Founder, Paredes Strategies LLC
Troy A. Paredes is the founder of Paredes Strategies LLC. From 2008-2013, Mr. Paredes was a Commissioner of the U.S. Securities and Exchange Commission, having been appointed by President George W. Bush. At the SEC, Mr. Paredes was a strong advocate for small business and the JOBS Act, for solving the information overload problem of securities law disclosure, and for rigorous cost-benefit analysis. He also consistently expressed concerns about the overregulation and overreach of the Dodd-Frank Act. Since leaving government, Mr. Paredes has had an active consulting practice. Mr. Paredes advises on financial regulation, corporate governance, compliance, and governmental and regulatory affairs. He also serves as an expert and adviser in regulatory enforcement investigations and actions and in private litigation involving securities law and corporate law, and he has been an independent compliance consultant/monitor. Before becoming an SEC Commissioner, Mr. Paredes was a professor of law at Washington University in St. Louis and a professor of business (by courtesy) at Washington University’s Olin Business School. Currently, he is the Distinguished Policy Fellow and Lecturer at the University of Pennsylvania Law School and a Lecturer on Law at Harvard Law School. Next year he will be a Distinguished Scholar in Residence at NYU School of Law. Mr. Paredes is the author of numerous academic articles on financial regulation, corporate governance, innovation, and behavioral economics. He also is a co-author (beginning with the 4th edition) of a multi-volume securities regulation treatise with Louis Loss and Joel Seligman entitled Securities Regulation. Mr. Paredes serves on the board of directors of Electronifie Inc. and is a member of the board of advisors of StreetShares, Inc. Mr. Paredes holds a bachelor’s degree in economics from UC Berkeley and earned his J.D. from Yale Law School.
Commissioner, United States Securities and Exchange Commission
Hester M. Peirce was appointed by President Donald J. Trump to the U.S. Securities and Exchange Commission and was sworn in on January 11, 2018.
Prior to joining the SEC, Commissioner Peirce conducted research on the regulation of financial markets at the Mercatus Center at George Mason University. She was a Senior Counsel on the U.S. Senate Committee on Banking, Housing, and Urban Affairs, where she advised Ranking Member Richard Shelby and other members of the Committee on securities issues. Commissioner Peirce served as counsel to SEC Commissioner Paul S. Atkins. She also worked as a Staff Attorney in the SEC’s Division of Investment Management. Commissioner Peirce was an associate at Wilmer, Cutler & Pickering (now WilmerHale) and clerked for Judge Roger Andewelt on the Court of Federal Claims.
Commissioner Peirce earned her bachelor’s degree in Economics from Case Western Reserve University and her JD from Yale Law School.
George Mason University Foundation Professor of Law, Antonin Scalia Law School, George Mason University
TODD J. ZYWICKI is George Mason University Foundation Professor of Law at Antonin Scalia Law School at George Mason University and Research Fellow of the George Mason Law and Economics Center. During the Fall 2023 semester he served as the Visiting Scholar in Conservative Thought and Policy for the Bruce Benson Center for the Study of Western Civilization at the University of Colorado-Boulder. From 2020-2021 he was Chair of the Consumer Financial Protection Bureau Taskforce on Federal Consumer Financial Law. In 2021 he was inducted to the American College of Consumer Financial Services Lawyers. He is also a Senior Fellow of the F.A. Hayek Program for the Advanced Study of Politics, Philosophy, and Economics at George Mason University and a former Senior Fellow of the Cato Institute. From 2015-2017 he was Executive Director of the George Mason Law and Economics Center. He served as Co-Editor of the Supreme Court Economic Review from 2006-2017. From 2003-2004, Professor Zywicki served as the Director of the Office of Policy Planning at the Federal Trade Commission. He has also taught at Vanderbilt University Law School, Georgetown University Law Center, Boston College Law School, Mississippi College School of Law, and China University of Political Science and Law.
