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Regulation R "Push Out Rules"
and Its Impact on Bank Brokerage Activities
Andrea R. Tokheim
Counsel, Legal Division
Board of Governors of the Federal Reserve System
** Speaker Bio to be added soon.. Keep checking back for updates. **
Linda Sundberg
Senior Special Counsel (Banking and Derivatives)
U.S. Securities and Exchange Commission (SEC)
Linda Stamp Sundberg is a Senior Special Counsel (Banking and Derivatives) in the Division of Trading and Markets, Office of Chief Counsel at the U.S. Securities and Exchange Commission. Before joining the Securities and Exchange Commission, she worked in Federal Deposit Insurance Corporation from 1987 – 2002 and in Private practice in Denver, Colorado from 1982-1987.
Ms. Sundberg has had substantial responsibility for drafting and speaking on Regulation R and the bank dealer rules; substantial responsibility for drafting the CSE rules; substantial Responsibility for Drafting 12 CFR Part 362; and was a deposit insurance consultant for IFAD to Moldova.
Education:
J.D. University of Colorado, licensed as an attorney in Colorado since 1981 B.S. in Accounting from the University of Denver, CPA license in Colorado since 1981 (inactive)".
Judi McCormick
Director, Trust and Specialty Programs
Office of Thrift Supervision
Judi McCormick has been working in Washington D.C. focusing on trust and asset management issues since 1989. Her DC career started with the American Bankers Association (ABA) as senior trust counsel in the government relations division. Judi joined the Office of Thrift Supervision 8 years ago as a trust policy specialist and is now the Director of Trust & Specialty Programs. As Director, Judi is responsible for making recommendations for changes to regulations, policies, examination programs and other guidance as required; assisting in identifying supervisory problem areas and developing appropriate responses; managing the development, implementation and maintenance of regulations, policies, examination programs and other guidance; implementing regulatory and policy changes; advising and providing guidance to OTS staff, savings associations, other regulatory agencies, Congress, and various trade groups on policies and issues; and advising on complex and controversial issues.
Judi is a lawyer with a degree from the University of Pittsburgh School of Law.
Victoria Pawelski
Compliance Policy Analyst, Division of Supervision and Consumer Protection
Federal Deposit Insurance Corporation (FDIC)
Victoria Pawelski joined the FDIC in 2007 as a Compliance Policy Analyst in the Division of Supervision and Consumer Protection, and focuses on securities, insurance, mortgage and overdraft protection issues. Prior to joining the FDIC, she worked for almost a decade as a securities regulatory counsel, mainly in the areas of broker-dealer regulation and market regulation. She spent five years at the U.S. Securities and Exchange Commission (SEC), first drafting decisions and orders in the Office of Administrative Law Judges, then serving as Special Counsel in the Division of Market Regulation’s Office of Risk Management and Control. She then spent four years in the National Association of Securities Dealers’ (NASD’s) Registration and Disclosure Department, initially as Senior Attorney then as Assistant Chief Counsel, where she handled in-house legal and regulatory policy matters for the Web-based registration and disclosure system for broker-dealers and investment advisers. She also addressed broker-dealer, investment adviser, hedge fund, corporate securities registration and bank regulatory issues in the Finance Group at a large, Washington, D.C. law firm.
Victoria received an undergraduate Bachelor of Commerce degree from McGill University in Montreal, Canada, as well as a joint law and M.B.A degree from American University in Washington, D.C. She is a member of the Maryland and District of Columbia Bars.
Charles M. Horn
Partner
Mayer Brown LLP
Charles Horn is a regulatory and transactional attorney whose practice focuses primarily on banking and financial services matters. Charles represents domestic and global financial services firms of all sizes on regulatory and transactional issues affecting their organization, structure, governance, management and operations. In addition, he provides sophisticated regulatory counseling to banks and other financial services firms relative to federal and state financial regulation, supervision, and compliance matters affecting their corporate, institutional, and retail business activities.
