Consultant to Mediant on proxy communications matters.

Independent litigation and regulatory settlement monitoring services, and advice to boards and management regarding corporate governance best practices and financial services regulation. www.oversightandgovernance.com

Advised on a variety of listing, corporate governance and regulatory matters. Also a member of the Exchange's Commission on Corporate Governance and its Proxy Fee Advisory Committee.

Managed transfer of bulk of regulatory operations to FINRA. In the role of NYSE Regulation Chief Executive, I also served on the FINRA Board.

Chief legal officer for NYSE's independent regulatory subsidiary.

Primary legal advisor for listed company matters and exchange regulation and market structure. I was centrally involved in the formulation of the NYSE's expanded corporate governance listing standards, and in the changes to NYSE’s own governance structure as it evolved from a single, member-owned stock exchange to a publicly owned global exchange operator.

In addition to functioning as chief legal officer, I also managed departments responsible for listing operations, membership, corporate secretary and government relations, with a total staff of 70+ and an annual budget of $10 million.

Reported to Executive Vice President for Legal & Regulatory Policy, with similar duties as above except listing operations.

Securities counsel for the corporation and legal advisor to its Treasury Department and GTE Finance Corporation, the financing subsidiary.

General corporate and securities practice.