Professor Zywicki clerked for Judge Jerry E. Smith of the U.S. Court of Appeals for the Fifth Circuit and worked as an associate at Alston & Bird in Atlanta, Georgia, where he practiced bankruptcy and commercial law. He received his J.D. from the University of Virginia, where he was executive editor of the Virginia Tax Review and John M. Olin Scholar in Law and Economics. Professor Zywicki also received an M.A. in Economics from Clemson University and an A.B. cum Laude with high honors in his major from Dartmouth College.
Professor Zywicki is also a Lone Mountain Fellow of the Property and Environment Research Center, a Fellow of the International Centre for Economic Research in Turin, Italy, and a former Senior Fellow of the Goldwater Institute. During the Fall 2008 Semester Professor Zywicki was the Searle Fellow of the George Mason University School of Law and was a 2008-09 W. Glenn Campbell and Rita Ricardo-Campbell National Fellow and the Arch W. Shaw National Fellow at the Hoover Institution on War, Revolution and Peace. He has lectured and consulted with government officials around the world, including Iceland, Italy, Japan, and Guatemala. In 2006 Professor Zywicki served as a Member of the United States Department of Justice Study Group on “Identifying Fraud, Abuse and Errors in the United States Bankruptcy System.”
Professor Zywicki is the author of more than 130 articles in leading law reviews and peer-reviewed economics journals. He is one of the Top 10 most-cited law professors in the field of Commercial Law and one of the Top 25 law professors on Twitter as measured by engagement levels. He is one of the Top 50 Most Downloaded Law Authors at the Social Science Research Network. He has testified multiple times before Congress on issues of consumer bankruptcy law and consumer credit and is a frequent commentator on legal issues in the print and broadcast media, including the Wall Street Journal, New York Times, The Washington Post, The Washington Times, Nightline, The Newshour with Jim Lehrer, Neil Cavuto Show, Fox & Friends, Smerconish, Fox News @ Night with Shannon Bream, Fox Business, CNN, CNBC, Bloomberg News, BBC, The Diane Rehm Show, Lou Dobbs Show, Jerry Doyle Show, and The Laura Ingraham Show.
Professor Zywicki is former Chairman and a current member of the Board of Directors of the Competitive Enterprise Institute, and is a member of the Board of Directors of the Institute for Humane Studies, Bill of Rights Institute, the Executive Committee for the Federalist Society's Financial Institutions and E-Commerce Practice Group, the Board of Trustees of the Foundation for Research on Economics and the Environment. He formerly served on the Governing Board and the Advisory Council for the Financial Services Research Program at George Washington University School of Business. He is currently the Chair of the Academic Advisory Council for the following organizations: The Bill of Rights Institute, the film “We the People in IMAX,” and the McCormick-Tribune Foundation “Freedom Museum” in Chicago, Illinois. He is a member of the Board of Visitors of Ralston College and was a member of the Board of Trustees of Yorktown University. From 2005-2009 he served as an elected Alumni Trustee of the Dartmouth College Board of Trustees.
Director, Berkeley Research Group LLC
Walter J. Mix III heads the financial services practice at Berkeley Research Group. He is also a former commissioner of the California Department of Financial Institutions (DFI). He previously served as a banking executive at Union Bank of California.
Mr. Mix works with the firm’s domestic and foreign bank clients on corporate governance, risk management, strategic planning, and financial advisory assignments. He has significant experience in strategic planning, mergers and acquisitions, enterprise risk management, regulatory compliance, and capital planning. He has also advised clients on reengineering and implementing technology to improve profitability. In addition, he performs litigation and expert services based on his extensive expertise in financial services. He speaks frequently before bankers’ groups and regulatory seminars.
In his position as commissioner of the DFI, he reorganized the organization and improved its efficiency and effectiveness. Mr. Mix worked with financial institutions on more than 60 mergers and acquisitions and the formation of 50 de novo institutions. He reengineered the examination processes for banking and other licensees. He was instrumental in the development and passage of California’s identity theft law and many other laws, including the interstate banking and branching law and cooperative supervisory agreements for domestic and foreign banks. Mr. Mix also spearheaded proposals designed to enhance financial institutions’ electronic banking and commerce capabilities.
