Securities Exchange Act Rule 15a-6

Marlon Quintanilla Paz
Senior Counsel to the Director, Division of Market Regulation
U.S. Securities and Exchange Commission

Marlon Quintanilla Paz serves as Senior Counsel to the Director of Trading and Markets at the U.S. Securities and Exchange Commission. In this capacity, Marlon is the senior legal and policy advisor to the Director of the Division of Trading and Markets and performs a wide range of senior management functions.

Marlon has played a central role in developing the SEC’s positions on many important regulatory and enforcement matters. He has had significant responsibility for formulating recommendations to the Commission for improvement of Exchange Act Rule 15a-6 (conditional exemption to foreign broker-dealers), the U.S. regulatory regime to facilitate global market access, the regulatory structure of investment advisers and broker-dealers, and processing of rule filings submitted by self-regulatory organizations. Marlon has handled novel and complex issues under the federal securities laws, particularly in matters involving broker-dealers, hedge funds, prime brokers, research analysts and the securities markets.

Prior to joining the Commission, Marlon practiced business and securities law in private practice, first at Paul Hastings in Los Angeles, California, and most recently, at Morris James and at Grant & Eisenhofer in Wilmington, Delaware.

Marlon is an Adjunct Professor at Georgetown University Law Center, and a frequent lecturer on business law and financial regulation. Marlon is a National Vice President for the Hispanic National Bar Association and President-Elect of the Hispanic Bar Association of DC. He has served as a Director of the Delaware Bar Foundation, Vice Chair of the Multicultural Judges and Lawyers Section of the Delaware State Bar Association and President of the Greater Washington, DC Region for the Hispanic National Bar Association.

Marlon received the SEC’s Equal Employment Opportunity Award for his work with Howard Law School. He has been recognized as a Rising Legal Star by the Hispanic Bar Association of DC and received the HNBA’s Regional President of the Year Award. The American Bar Association Section of Business Law appointed Marlon as an Ambassador for a two-year term.

» back

Daniel Bushner
Head of the US Securities and M&A Group
Ashurst

Daniel Bushner, the Head of the US Securities and M&A Group at Ashurst, based in the London Office. Specialising in international corporate and securities law, Daniel advises both investment banks and companies on international corporate finance, SEC registered equity offerings, privatizations, mergers and acquisitions.

Daniel is Co-Chair of the American Bar Association's International Securities and Capital Markets Committee and is a member of the ABA Subcommittee on Legal Opinions. He is also a member of the London Advisory Panel of the Practising Law Institute.

Daniel has published numerous articles on European and US securities laws, and is editor for the forthcoming book to be published by Oxford University Press "Markets for Emerging Growth Companies".

Daniel serves as Secretary to the European Primary Markets Division of the Securities Industry and Financial Markets Association.

Daniel has received favourable mentions in Legal 500 in every year since 1999. He also has been cited in European M&A Who's Who and was named in The Lawyer's Hot 100 (2001), the first year of that award. He has been nominated for "Corporate Finance Partner of the Year" Financial News (2008).

» back

Robert W. Cook
Partner
Cleary Gottlieb Steen & Hamilton LLP

Mr. Cook's practice focuses on securities regulatory and transactional matters. He has extensive experience in broker-dealer regulation, margin, sales and trading activities, as well as derivative and structured products for U.S. and foreign broker dealers, banks, investment advisers and trade associations.

Mr. Cook joined the firm in 1992 and became a partner in 2001. He received a J.D. degree, cum laude, from Harvard Law School in 1992, an M.Sc. degree from the London School of Economics in 1989 and an undergraduate degree, magna cum laude, from Harvard College in 1988.

Mr. Cook is a member of the Bar of the District of Columbia, Pennsylvania and Massachusetts.

» back

Rule 15a-6
Speaker Agency and Firms: