/BD, which was founded by his father and has been located just outside Chicago since He graduated with Honors in Economics from Wesleyan University, Middletown, CT. In addition to administering the firm, Mr. Romano acts as an investment manager creating customized portfolios using individual stocks and bonds. Mr. Romano directly oversees client assets of $250 million. The firm has 20 employees with 9 registered portfolio managers and has just over $1 billion in total assets under management. Mr. Romano began his career in 1995 in the operations department (his firm was self-clearing until November 2008), and then soon after earned his Series 4, 7, 24, and 55 licenses. Mr. Romano is also a Certified Financial Planner (CFP). He served for several years until 2007 as the firm s Chief Compliance Officer (CCO) and continues to head the firm s research department. His wide variety of licenses and posts within the firm has given him broad exposure to the industry and regulatory environment. Outside the firm, Mr. Romano is also actively involved in securities industry affairs, and served as the 2015 Chair of the FINRA Small Firm Advisory Board (SFAB). Immediately prior to his three years serving on that committee, he served a three year term on the FINRA District 8 Committee. Prior to his FINRA work, Mr. Romano served as President of the Illinois Securities Industry Association. With strong support from the Securities Industry and Financial Markets Association (SIFMA), this consortium of executives from Chicagoland firms was able to retain a lobbyist and affect positive change with securities legislation in the state. During Mr. Romano tenure on the SFAB and other committees, he has written numerous comment letters, served on panel discussions, and interacted with prominent staff members from FINRA, the Securities and Exchange (SEC) office, and the Securities Investors Protection Corp. (SIPC) on a variety of topics affecting the industry and small firms. Mr. Romano is currently working with the Chairman s office of the Public Company Accounting Oversight Board (PCAOB) to address the impact of additional regulatory oversight on small broker dealers. In the process, Mr. Romano has developed strong working relationships with many of these key industry leaders as well as executives from other FINRA member firms throughout the country. Mr. Romano is a strong proponent of self-regulation and protection of the public, and believes that all issues must be dealt with creatively, constructively, and collaboratively. Elisse B. Walter appointed commissioner of the Securities and Exchange Commission (SEC) by President George W. Bush and was sworn in on July 9, She was later designated the 30th chairman of the SEC by President Barack Obama, and she served as the agency's leader from December 2012 to April She served as acting chairman in January Prior to her appointment as an SEC commissioner, Ms. Walter served as senior executive vice president, Regulatory Policy & Programs, for FINRA. She held the same position at NASD before its 2007 consolidation with NYSE Member Regulation. Ms. Walter coordinated policy issues across FINRA and oversaw a number of departments including Investment Company Regulation, Member Education and Training, Investor Education and Emerging Regulatory Issues. She also served on the board of directors of the FINRA Investor Education Foundation. Prior to joining NASD, Ms. Walter served as the general counsel of the Commodity Futures Trading Commission. Before joining the CFTC in 1994, Ms. Walter was the deputy director of the Division of Corporation Finance of the Securities and Exchange Commission. She served on the SEC's staff beginning in 1977, both in that division and in the Office of the General Counsel. Before joining the SEC, Ms. Walter was an attorney with a private law firm. Ms. Walter is a director of Occidental Petroleum Corporation, SASB Foundation and the National Women s Law Center; a member of the Academy of Women Achievers of the YWCA of the City of New York and the FINRA Investor Education Foundation; a member of the SEC s Investor and Fixed Income Market Structure Advisory Committees; and a member of the inaugural class of the ABA's DirectWomen Institute. She also has received, among other honors, the Presidential Rank Award (Distinguished), the ASECA William O. Douglas Award, the SEC Chairman's Award for Excellence, the SEC's Distinguished Service Award, and the Federal Bar Association's Philip Loomis and Manuel F. Cohen Younger Lawyer Awards. She graduated from Yale University with a B.A., cum laude, in mathematics and received her J.D. degree, cum laude, from Harvard Law School Financial Industry Regulatory Authority, Inc. All rights reserved. 3

4 2018 FINRA Annual Conference May 21 23, 2018 Washington, DC Plenary Session III: Dispelling Myths around the FINRA Board

5 Panelists Moderator Marcia Asquith, Executive Vice President, FINRA Board and External Relations Panelists Carol Anthony Davidson, FINRA Public Governor Shelly Lazarus, Chairman Emeritus, FINRA Public Governor / Ogilvy & Mather Kathleen Murphy, President of Personal Investing, Fidelity Investing Joseph Romano, President, Romano Wealth Management Elisse Walter, Former Commissioner and Chairman, FINRA Public Governor / Retired from the U.S. Securities and Exchange Commission (SEC) FINRA Annual Conference 2018 FINRA. All rights reserved. 1

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