He joined BRG from LECG, LLC and before that The Secura Group; he served as managing director in both firms. Mr. Mix is a graduate of the University of California, Riverside and earned a master’s degree with a concentration in economics and public policy from Rutgers University. Mr. Mix serves as chairman of the International Bankers Association of California.
Commissioner, United States Securities and Exchange Commission
Hester M. Peirce was appointed by President Donald J. Trump to the U.S. Securities and Exchange Commission and was sworn in on January 11, 2018.
Prior to joining the SEC, Commissioner Peirce conducted research on the regulation of financial markets at the Mercatus Center at George Mason University. She was a Senior Counsel on the U.S. Senate Committee on Banking, Housing, and Urban Affairs, where she advised Ranking Member Richard Shelby and other members of the Committee on securities issues. Commissioner Peirce served as counsel to SEC Commissioner Paul S. Atkins. She also worked as a Staff Attorney in the SEC’s Division of Investment Management. Commissioner Peirce was an associate at Wilmer, Cutler & Pickering (now WilmerHale) and clerked for Judge Roger Andewelt on the Court of Federal Claims.
Commissioner Peirce earned her bachelor’s degree in Economics from Case Western Reserve University and her JD from Yale Law School.
Executive Vice President, The Federalist Society
Dean Reuter is Executive Vice President at the Federalist Society for Law and Public Policy Studies. He has served in two federal government agency Offices of the Inspector General, as Counsel to the Inspector General and Deputy Inspector General, responsible for policing the use of federal funds granted and contracted through those agencies. As such, he helped conduct and oversee criminal investigations across the country. He is the principal author of the non-fiction book, The Hidden Nazi: The Untold Story of America's Deal with the Devil, and editor of Liberty’s Nemesis: The Unchecked Expansion of the State and Confronting Terror: 9/11 and the Future of American National Security. He was appointed by the President and served as Vice-Chairman of the Board of Directors of the Corporation for National and Community Service, and recently served as an appointee on the U.S. Commission on Presidential Scholars. He is a graduate of Hood College (BA with Honors) and the University of Maryland School of Law.
Partner, Davis Polk & Wardwell LLP
Mr. Guynn is head of Davis Polk’s Financial Institutions Group. He has been recognized as a thought-leader on financial regulatory reform and as one of the most widely consulted U.S. legal advisers during the financial crisis. See “In the Red Zone,”The American Lawyer, January 2009 and “For Davis Polk, Dodd-Frank Pays,” The American Lawyer, December 2010.
He has advised the Securities Industry and Financial Markets Association (SIFMA), the principal trade organization for U.S. banks, securities firms and asset managers, all of the U.S.’s six-largest banks and several foreign banks on the Dodd-Frank Act and its regulatory implementation.
His practice focuses on providing strategic bank and regulatory and enforcement advice and advising on M&A and capital markets transactions when the target or issuer is a banking organization or other financial institution. He also advises on bank failures and recapitalizations, corporate governance and internal controls, cross-border collateral transactions, credit risk management, securities settlement systems and payment systems.
CEO, Institute of International Bankers
Commissioner, United States Securities and Exchange Commission
Hester M. Peirce was appointed by President Donald J. Trump to the U.S. Securities and Exchange Commission and was sworn in on January 11, 2018.
Prior to joining the SEC, Commissioner Peirce conducted research on the regulation of financial markets at the Mercatus Center at George Mason University. She was a Senior Counsel on the U.S. Senate Committee on Banking, Housing, and Urban Affairs, where she advised Ranking Member Richard Shelby and other members of the Committee on securities issues. Commissioner Peirce served as counsel to SEC Commissioner Paul S. Atkins. She also worked as a Staff Attorney in the SEC’s Division of Investment Management. Commissioner Peirce was an associate at Wilmer, Cutler & Pickering (now WilmerHale) and clerked for Judge Roger Andewelt on the Court of Federal Claims.
Commissioner Peirce earned her bachelor’s degree in Economics from Case Western Reserve University and her JD from Yale Law School.
