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exchange in development of listing standards; drafted provisions in draft
of joint stock company law.
1996 Adviser
Ukrainian Securities Commission
Ukrainian State Property Fund
Participated in development of regulations governing and licensing
transfer agents; provided State Property Fund with contractual advice on
how to structure stock purchase agreements for the sale of State owned
shares; assisted in development of standards for enforcement of these
provisions.
1996 Adviser
Moldovan Securities Commission
Reviewed and drafted regulations governing investment companies in
Moldova. The country had recently adopted a new Investment Fund Law
and required assistance in drafting mandatory regulations designed to
implement the Law and facilitate the conversion of voucher funds to
conventional investment companies.
1993-94 Adviser
Russian Securities Commission
Moscow, Russia
PROFESSIONAL EXPERIENCE
Participated in a project designed to encourage the development of the
Russian securities markets. The project involved the review of corporate
governance issues, oversight of efforts to organize brokers through the
formation of self regulatory organizations (including the development of
listing standards) and the drafting of rules and regulations for the Russian
Securities and Exchange Commission.
2012-present Secretary
Investor Advisory Committee
Securities and Exchange Commission 1
Washington, DC
2003-present Arbitrator
Financial Industry Regulatory Authority (FINRA)
Denver, Colorado
1 http://www.sec.gov/news/press/2012/2012-58.htm
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