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Financial Regulation with Chairman Ruder
Joing former SEC chairman David Ruder and his panel panel of financial regulation experts as they the origins of the Financial Crisis and our current recession. This panel is for people who are interested in knowing how we got to this mess, and how regulations will be changing to prevent another occurance of this situation.
David S. Ruder, Professor, Northwestern University School of Law
David S. Ruder is the William W. Gurley Memorial Professor of Law Emeritus at Northwestern University School of Law in Chicago. From 1987 to 1989 he served as Chairman of the United States Securities and Exchange Commission. Since 2000 he has served as Chairman of the Mutual Fund Directors Forum, a not-for-profit organization devoted to educating mutual fund directors so that they can better perform their duties, including contract approvals. The Forum is the successor to the Mutual Funds Directors Education Council, which Professor Ruder formed in 1998 at the request of the Securities and Exchange Commission.
Professor Ruder has been a member of the faculty at Northwestern University School of Law since 1961, and served as Dean of the School from 1977 to 1985. He became Professor of Law Emeritus on September 1, 2005. At Northwestern, Professor Ruder teaches and writes in the corporate and securities law area. He is President of Northwestern's Corporate Counsel Center, which sponsors legal research and provides continuing professional education programs for corporate counsel. He also serves as a member of the Planning Committees for three professional education programs sponsored by the Law School: the Corporate Counsel Institute, the Ray Garrett, Jr. Corporate and Securities Law Institute and the California Securities Regulation Institute (Chairman 1994-1997).
Professor Ruder is a member of the Advisory Council of the Public Company Accounting Oversight Board. From 2000 to 2005, Professor Ruder served as a Trustee of the International Accounting Standards Committee Foundation which oversees the International Accounting Standards Board. From 1999 to 2004, Professor Ruder was Chairman of the Board of Trustees of the Securities and Exchange Commission Historical Society. From 1996 to 2002 he served as a Trustee of the Financial Accounting Foundation which oversees the Financial Accounting Standards Board. From 1990 to 1993 he served as a member of the Board of Governors of the National Association of Securities Dealers, Inc. He was Chairman of the NASD's Legal Advisory Board from 1993 to 1996.
Professor Ruder received a bachelor's degree, cum laude, in 1951 from Williams College, where he was a member of Phi Beta Kappa and Gargoyle, the senior honorary society. He received his law degree with honors in 1957 from the University of Wisconsin, where he was a member of the Order of the Coif, editor in chief of the Wisconsin Law Review, and the recipient of the Salmon W. Dalberg Prize as the outstanding graduating student. He received an honorary Doctor of Laws degree from the University of Wisconsin-Madison on May 17, 2002. He served in the United States Army from 1951 to 1953. He has practiced law as an associate at Quarles and Brady (Milwaukee), of counsel at Schiff, Hardin & Waite (Chicago) and as partner and senior counsel at Baker & McKenzie (Chicago).
Allan Horwich, Partner, Shiff Hardin LLP
Allan Horwich is a partner with Schiff Hardin LLP, where he has practiced for nearly 40 years after graduating from the University of Chicago Law School in 1969 and Princeton University in 1966. He has been on the residential faculty as a Senior Lecturer at Northwestern University School of Law since 2000, where he teaches securities regulation and securities litigation. He has published numerous articles in securities law newsletters and scholarly journals on issues of securities law disclosure and securities litigation. He has spoken recently in a number of forums addressing aspects of the current financial crisis. His practice focuses on securities litigation and enforcement as well as counseling on disclosure and corporate governance.
Funmi Arewa, Associate Professor of Law, Northwestern University School of Law
Funmi Arewa is an Associate Professor of Law at Northwestern University School of Law. Prior to joining Northwestern, she was most recently an assistant professor and assistant director of the Center for Law, Technology, and the Arts at Case School of Law in Cleveland, Ohio. Her areas of expertise include intellectual property, international trade and business, business law, entrepreneurship, empirical methods, and finance. Professor Arewa was previously the chief financial officer and general counsel at Boston-based JT Venture Partners, LLC. She has written several articles and presented on issues relating to copyright infringements, securities regulations, and global intellectual property.
Kevin O'Hara, Principal, KJPOH Enterprises, LLC
Kevin O'Hara is a principal with KJPOH Enterprises, LLC where he provides consulting services on capital market and exchange-trading issues for international clients and manages a private investment portfolio. He is also a principal with the Kevin J.P. O'Hara Family Foundation.
Mr. O'Hara was the Chief Strategy Officer & Chief Administrative Officer of the Chicago Board of Trade until June, 2007 and managed strategic planning and legal, regulatory, corporate governance and administrative functions. He was heavily involved in structuring, negotiating and managing the due diligence process of the merger between the CBOT and the Chicago Mercantile Exchange. He previously served as the Chief Administrative Officer, General Counsel and Corporate Secretary for Archipelago Holdings, Inc., where he joined as Employee No. 11 in May 1999. Mr. O'Hara managed and was responsible for Archipelago's Corporate Client Group, which included the issuer listings business, as well as the company's legal, corporate governance, regulatory, and governmental and lobbying affairs. He was also heavily involved in Archipelago's transactions, including the negotiating and structuring of its merger with the RediBook ECN, its acquisition of the GlobeNet ECN, and its alliance with the Pacific Stock Exchange (PCX) creating "ArcaEx," the second largest stock exchange in the United States.
Mr. O'Hara also served as Senior Counsel and Staff Attorney in the Division of Enforcement of the U.S. Securities and Exchange Commission in Washington, D.C. There, he investigated and prosecuted violations of the federal securities laws and regulations. In 1993, he served as a Special Assistant United States Attorney in Washington, D.C., where he prosecuted violent street crime. Prior to his federal government experience, Mr. O'Hara practiced corporate law and commercial litigation at the Chicago law firm of Ross & Hardies.
Mr. O'Hara earned a J.D. in 1988 from Georgetown University Law Center and a B.A. in 1985 from the University of Chicago. In 1999, he completed the International Finance & Global Capital Markets Executive Program at the Georgetown University McDonough School of Business.
Mr. O'Hara serves on several boards including Investment Technology Group, Inc., Quadriserve Inc., and White Cap Trading, L.L.C., an institutional brokerage firm located in New York City. In 2000-2001. He is also a frequent guest lecturer at Northwestern University School of Law and an Adjunct Professor of Finance at the Loyola University Graduate School of Business.
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