Director, Financial Services Regulatory Practice, PricewaterhouseCoopers LLP
Cory’s recent engagements include advising on the impact of the Dodd-Frank Act for a major international bank, evaluating Basel II readiness, and advising a federal regulator on oversight and analysis of banking entities. Her areas of expertise include traded products controls (including fixed income, currency, and equity trading), wholesale credit risk management, Basel II implementation requirements, liquidity and funding, financial analysis, and corporate governance.
Prior to joining PwC, she was the associate director of the Large Institution Group at the Board of Governors of the Federal Reserve System, with responsibility for advising staff and the governors on issues relating to the largest, most complex banking organizations, including applications, enforcement actions, and matters related to safety and soundness. During the recent financial crisis, Cory led the Supervisory Capital Assessment Program, commonly referred to as the stress tests. Prior to her responsibilities at the Board of Governors, she led Basel II implementation for the Federal Reserve System from 2003 to mid-2007. Cory also held a number of leadership positions at the Federal Reserve Bank of New York, including in the Market Risk Group and in Relationship Management for large, complex banking organizations. Cory also spent a number of years in the capital markets, where she traded bank debt and later brokered derivatives for financial organizations.
Partner, Davis Polk & Wardwell LLP
Mr. Guynn is head of Davis Polk’s Financial Institutions Group. He has been recognized as a thought-leader on financial regulatory reform and as one of the most widely consulted U.S. legal advisers during the financial crisis. See “In the Red Zone,”The American Lawyer, January 2009 and “For Davis Polk, Dodd-Frank Pays,” The American Lawyer, December 2010.
He has advised the Securities Industry and Financial Markets Association (SIFMA), the principal trade organization for U.S. banks, securities firms and asset managers, all of the U.S.’s six-largest banks and several foreign banks on the Dodd-Frank Act and its regulatory implementation.
His practice focuses on providing strategic bank and regulatory and enforcement advice and advising on M&A and capital markets transactions when the target or issuer is a banking organization or other financial institution. He also advises on bank failures and recapitalizations, corporate governance and internal controls, cross-border collateral transactions, credit risk management, securities settlement systems and payment systems.
CEO, Institute of International Bankers
Commissioner, United States Securities and Exchange Commission
Hester M. Peirce was appointed by President Donald J. Trump to the U.S. Securities and Exchange Commission and was sworn in on January 11, 2018.
Prior to joining the SEC, Commissioner Peirce conducted research on the regulation of financial markets at the Mercatus Center at George Mason University. She was a Senior Counsel on the U.S. Senate Committee on Banking, Housing, and Urban Affairs, where she advised Ranking Member Richard Shelby and other members of the Committee on securities issues. Commissioner Peirce served as counsel to SEC Commissioner Paul S. Atkins. She also worked as a Staff Attorney in the SEC’s Division of Investment Management. Commissioner Peirce was an associate at Wilmer, Cutler & Pickering (now WilmerHale) and clerked for Judge Roger Andewelt on the Court of Federal Claims.
Commissioner Peirce earned her bachelor’s degree in Economics from Case Western Reserve University and her JD from Yale Law School.
Director, Financial Services Regulatory Practice, PricewaterhouseCoopers LLP
Cory’s recent engagements include advising on the impact of the Dodd-Frank Act for a major international bank, evaluating Basel II readiness, and advising a federal regulator on oversight and analysis of banking entities. Her areas of expertise include traded products controls (including fixed income, currency, and equity trading), wholesale credit risk management, Basel II implementation requirements, liquidity and funding, financial analysis, and corporate governance.
Prior to joining PwC, she was the associate director of the Large Institution Group at the Board of Governors of the Federal Reserve System, with responsibility for advising staff and the governors on issues relating to the largest, most complex banking organizations, including applications, enforcement actions, and matters related to safety and soundness. During the recent financial crisis, Cory led the Supervisory Capital Assessment Program, commonly referred to as the stress tests. Prior to her responsibilities at the Board of Governors, she led Basel II implementation for the Federal Reserve System from 2003 to mid-2007. Cory also held a number of leadership positions at the Federal Reserve Bank of New York, including in the Market Risk Group and in Relationship Management for large, complex banking organizations. Cory also spent a number of years in the capital markets, where she traded bank debt and later brokered derivatives for financial organizations.
