INFORMATION ON THE SPEAKERS

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Michael S. Piwowar was appointed by President Barack Obama to the U.S. Securities and Exchange Commission (SEC) and was sworn in on August 15, 2013. Most recently, Dr. Piwowar was the Republican chief economist for the U.S. Senate Committee on Banking, Housing, and Urban Affairs under Senators Mike Crapo (R-ID) and Richard Shelby (R-AL). He was the lead Republican economist on the four SEC-related titles of the Dodd-Frank Act and the JOBS Act. Dr. Piwowar also worked on a number of important SEC-related oversight issues under the jurisdiction of the Committee, such as securities, over-the-counter derivatives, investor protection, market structure, and capital formation.

During the financial crisis and its immediate aftermath, Dr. Piwowar served in a one-year fixed-term position at the White House as a senior economist at the President's Council of Economic Advisers (CEA) in both the George W. Bush and Barack Obama Administrations. While at the CEA, Dr. Piwowar also served as a staff economist for the Financial Regulatory Reform Working Group of the President's Economic Recovery Advisory Board.

Before joining the White House, Dr. Piwowar worked as a Principal at the Securities Litigation and Consulting Group (SLCG). At SLCG, he provided economic consulting to law firms involved in complex securities litigation and technical assistance on market structure, regulatory policy, and risk management issues to domestic and international securities regulators and market participants.

Dr. Piwowar's first tenure at the SEC was in the Office of Economic Analysis (now called the Division of Economic and Risk Analysis) as a visiting academic scholar on leave from Iowa State University and as a senior financial economist. In those roles, he provided economic analyses and other technical support to the Commission and other SEC Divisions and Offices on a wide range of rulemaking, compliance, and enforcement matters.

Dr. Piwowar was an assistant professor of finance at Iowa State University where he focused his research on market microstructure and taught undergraduate and graduate courses in corporate finance and investments. He published a number of articles in leading academic publications and received several teaching and research awards.

Dr. Piwowar received a B.A. in Foreign Service and International Politics from the Pennsylvania State University, an M.B.A. from Georgetown University, and a Ph.D. in Finance from the Pennsylvania State University.

Mark T. Uyeda serves as counsel to Commissioner Michael S. Piwowar. Previously, he served as assistant director and senior special counsel in the Division of Investment Management, where he led a number of rulemaking projects, including mutual fund disclosure, summary prospectus, target date funds, and implementation of the JOBS Act. Mr. Uyeda joined the Commission in 2006 as counsel to Commissioner Paul S. Atkins and is a past recipient of the SEC Capital Markets Award and the SEC Law and Policy Award.

Before joining the SEC, Mr. Uyeda served from 2004 to 2006 as the Chief Advisor to the California Corporations Commissioner, after being appointed to that position by Governor Arnold Schwarzenegger. During that time, Mr. Uyeda also served as coordinator for the western enforcement zone and as a member of the Uniform Securities Act committee for the North American Securities Administrators Association. Mr. Uyeda was in private practice with O'Melveny & Myers LLP in Los Angeles and Kirkpatrick & Lockhart LLP in Washington, D.C. Mr. Uyeda received his undergraduate degree in business administration from Georgetown University in 1992 and his law degree with honors in 1995 from Duke University, where he served as note editor of the Duke Law Journal. He is a member of the bar in California and New York.

Marc Wyatt was named Acting Director of SEC's Office of Compliance, Inspections and Examinations in April 2015 after serving as Deputy Director since November 2014. Marc joined the SEC in 2012 as a Senior Specialized Examiner focused on hedge funds and private equity and was Co-Chair of the Private Funds Unit and.

Prior to joining the SEC, Marc was a Partner and Senior Portfolio Manager at Stark Investments (a global multi-strategy hedge fund) where he served as the co-head of the London office. Prior to working in the hedge fund industry, Marc was a senior investment banker at Merrill Lynch and Alex. Brown. Marc is a CFA charterholder and earned a BS in Economics from University of Delaware and a MBA from Duke University.

Kara Novaco Brockmeyer is the Chief of the Foreign Corrupt Practices Act Unit of the SEC's Enforcement Division. In that role, she oversees nationwide investigations into violations of the anti-bribery and accounting provisions of the federal securities laws. Ms. Brockmeyer also is the co-head of the Division's Cross Border Working Group, a proactive risk-based initiative focusing on U.S. companies with substantial foreign operations. She was one of the principal authors of the joint SEC-DOJ Resource Guide to the U.S. Foreign Corrupt Practices Act.

Prior to becoming Chief of the FCPA Unit, Ms. Brockmeyer served as an assistant director in the division, where she supervised a broad range of SEC investigations, including investigations into FCPA violations, accounting fraud, market manipulation, public offerings, misconduct by regulated entities, and insider trading. She is the recipient of numerous awards, including the SEC's Capital Markets Award and the Irving M. Pollack Award.

Before joining the SEC, Ms. Brockmeyer was in private practice with a large law firm in Chicago, primarily focused on securities and complex commercial litigation. She received her B.A. cum laude from Williams College and her J.D. magna cum laude from the University of Michigan Law School, where she was Note Editor of the Michigan Law Review.

Erin McCartney is a Senior Special Counsel in the SEC's Office of International Affairs. Ms. McCartney conducts technical assistance programs for securities regulators around the world, provides legal advice and guidance to the Division of Enforcement on FCPA investigations and prosecutions, and is a member of the U.S. Delegation to the OECD Working Group on Bribery.

Prior to joining OIA, Ms. McCartney worked in the SEC's Enforcement Division as a staff attorney where she worked on cases involving accounting fraud, broker-dealer issues, investment adviser issues, and violations of the Foreign Corrupt Practices Act. In 2006, Ms. McCartney took a leave of absence from the SEC to take a position in Iraq with the Department of State, Iraq Reconstruction and Management Office, Office of Private Sector Development.

Ms. McCartney led the project to draft a permanent securities law for the Government of Iraq, working closely with the Iraq Securities Commission and the Iraq Stock Exchange, as well as American advisors. Ms. McCartney received her undergraduate degree from Florida State University in International Relations. Ms. McCartney graduated from the University of San Diego School of Law where she was a Lead Articles Editor for the San Diego Law Review and externed for Magistrate Judge Stiven in the U.S. District Court for the Southern District of California.