National Securities / J. Sawicki Alston & Bird LLP / J. Herzog A.G. Edwards & Sons Inc. / Michael K. Wolensky Schiff Hardin LLP / Kenneth L. Wagner William Blair & Company LLC / David Canter Charles Schwab & Co. Inc. / Judy B. Werner Gardner Lewis Asset Management L.P. / Asset Management / Catherine Tuckwell Scotia Cassels Investment Counsel Limited / Jacko Core Compliance & Legal Services Inc. / Washington Mutual / E*TRADE Brokerage Services Inc. / Richard T. Chase RBC Capital Markets Corporation / Smith Sutherland Asbill & Brennan LLP / Cunningham ING Advisors Network Aaron D. De Angelis Spring Mountain Capital LP / Morgan / Lewis & Bockius LLP / /
Country
United States / United Kingdom / /
Currency
USD / / /
Event
Person Communication and Meetings / /
Facility
Cornwall Bridge / / /
IndustryTerm
advisory services / particular fund products / stakeholder products / company / proxy-voting services / proxy services / bank / financial services / investment product / law firms / proxy voting services / /
Organization
National Futures Association / Financial Services Authority / Investment Adviser Association / U.S. Securities and Exchange Commission / National Society of Compliance Professionals / Variable Trust / office of Economic Analysis / /
Person
Christopher Cox / Joan Hinchman / Deborah A. Lamb / Nancy M. Morris / J. Christopher Jackson / Chester S. Spatt / M. Catherine Tuckwell Scotia Cassels / James E. Ballowe / Jr. / Ben A. Indek / / /
Position
Director of the Commission / Executive Director / General / Secretary / Director / Division of Enforcement / THE INTRODUCING BROKER / Prince / Chief Economist and Director / Chairman / National Regulatory Services Investment Adviser and Broker-Dealer / Form ADV Dear Secretary / investment adviser / professional money manager / adviser / /
Executive Director Joan Hinchman Directors James E. Ballowe, Jr. E*TRADE Brokerage Services, Inc. David Canter