Tim Pawlenty is the CEO of the Financial Services Roundtable. Governor Pawlenty brings dynamic leadership and vision to an organization which represents leading financial service companies in their efforts to protect the security, integrity and success of our nation’s financial system. As a former two-term Governor of Minnesota, he is a leader with significant executive experience having overseen a $50 billion biennial budget, led 30,000 state employees, and managed 20 individual state agencies and departments.
As Governor, his education, healthcare, and energy initiatives were widely viewed as among the most innovative in the nation. He served as chair of the National Governor’s Association from 2007-2008 and chair of the Midwest Governor’s Association from 2006-2007. While serving as chair of the Minnesota State Board of Investment, Governor Pawlenty provided oversight for over $60 billion in investments.
Governor Pawlenty is a nationally respected policymaker who combines his depth of subject matter knowledge with a unique ability to communicate on complex issues. His recognition as one of the foremost thought leaders in the country brings peerless credibility to FSR and its members.
Eric Hoplin is the Executive Director at the Financial Services Roundtable, a Trade Association for the CEOs and Senior Executives of the nation’s largest financial services companies. He has more than a decade of experience leading teams to advance public policy and helping organizations succeed by leveraging his expertise in management consulting, strategic communication, change management, and public policy.
Previously, Hoplin was a Lead Associate with Booz Allen Hamilton, a Fortune 500 Management Consulting Firm. Prior to that, he served in a variety of public policy and political leadership roles, including as Deputy Chairman of the Republican Party of Minnesota.
He is a prolific speaker, having delivered dozens of presentations across the country, including a speech the New York Times previewed as “one to watch.” The Baltimore Sun has called Hoplin a “bona fide rising star” and the St. Paul Pioneer Press profiled him as “one of tomorrow’s leaders.”
Eric serves as a member of the Reagan Ranch Board of Governors and is on the Board of fTLD Registry Services LLC. He is President of the FSR Foundation, which provides charitable grants on behalf of the financial services industry.
Hoplin holds a Master of International Affairs degree from Columbia University, an M.B.A. from Augsburg College, a B.A from St. Olaf College, and a Certificate in Change Management from Georgetown University McDonough School of Business.
Eric and his wife Nicole live in Vienna, Virginia with their three boys.
Judy J. Chapa is Vice President of Corporate Social Responsibility for the Financial Services Roundtable. In this capacity, she oversees the Corporate Social Responsibility Department which highlights Roundtable member companies’ efforts to improve their communities, with a focus on financial literacy, and strengthens relationships with non-profit partners and public policymakers.
Before joining the Financial Services Roundtable, Chapa was President of Chapa Consulting, a marketing, public relations and advocacy firm, where she worked with clients on financial literacy and women’s issues. Chapa was appointed by the President in 2002 as the first Deputy Assistant Secretary for the U.S. Department of the Treasury’s Office of Financial Education, and is responsible for establishing the office and developing the Treasury Department’s financial education policy.
A Texas native, she received her degree in Broadcast Journalism from the University of Texas. During her professional life, she has received numerous awards and recognitions including: Outstanding Young Woman of America; Who’s Who Among Hispanic Americans; Community Service Award, Hispanic American Police Command Officers Association; WISER (Women’s Institute for a Secure Retirement) Hero Award.
Francis Creighton is Executive Vice President of Government Affairs at the Financial Services Roundtable. Creighton is a long-time veteran of Capitol Hill, previously serving as Chief of Staff to U.S. Senator Chris Murphy (D-CT). Prior to joining Senator Murphy, Creighton was Vice President and Chief Lobbyist at the Mortgage Bankers Association, where he worked on affordable housing and other issues important to the real estate finance industry. As Chief Lobbyist during an unprecedented period of financial turmoil, he made appearances in many different trade, national and international print, television and radio outlets, from the American Banker to PBS’s NewsHour with Jim Lehrer to Fox Business.
