Ed Coughlin Email and Phone Number

• Member of the crisis management and risk mitigation team. • Member of the equity and options best execution and risk committees• Firm representative for industry Limit Up Limit Down "LULD" committee • Member of the Nasdaq ETP business unit• Responsible for regulatory compliance, oversight and response.• Responsible for thought leadership on macro and micro equity market structure topics • Designed a new supplemental closing auction cross process• Designed a new opening cross process to improve auction price protections• Business development and client relationship management• Responsible for trade dispute resolution• Manager in charge of initial public offering trading • Participant in executive mentorship program

Independent consultant advising firms on trading practices, best execution, smart order routing, risk management, and compliance issues related to agency and principal trading. Engagements have included both institutional and retail firms.

Led a highly motivated team of trading and technology professionals in restarting the wholesale market making operations of (BLMIS). Lead presenter in raising $25 million (A&B rounds) to acquire the assets of and launch Surge Trading within two months of closing the asset acquisition deal. Co-created the Written Supervisory Procedures (WSPs) filed with FINRA that led to receipt of regulatory approval to commence market making activities. Created and executed the strategy for Surge Trading to produce industry leading best execution quality statistics for every interval since inception. Responsible for implementing and overseeing the development of automated regulatory compliance functionality within the electronic trading platform. Developed strategic/tactical plan for generating trading profitability during the early stages of the firm’s development. Post start up phase, my primary responsibilities included:•Managed the automated market making equity trading desk•Managed the firms regulatory compliance oversight and response•Managed and implemented Best Execution SEC rule 605 strategy •Head Trader in charge of execution and liquidation strategy•Managed and designed firms risk management systems•Member of the transition team involved in the startup of the broker dealer’s Trading, Regulatory, and Back-office operations•Member of the Executive Leadership Team