Charles has extensive experience in the development of new capital markets and other financial products and services. He also supplies comprehensive counseling across a wide range of transactions and activities involving the convergence of financial services sectors (banking, securities, and insurance), including merger and acquisition transactions, strategic alliances, and business integrations. In 2007, Chambers USA noted that “. . . clients report that they ‘rely heavily on Charles Horn’s wisdom, judgment and experience’ . . .”.
Prior to joining Mayer Brown in 1992, Charles worked with another major law firm. Previously, he served first as Senior Attorney (1983), then as Assistant Director (1983–1986), and finally as Director (1986–1989) of the Securities & Corporate Practices Division of the US Department of Treasury’s Office of the Comptroller of the Currency. Earlier, Charles held positions of progressively greater responsibility with the US Securities and Exchange Commission, Washington, DC, including Branch Chief (1982–1983); Senior Counsel (1980–1982); Attorney, Division of Enforcement (1978–1982); and Attorney, Division of Market Regulation (1976–1978).
He attended Cornell University Law School, JD, 1976, Harvard College, AB, magna cum laude, 1973.
He was admitted to US Supreme Court, 1980; US Court of Appeals for the District of Columbia Circuit, 1977 and District of Columbia, 1976.
Martin E. Lybecker
Partner
WilmerHale
Mr. Lybecker is a partner in the Washington, D.C., office of Wilmer Cutler Pickering Hale and Dorr LLP. Mr. Lybecker received his B.B.A. (in Accounting) and J.D. degrees from the University of Washington in 1967 and 1970, respectively; Mr. Lybecker also received an LL.M. (in Taxation) degree from New York University in 1971, and an LL.M. degree from the University of Pennsylvania in 1973 where he was a Graduate Fellow of the Center for the Study of Financial Institutions and the Securities Markets. Mr. Lybecker served as Associate Director of the SEC's Division of Investment Management from 1978 to 1981; previously, he had been an Attorney, Office of Chief Counsel, in that Division (1972-1975). From 1974 to 1980, Mr. Lybecker was also a law teacher at Georgetown University, State University of New York at Buffalo, Duke University, and the University of North Carolina, and since 2000 has served as a Senior Lecturing Fellow in Law at Duke University. Mr. Lybecker is a member of the Council of the Section of Business Law (2005-2009), has been Chairman of the Committee on Banking Law (2002-2005), has been Chairman of the Committee on Developments in Investment Services (1994-2002), and is a member of the Committee on the Federal Regulation of Securities of the Business Law Section of the American Bar Association. Mr. Lybecker is a member of the American Law Institute, a member of the Editorial Board of The Investment Lawyer, a member of the Advisory Board of the Duke University Global Capital Markets Center, and Co-Chair of the Investment Management Committee and a member of the Advisory Council of the SEC Historical Society. Mr. Lybecker was profiled in Chambers USA: America’s Leading Lawyers for Business, Investment Management, 2005, 2006, 2007 editions, and selected by his peers for inclusion in The Best Lawyers in America 2005-2006 (Corporate, M&A, and Securities Law), 2007, 2008 (Mutual Fund Law, Banking Law).
Christopher Cole
Senior Regulatory Counsel
Independent Community Bankers of America
Chris Cole joined ICBA as regulatory counsel in May 2003. Before joining ICBA, Chris served for many years as vice president and assistant general counsel for a large regional bank holding company based in Virginia and prior to that, was an attorney at Marriott Corporation and at the Treasury Department's Office of Chief Counsel. Chris received his bachelor's and law degrees from the University of Virginia and a masters degree in tax law from Georgetown University Law School.
Regulation R "Push Out Rules"
Speaker Firms, Agencies, and Organizations:
Board of Governors of the Federal Reserve System
U.S. Securities and Exchange Commission (SEC)
Office of Thrift Supervision
Federal Deposit Insurance Corporation (FDIC)
Upcoming events.