Commissioner, United States Securities and Exchange Commission
Hester M. Peirce was appointed by President Donald J. Trump to the U.S. Securities and Exchange Commission and was sworn in on January 11, 2018.
Prior to joining the SEC, Commissioner Peirce conducted research on the regulation of financial markets at the Mercatus Center at George Mason University. She was a Senior Counsel on the U.S. Senate Committee on Banking, Housing, and Urban Affairs, where she advised Ranking Member Richard Shelby and other members of the Committee on securities issues. Commissioner Peirce served as counsel to SEC Commissioner Paul S. Atkins. She also worked as a Staff Attorney in the SEC’s Division of Investment Management. Commissioner Peirce was an associate at Wilmer, Cutler & Pickering (now WilmerHale) and clerked for Judge Roger Andewelt on the Court of Federal Claims.
Commissioner Peirce earned her bachelor’s degree in Economics from Case Western Reserve University and her JD from Yale Law School.
Director, Berkeley Research Group LLC
Walter J. Mix III heads the financial services practice at Berkeley Research Group. He is also a former commissioner of the California Department of Financial Institutions (DFI). He previously served as a banking executive at Union Bank of California.
Mr. Mix works with the firm’s domestic and foreign bank clients on corporate governance, risk management, strategic planning, and financial advisory assignments. He has significant experience in strategic planning, mergers and acquisitions, enterprise risk management, regulatory compliance, and capital planning. He has also advised clients on reengineering and implementing technology to improve profitability. In addition, he performs litigation and expert services based on his extensive expertise in financial services. He speaks frequently before bankers’ groups and regulatory seminars.
In his position as commissioner of the DFI, he reorganized the organization and improved its efficiency and effectiveness. Mr. Mix worked with financial institutions on more than 60 mergers and acquisitions and the formation of 50 de novo institutions. He reengineered the examination processes for banking and other licensees. He was instrumental in the development and passage of California’s identity theft law and many other laws, including the interstate banking and branching law and cooperative supervisory agreements for domestic and foreign banks. Mr. Mix also spearheaded proposals designed to enhance financial institutions’ electronic banking and commerce capabilities.
He joined BRG from LECG, LLC and before that The Secura Group; he served as managing director in both firms. Mr. Mix is a graduate of the University of California, Riverside and earned a master’s degree with a concentration in economics and public policy from Rutgers University. Mr. Mix serves as chairman of the International Bankers Association of California.
Commissioner, United States Securities and Exchange Commission
Hester M. Peirce was appointed by President Donald J. Trump to the U.S. Securities and Exchange Commission and was sworn in on January 11, 2018.
Prior to joining the SEC, Commissioner Peirce conducted research on the regulation of financial markets at the Mercatus Center at George Mason University. She was a Senior Counsel on the U.S. Senate Committee on Banking, Housing, and Urban Affairs, where she advised Ranking Member Richard Shelby and other members of the Committee on securities issues. Commissioner Peirce served as counsel to SEC Commissioner Paul S. Atkins. She also worked as a Staff Attorney in the SEC’s Division of Investment Management. Commissioner Peirce was an associate at Wilmer, Cutler & Pickering (now WilmerHale) and clerked for Judge Roger Andewelt on the Court of Federal Claims.
Commissioner Peirce earned her bachelor’s degree in Economics from Case Western Reserve University and her JD from Yale Law School.
Partner, Davis Polk & Wardwell LLP
Mr. Guynn is head of Davis Polk’s Financial Institutions Group. He has been recognized as a thought-leader on financial regulatory reform and as one of the most widely consulted U.S. legal advisers during the financial crisis. See “In the Red Zone,”The American Lawyer, January 2009 and “For Davis Polk, Dodd-Frank Pays,” The American Lawyer, December 2010.
He has advised the Securities Industry and Financial Markets Association (SIFMA), the principal trade organization for U.S. banks, securities firms and asset managers, all of the U.S.’s six-largest banks and several foreign banks on the Dodd-Frank Act and its regulatory implementation.