Creighton served as Legislative Director for Representative Steve Israel of New York from 2001 to 2003, overseeing the Congressman’s legislative agenda and handling his Financial Services Committee work, including the passage of the USA PATRIOT Act and the Sarbanes-Oxley Act. From 1999 to 2001, Creighton was an appointee at the U.S. Department of Labor, where he focused on employee benefits in the private sector and other issues. Prior to 1999, Creighton served the people of the State of Connecticut as Legislative Assistant for Representative Sam Gejdenson, focusing on pension and campaign financing reforms. He began his career working in the office of Sen. Daniel Patrick Moynihan of New York.
Creighton received a Master’s degree in Public Policy from Georgetown University, where he has served as an adjunct faculty member, and a Bachelor’s degree (magna cum laude) in Political Science and History from the University at Albany, State University of New York. He lives in the Washington area with his wife Julia.
John H. Dalton is the President of the Housing Policy Council, the housing policy division of the Financial Services Roundtable. Dalton joined FSR in 2005, having previously served as the 70th Secretary of the Navy during President Bill Clinton’s administration.
Dalton has also served as President of the Government National Mortgage Association of the U.S. Department of Housing and Urban Development and as Chairman of the Federal Home Loan Bank Board under President Jimmy Carter.
Dalton’s mission at HPC is to guide the expansion of the Council and its public policy agenda to the Administration and Congress. HPC was formed in May 2003 and is a premier forum for leaders of the financial services industry to positively influence issues in the housing policy arena.
Secretary Dalton is a proud graduate of the U.S. Naval Academy and the University of Pennsylvania’s Wharton School of Finance. He lives with his wife, Margaret, in Washington, D.C., and enjoys spending time with his family and avidly supporting Navy teams.
Sarah Drew is the Vice President of Membership at the Financial Services Roundtable, where she manages FSR’s membership experience, including member retention, recruitment, and services. Drew also serves as liaison to the FSR Board of Directors and Executive Committee, and oversees FSR’s information technology division.
Drew began her career at FSR as a public affairs specialist in 2008. She later joined BITS, the technology policy division of the Roundtable, as the BITS/FSTC project administrator, and eventually returned to FSR as project manager for Dodd-Frank Implementation. Drew became Director of Membership and Information Services in 2011 and was elevated to Senior Director of Membership and Information Services in 2013. Prior to joining FSR, Drew was a legislative intern for the Texas State Representative Diane Patrick (District 94).
Drew holds a Bachelor of Arts degree and Business Foundations Certification from the University of Texas at Austin.
Chris Feeney is the President of BITS, the technology policy division of the Financial Services Roundtable, where he collaborates with the nation’s largest financial institutions, the administration, regulators and policymakers to promote effective cybersecurity and operating practices and to develop and shape the industry’s use of emerging technologies.
BITS is a thought leader for the industry on policy, cybersecurity technology and practices, fraud reduction, risk management and innovation.
Feeney has over 30 years of experience in executive management, technology, business/sales management and operating roles at software companies, banks, broker dealers and investment management firms. His background includes founding a strategic advisory firm; consulting on behalf of boards, CEOs and leadership teams; and serving as managing director and CIO at LPL Financial. Over his career he served as CEO, President, and in executive roles at Thomson Financial, Bank of America, Telerate, Multex and Broadridge Financial.
Chris is currently on the Board of Directors at Scottrade, Inc., where he is the Risk Committee Chair, is an Executive Committee Member of the Financial Services Sector Coordinating Council, is a Board and Operating Committee Member of fTLD Registry Services and a Board Advisor at Quovo, Inc.
George Forsberg is the Chief Financial Officer for the Financial Services Roundtable, where he manages finance and accounting functions for the Roundtable. Forsberg previously served as Controller of FSR from 2004-2007. Prior to joining the Roundtable in 2004, Forsberg spent three years as Chief Financial Officer at Empower America, a conservative-based public policy advocacy group. Forsberg has also held prior positions as Controller for the Consumer Specialty Products Association, Accounting Manager for the Washington Occupational Health Associates, Accountant for the Department of Agriculture, and Fiscal Specialist for the Peace Corps.
Forsberg holds a Bachelor of Science in Business Administration with a concentration in Accounting from West Virginia University. Forsberg is a Certified Public Accounting and is a member of the American Institute of Certified Public Accountants (AICPA), the Virginia Society of CPAs, and the Greater Washington Society of CPAs.
Rich Foster is the Senior Vice President and Senior Counsel for Regulatory and Legal Affairs at the Financial Services Roundtable. He is responsible for leading the Regulatory Department and is also FSR’s Subject Matter Expert on Payments Activity.
Foster is a seasoned regulatory professional having spent over 15 years advising and counseling financial institutions with regard to regulatory matters. Prior to joining FSR, Rich practiced law in the New York City offices of Am-Law 100 firms and worked in the Financial Services Regulatory Practice of PricewaterhouseCoopers in Washington, D.C.
Alison Hawkins is the Vice President of Communications at the Financial Services Roundtable where she oversees media and communications on both the strategic and operational levels. Hawkins oversaw press operations in several battleground states for Governor Mitt Romney in the 2012 presidential election and previously served as a Presidential Appointee Press Secretary at the Department of Veterans Affairs. She joined FSR from The Philanthropy Roundtable where she headed external affairs and also has worked on the communications staff of Senator Mike Crapo (R-ID) and as a press secretary in the U.S. House. Hawkins is a proud native of Idaho.
Audrey Abshire, Project Manager, supports fTLD Registry Services by engaging fTLD’s registrars and vendors, conducting research, analyzing information, preparing reports, handling information requests and maintaining a variety of databases. Before joining fTLD, Audrey worked as a strategic senior sales associate at Cvent, a leading cloud-based event management platform, where she was responsible for establishing new and repeat business opportunities for advertising-based software sales, as well as providing strategic consult on corporate marketing initiatives for enterprise clientele within Cvent’s three hotel network websites. She also brings extensive knowledge and experience in event management, as well has hospitality sales. Audrey is a 2012 graduate of the College of Charleston with dual BS Degrees in Business Administration as well as hospitality sales.
Mayowa Babatola is Webmaster and Database Administrator at FSR. Prior to joining FSR, Mayowa worked as an IT contractor at a private school in Maryland.
Mayowa holds a Bachelor’s of Arts degree in Economics from Howard University.
Brenda serves as the Senior Manager of Government Affairs for the Financial Services Roundtable. She manages the day-to-day operations of the government affairs department, the FSR-Political Actions Committee as well as oversees special projects for staff. Prior to joining FSR she worked as a Legislative Analyst for an enlisted military association for 2 years. She retired from the U.S.A.F. at the rank of Chief Master Sergeant after 25 years in various positions and assignments with the Air National Guard and National Guard Bureau, Washington, D.C.
Bowen holds a Bachelor of Science degree in Business Management from the University of Maryland.
Anthony Cimino serves as the Senior Vice President of Risk Management, Government Affairs at the Financial Services Roundtable (FSR). In this role, Cimino oversees FSR’s advocacy on systemic risk regulation, enterprise risk management, and insurance products and services. Cimino also leads the policy development process, facilitating policy formation and execution across departments.
After joining FSR in 2012, Cimino helped lead FSR through its transition. He served as Interim Head of Government Affairs and worked with FSR leadership to rebuild the team and refocus the organization. Those efforts helped FSR drive results and increase membership. Cimino continues to be a spokesperson for FSR’s growing membership. He has testified before Congress, participates in industry forums, and presents to member company executives and Boards of Directors. On the advocacy front, Cimino led the effort to reauthorize the Terrorism Risk Insurance Act, negotiating directly with policymakers and organizing the industry coalition to extend the federal program to facilitate coverage and availability of terrorism insurance. He also helped pass the Insurance Capital Standards Clarification Act, which ensures the Federal Reserve crafts appropriate capital standards for insurers under its supervision. Cimino also has run diverse industry coalitions on priorities such as cybersecurity, and continues to lead industry efforts on patent reform and flood insurance.
Prior to joining FSR, Cimino served as Senior Professional Staff for the House Financial Services Committee, where he oversaw the subcommittee on International Monetary Policy and helped develop the congressional response to the financial crisis and worked on the Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).
A native of Southern California, Cimino holds a Bachelor’s degree from the University of California—Los Angeles, and a Master’s of Business Administration from Johns Hopkins University.