His practice focuses on providing strategic bank and regulatory and enforcement advice and advising on M&A and capital markets transactions when the target or issuer is a banking organization or other financial institution. He also advises on bank failures and recapitalizations, corporate governance and internal controls, cross-border collateral transactions, credit risk management, securities settlement systems and payment systems.
Commissioner, United States Securities and Exchange Commission
Hester M. Peirce was appointed by President Donald J. Trump to the U.S. Securities and Exchange Commission and was sworn in on January 11, 2018.
Prior to joining the SEC, Commissioner Peirce conducted research on the regulation of financial markets at the Mercatus Center at George Mason University. She was a Senior Counsel on the U.S. Senate Committee on Banking, Housing, and Urban Affairs, where she advised Ranking Member Richard Shelby and other members of the Committee on securities issues. Commissioner Peirce served as counsel to SEC Commissioner Paul S. Atkins. She also worked as a Staff Attorney in the SEC’s Division of Investment Management. Commissioner Peirce was an associate at Wilmer, Cutler & Pickering (now WilmerHale) and clerked for Judge Roger Andewelt on the Court of Federal Claims.
Commissioner Peirce earned her bachelor’s degree in Economics from Case Western Reserve University and her JD from Yale Law School.
Director, Financial Services Regulatory Practice, PricewaterhouseCoopers LLP
Cory’s recent engagements include advising on the impact of the Dodd-Frank Act for a major international bank, evaluating Basel II readiness, and advising a federal regulator on oversight and analysis of banking entities. Her areas of expertise include traded products controls (including fixed income, currency, and equity trading), wholesale credit risk management, Basel II implementation requirements, liquidity and funding, financial analysis, and corporate governance.
Prior to joining PwC, she was the associate director of the Large Institution Group at the Board of Governors of the Federal Reserve System, with responsibility for advising staff and the governors on issues relating to the largest, most complex banking organizations, including applications, enforcement actions, and matters related to safety and soundness. During the recent financial crisis, Cory led the Supervisory Capital Assessment Program, commonly referred to as the stress tests. Prior to her responsibilities at the Board of Governors, she led Basel II implementation for the Federal Reserve System from 2003 to mid-2007. Cory also held a number of leadership positions at the Federal Reserve Bank of New York, including in the Market Risk Group and in Relationship Management for large, complex banking organizations. Cory also spent a number of years in the capital markets, where she traded bank debt and later brokered derivatives for financial organizations.
2020 National Lawyers Convention
The Rule of Law and the Current Crisis
From Orange Groves to Cryptocurrency: How Will the SEC Apply Longstanding Tests to New Technologies?
Troy Paredes, Scott Kimpel
Note from the Editor: The Federalist Society takes no positions on particular legal and public...
Reframing Financial Regulation: Enhancing Stability and Protecting Consumers - Podcast
Hester M. Peirce
Reframing Financial Regulation: Enhancing Stability and Protecting Consumers, edited by Hester Peirce and Benjamin Klutsey,...
Reframing Financial Regulation: Enhancing Stability and Protecting Consumers
TeleforumThe Consumer Financial Protection Bureau and the Return of Paternalistic Command-and-Control Regulation
Todd J. Zywicki
Note from the Editor: This article examines and critiques the regulatory strategies employed by the...
Due Process in the Banking Industry - Podcast
Walter J. Mix, Hester M. Peirce, Dean Reuter
The bank regulators require larger banking organizations to prepare and file financial projections assuming various...
Due Process in the Banking Industry
TeleforumThe Volcker Rule: Curbing Risk or Curbing the Economy?
Randall D. Guynn, Sarah "Sally" Miller, Hester M. Peirce, Coryann Stefansson, Mark Weide
When President Obama, with former Federal Reserve Board Chairman Paul Volcker at his side, announced...
The Volcker Rule: Curbing Risk or Curbing the Economy?
Randall D. Guynn, Sarah "Sally" Miller, Hester M. Peirce, Coryann Stefansson, Mark Weide
When President Obama, with former Federal Reserve Board Chairman Paul Volcker at his side, announced...
The Volcker Rule: Curbing Risk or Curbing the Economy?
Financial Services & E-Commerce Practice Group and the American Bankers Associaton
Washington, DC