Anne Davey serves as the Project Manager for the BITS division of Financial Services Roundtable where she coordinates ongoing team projects and supports BITS staff on research and initiatives to strategically meet the issue area and operational goals of member companies. Anne interned at Financial Services Roundtable in 2015 while earning her degree in Political Science and International Relations with a minor in Finance from High Point University in North Carolina. Anne is a native of Long Island, New York.
Heather Diaz is Director, Compliance and Policy of fTLD Registry Services. She is responsible for developing and implementing policies, procedures, and controls to assist fTLD in strategically meeting its business and operational goals while ensuring compliance with legal requirements. Prior to joining fTLD, Diaz was a compliance manager at a subsidiary of AARP where she was responsible for quality control and compliance oversight of the products and services made available to AARP members. In addition, she oversaw the corporate compliance and risk management programs. Diaz is a 2004 graduate of the College of Arts and Sciences of The University of Pennsylvania, and a 2014 graduate of a Master of Arts degree program from University of Southern California. She also is a certified compliance and ethics professional.
Jon is the Director of Digital Strategy at the Financial Services Roundtable. In this role, he manages and implements digital strategy including online advertising, social media content and delivery, website content and video coordination, among other responsibilities in keeping FSR a leg up in the battle of the second screen.
Prior to joining the team in early 2016, he served as Manager of Development and Design at one of Washington, DC’s premier digital shops, working with clients like Speaker Paul Ryan, the National Republican Senatorial Committee, Governors Greg Abbott, Susana Martinez and Scott Walker, and Senators Kelly Ayotte, Joni Ernst, and Ted Cruz.
Jon moved to the District after serving as Deputy Director of Content for Mitt Romney’s 2012 presidential campaign in Boston, Massachusetts, where he worked closely with the digital and communications departments and managed a team of content coordinators, directing website and social media strategy to ensure Governor Romney’s online voice remained consistent across platforms.
Jon studied psychology at the University of Tennessee in Knoxville and has also gained invaluable experience in local and national advertising in both television and radio. He lives in Alexandria, Virginia with his cat Ryder.
Tatiana Fittipaldi is Vice President of Meetings and Events for the Financial Services Roundtable and a member of FSR’s Meetings department. Tatiana is responsible for the planning and execution of FSR Annual Conferences and major events for the different divisions of the Roundtable.
Prior to joining the Roundtable, Tatiana worked in the hospitality industry for over 15 years in several cities, for organizations such as Marriott International and Mandarin Oriental Hotels, where she performed various positions in the Meetings & Special Events, Food & Beverage and Rooms Divisions. She is a creative professional, who brings extensive knowledge and experience in planning high-end, large scale social and corporate events, including managing diplomatic delegations.
Tatiana is a Certified Meeting Professional from the Convention Industry Council and holds a Bachelor’s degree in Hotel Administration. Tatiana is a member of the Professional Convention Management Association.
Nancy Guglielmo is Vice President of the BITS Fraud Reduction Program, focused on identifying trends and examining risks associated with current and evolving fraud trends through information sharing forums and collaboration with law enforcement agencies, federal regulators and technology service providers.
Previously, Guglielmo served in a variety of roles at HSBC including management positions in Fraud Policy, Fraud Strategy, and Privacy and Security. In addition, Guglielmo worked at Household Credit Services, the Department of the Navy and at AT&T focusing on Information Security, Business Analysis and Network and System Administration.
Guglielmo has a Master in Business Administration in Finance from Golden Gate University and B.S. in Mathematics from Moravian College.
Robert Hatch serves as Director & Counsel of Regulatory Affairs for the Financial Services Roundtable. In this capacity, he coordinates FSR’s efforts in responding to a wide variety of actions taken by both financial regulators and the courts, with a specific focus on new policies required under the Dodd-Frank Act of 2010. He also acts as FSR’s regulatory subject matter expect in the areas of Risk Management and Lending and Leasing.
Hatch earned his J.D. from The George Washington School of Law, where he graduated with honors and served as a member of The George Washington Law Review. He also holds a B.A. degree magnum cum laude in Political Science from Brigham Young University.
Jill Hoffman serves as the Vice President of Government Affairs for Investment Management at the Financial Services Roundtable (FSR). FSR is the leading advocacy organization for America’s financial services industry.
FSR members include the leading banking, insurance, asset management, finance and credit card companies in America. FSR is driven at the CEO level and provides a unique and influential voice in Washington. In her position, she oversees investment management, retirement, and systemic risk related public policy issues.
Jill contributes as an expert media spokeswoman on behalf of FSR and is the author of the blog series Wonky Talk, which has been featured in CNN Money.
Before joining FSR, Jill was the chief lobbyist before the Senate Banking and House Financial Services Committees for the National Association of Insurance and Financial Advisors (NAIFA) where she served for ten years. During her time at NAIFA, Jill represented the organization’s interests through the enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Jill also played a lead role bringing about the enactment of the National Association of Registered Agents and Brokers (NARAB).
Before her time with NAIFA, Jill lobbied for the American Council of Life Insurers (ACLI), worked on the AFLAC Federal Relations staff, and served in the office of Senator John Breaux (D-LA).
A graduate of Louisiana State University, Jill serves on the Board of the University’s College of Humanities and Social Sciences. She is married and lives with her husband and young son in Alexandria, Va.
Heather Hogsett serves as Vice President of Technology and Risk Strategy at BITS where she focuses on the development of strategic initiatives to support challenges facing member companies.
Prior to joining BITS, Hogsett served as Staff Director for Federal Relations at the National Governors Association, where she oversaw NGA’s federal legislative agenda and activities on cybersecurity, homeland security and defense, emergency management and veterans’ affairs. Hogsett helped establish and direct the Council of Governors – a presidentially-appointed council bringing together 10 governors with the Secretaries of Defense and Homeland Security, as well as senior White House officials – which has established an unprecedented level of cooperation between state and federal military forces. As part of these efforts, Hogsett worked with governors and senior federal officials to improve federal-state coordination on cybersecurity and to gain enactment of legislation to address a long-standing concern regarding the coordination of military forces during disaster response.
Prior to her work at NGA, Hogsett served on the Homeland Security Committee in the U.S. House of Representatives and the Homeland Security and Governmental Affairs Committee in the U.S. Senate. Hogsett holds a bachelor’s degree in political science and international studies from Northwestern University in Evanston, Illinois, and a Master of Science in Foreign Service degree from Georgetown University in Washington, DC.
Andrew Kennedy joined Financial Services Roundtable’s BITS in 2008 and is currently Senior Program Manager for BITS’ Security initiative. He previously was project manager for the BITS Vendor Management Program. Kennedy interned at BITS in 2006 while earning his degree from Cal State East Bay. Previously, Kennedy worked as an IT professional and Security consultant and has over a decade of experience working in the biotech and software industry in California.
Jason Kratovil is Vice President of Government Affairs for Payments at the Financial Services Roundtable, where he oversees advocacy efforts on issues related to payment cards, emerging technologies, and consumer data security. Kratovil joined FSR from the American Bankers Association, where he was Vice President and Deputy Executive Director of the ABA Card Policy Council. Previously, he was a vice president for the Independent Community Bankers of America, and also served as Legislative Director for former U.S. Representative Steven C. LaTourette (R-OH). Kratovil also worked in public affairs at Hill & Knowlton in DC, and in marketing with Dell Computers in Texas.
Kratovil received a Master of Public Policy degree from George Mason University and B.A. from Miami University (OH), and holds a Certified Information Privacy Professional/United States (CIPP/US) credential through the International Association of Privacy Professionals. He is a native of Cleveland, Ohio, and currently resides in Alexandria, Virginia, with his wife and son.
Paul Leonard is the Housing Policy Council’s Senior Vice President of Government Affairs and works with HPC member companies to develop and advocate HPC’s position on key mortgage policy issues including housing finance (GSE) reform, foreclosure prevention, mortgage lending and servicing legislation and regulation.
Leonard also works with Financial Services Roundtable members as part of the Lending and Leasing policy team. Prior to joining the Housing Policy Council in 2003, Paul worked in the House of Representatives for more than twenty years, including eleven years as Chief of Staff and Legislative Director to U.S. Representative Michael N. Castle (R-DE) managing housing and financial services issues before the U.S. House Committee on Financial Services.
Shingai is the receptionist and office assistant at the Financial Services Roundtable. She is the first point of contact and provides administrative support to the Regulatory and Legal Affairs Department. Shingai holds a Bachelor’s of Science degree in Psychology from the University of Zimbabwe.
Josh Magri is Vice President, Counsel for Regulation and Developing Technologies at the Financial Services Roundtable/BITS. In this role, Magri oversees regulatory, advocacy, and policy efforts on issues related to cybersecurity, data security and privacy, financial technology (“FinTech”), and developing technologies.
Prior to joining FSR, Magri was the Associate Vice President at the Internet Security Alliance, a multi-sector cybersecurity trade association, where he co-authored the National Association of Corporate Directors’ (NACD) “Cyber-Risk Oversight Handbook.” He also helped develop cybersecurity policy that was largely incorporated into Presidential Executive Order 13636 – Improving Critical Infrastructure Cybersecurity.
Before moving to the Washington area, Magri was a prosecutor in the Bronx County District Attorney’s Office. Tenured in both the Appeals and Rackets Bureaus, he handled felony and misdemeanor investigations, prosecutions, and appeals.
Magri graduated Boston College with a B.A. in Economics and earned a J.D. from Boston College Law School. Following law school, he clerked for the Honorable Fernande Duffly at the Massachusetts Appeals Court. A Boston native, Magri and his wife have made suburban Washington, D.C. their home.
Amanda Parry is the Manager of Office Operations & EA at Financial Services Roundtable. Previously, she served as Executive Assistant to the CEO and COO of Stronghold Engineering, Inc. in Riverside, California. Before that, she worked in political fundraising at Vandenberg and Associates for both presidential and senatorial campaigns. Amanda graduated from Point Loma Nazarene University in 2009. She currently resides in Arlington, Virginia with her husband and English Bulldog.
Adam Rice is the Director of Communications at the Financial Services Roundtable. In this role, Rice focuses on media relations and advances FSR’s advocacy initiatives through strategic communications. Rice joined FSR from Capitol Hill where he served on the communications staff of the House Financial Services Committee, and most recently as Communications Director for Congressman Randy Neugebauer (R-TX), Chairman of the Financial Institutions and Consumer Credit Subcommittee.
Rice holds a Bachelor of Arts degree from Southern Methodist University. He lives in Washington, D.C. with his wife Alex and dog Rory.
Oliver Samuel-Jakubos serves as the Data Manager for the HOPE NOW Alliance. In his role, he manages member data on loss mitigation solutions and produces a monthly National Data Report and a quarterly State Data Report. He assists with other functions within HOPE NOW including organizing homeowner outreach events, participating on compliance committees and fostering member relations.
Oliver joined HOPE NOW after graduating from the Pennsylvania State University with a Bachelor of Science in Agribusiness Management.
Craig Schwartz is Managing Director of fTLD Registry Services, LLC (fTLD), since 2011. fTLD was originally founded by the Financial Services Roundtable and the American Bankers Association. He is responsible for developing the organizations’ strategic response to ICANN’s generic Top-Level Domains (gTLDs) Program. Previously, Craig was with ICANN for five years where he served as Chief gTLD Registry Liaison, and with Widmeyer Communications, a D.C.-based public relations and strategic communications firm, for nearly a decade and most recently as Vice President, Operations. Contact Craig at email@example.com and visit fTLD at www.ftld.com.
Eric Selk serves as the Executive Director of the HOPE NOW Alliance. He started with the Alliance in 2007 as a project manager, and served as Outreach Director and Deputy Director before being elevated to his current role. Since Selk has been with HOPE NOW, alliance members have helped close to eight million homeowners find permanent, sustainable mortgage solutions. Selk manages member relationships and focuses on working with all mortgage market participants – private, government and non-profit – to assist at-risk homeowners.
Georgette Sierra is Vice President of Government Affairs for Lending and Leasing at the Financial Services Roundtable. Sierra has extensive Capitol Hill and financial services industry experience, and joins FSR after serving as Chief of Staff and policy advisor for Representative Carolyn McCarthy (D-NY), a senior member of the House Financial Services Committee. Prior to Representative McCarthy’s office, she worked in governmental affairs at USAA and Grant Thornton.
Sierra is a graduate of James Madison University and a native Virginian. She currently lives in Vienna, VA with her husband and young daughter.
Felicia Smith is Vice President and Senior Counsel for Regulatory Affairs for the Financial Services Roundtable, and is a member of the Regulatory Department. She also serves as a Lead Subject Matter Expert for the Investment Management activity.
Prior to joining FSR, Smith was a Visiting Professor at Mississippi College School of Law, where her teaching assignments included Securities Regulation and Business Associations. Smith also was a member of the Mississippi Secretary of State 2008 Business Reform Securities Law Committee.
Smith is a former in-house corporate and securities counsel for a securities firm with its headquarters in New York City. She provided legal counsel for public offerings, private placements, and resales of equity and fixed income securities (including rule 144, rule 144A, rule 10b5-1 trading plans, Regulation D, and Regulation S). Smith drafted and negotiated equity securities research distribution agreements, equity securities trading agreements, and securities trading technology vendor contracts. She also was counsel to several of the firm’s new product review committees and business review committees, and supervised broker-dealer filings with federal and state securities regulators, securities exchanges, and self-regulatory organizations, and securities exchange membership applications and related filings.
Smith began her legal career at the United States Securities and Exchange Commission, where she was a Special Counsel in the Chief Counsel’s Office for the Division of Corporation Finance, and was the Commission’s expert on the Trust Indenture Act. As a member of the Chief Counsel’s staff, she recommended policy and participated in decision-making, including over 200 no-action and interpretative letters on a variety of federal securities law issues arising under the Securities Act, the Securities Exchange Act, and the Trust Indenture Act. Smith’s rulemaking activities included the rules implementing the Trust Indenture Reform Act of 1990 and the U.S.-Canada Multijurisdictional Disclosure Systems.
As a member of the Business Law Section of the American Bar Association, Smith was editor of, and a contributor to, the ABA Comment Letter filed in response to The Regulation of Securities Offerings (the “Aircraft Carrier” Release), and co-editor of a comment letter on Revisions to Rule 144 and Rule 145 to Shorten Holding Periods for Affiliates and Non-Affiliates. Smith also was a contributor to the ABA Revised Model Simplified Indenture (2000).
Smith holds the LL.M. in Securities Regulation from Georgetown University Law Center and the Doctor of Jurisprudence from Mississippi College School of Law. She is admitted to practice in the District of Columbia and the Supreme Court of the United States.
Scott Stewart is the Senior Director of Membership & Operations at the Financial Services Roundtable. Previously he served as a political appointee in the Secretary’s office at the Department of the Interior in 2005 and 2006 and drove the administration’s energy message to external organizations and state governments. Stewart designed the plans for communicating both fossil and renewable Secretarial decisions on energy policy to energy and environmental groups, policy leaders and state governments. While at Shell, Stewart successfully guided several significant regulatory commenting campaigns; designed Shell’s proposed royalty structure for oil shale development to the BLM; and worked with environmental NGOs to successfully influence new Colorado hard rock mining regulations.
Stewart has both managed government and regulatory programs for a large energy company, and been involved on the financial side of the business for a small oil exploration and production company. Before joining the Roundtable, Stewart was assisting the family independent insurance brokerage in California. With extensive experience as an external, regulatory, government and communications professional, Scott is a clear leader in policy and issue management. Stewart received his Bachelor’s Degree from Yale University and Masters of Business Administration from the University of Denver.
Kim Ward is the Manager of Accounting at the Financial Services Roundtable. She has been with FSR for 6 years, and works directly with the CFO in the Finance Department. Ward is involved with the day-to-day financial needs of FSR including Payables, Receivables, some HR functions and administrative support. Before coming to FSR, Ward worked at The University of MD, University College in the Accounts Payable office.