NASDAQ OMX Group

Charlene T. Begley served in various capacities for the General Electric Company, a diversified infrastructure and financial services company, from 1988 through December 2013. Most recently, Ms. Begley served in a dual role as GE’s Senior Vice President and Chief Information Officer, as well as the President and Chief Executive Officer of GE’s Home and Business Solutions business from January 2010 through December 2013. Previously, Ms. Begley served as President and Chief Executive Officer of GE Enterprise Solutions from August 2007 through December 2009. Over her career at GE, Ms. Begley also served as President and Chief Executive Officer of GE Plastics and GE Transportation. She also led GE’s Corporate Audit staff and served as the Chief Financial Officer for GE Transportation and GE Plastics Europe and India. Ms. Begley is a director and member of the audit committee of WPP plc.



Steven D. Black was elected to NASDAQ OMX’s board of directors in December 2011. Since September 2012, Mr. Black has been the Co-CEO of Bregal investments, a private equity firm. He was the Vice Chairman of J.P. Morgan Chase & Co. from March 2010 through February 2011 and a member of the firm’s Operating and Executive committees. Prior to that position, Mr. Black was the Executive Chairman of J.P. Morgan Investment Bank from October 2009 through March 2010. Mr. Black served as a Co-Chief Executive Officer of J.P. Morgan Investment Bank from 2004 through 2009. Mr. Black was the Deputy Co- Chief Executive Officer of J.P. Morgan Investment Bank since 2003. He also served as head of J. P. Morgan Investment Bank’s Global Equities business since 2000 following a career with Citigroup and its predecessor firms.

On February 17, 2011, Börje Ekholm was elected to The NASDAQ OMX Group, Inc. Board of Directors. Mr. Ekholm is currently President and Chief Executive Office of Investor AB, the Nordic-based industrial holding company, where he has held a variety of management positions since joining the firm in 1992. Prior to his current role, Mr. Ekholm was a Member of the Management Group of Investor AB, where he had oversight of the New Investments business and President of Novare Kapital AB, an early-stage venture capital company. Previously, Mr. Ekholm worked at McKinsey & Co Inc. Mr. Ekholm has extensive experience in overseeing the activities of a company. He currently sits on the board of directors for Chalmersinvest AB, EQT Partners AB, Lindorff Group AB, Telefonaktiebolaget LM Ericsson and KTH Royal Institute of Technology.



Bob Greifeld is Chief Executive Officer of The NASDAQ OMX Group (NASDAQ: NDAQ), the world's largest exchange company.

Greifeld assumed leadership of NASDAQ in 2003, when the company's primary business was operating one equity market in the U.S. Today, NASDAQ OMX is a leading participant in the exchange and technology sector, delivering trading, listing, financial market technology and public company services across six continents. Mr. Greifeld has led NASDAQ OMX through a series of complex, innovative acquisitions that have extended its footprint across the world, spanning all asset classes. In 2008, he led the Exchange's combination with Stockholm-based OMX AB, as well as acquisitions of the Philadelphia Stock Exchange, the Boston Stock Exchange and Nord Pool, Europe's largest power market. Nasdaq OMX operates 22 markets, 10 clearing houses and supplies technology to another 65 exchanges around the world. In January 2009, NASDAQ OMX was named "Company of the Year" by Forbes magazine. Also in 2009, NASDAQ OMX was ranked as one of the best performing companies in the U.S. as part of the BusinessWeek 50, and it was named to Fortune Magazine's annual list of 100 Fastest Growing Companies.

Greifeld has been a strong advocate of modernizing exchanges and financial regulation to keep America's capital markets competitive. He has been outspoken on issues including Sarbanes Oxley, encouraging CEOs to embrace sound, modern regulation as consistent with good business practices. Greifeld has been critical of outmoded U.S. immigration policies, citing these as harmful to U.S. innovation and business growth. Prior to joining NASDAQ OMX, Greifeld led the buy-side businesses for SunGard Data Systems. He was an entrepreneur for 10 years and with a small team, created what became the industry standard trade order management system for NASDAQ stocks. The company he led, Automated Securities Clearance and its technology platform, BRASS, was purchased by SunGard in 1999. Greifeld holds a Masters in Business from New York University, Stern School of Business, and a B.A. in English from Iona College. His graduate school thesis was on the operation of The NASDAQ Stock Market.

Greifeld is a member of the Business Roundtable, the Financial Services Roundtable and the Partnership for New York City, an organization devoted to enhancing the local economy. He is Chairman of the USA Track & Field Foundation, which supports emerging athletes and inner city youth athletics.



Mr. Hutchins is a co-founder and Managing Director of Silver Lake, which is one of the world's largest firms investing in technology and technology-enabled businesses. He is chairman of the board of SunGard Sungard Data Systems, Inc. as well as a director of both AT&T and the NASDAQ OMX, Group, Inc.   Mr. Hutchins served President Clinton in both the transition and the White House as a special advisor on economic and health-care policy. He is also a director of the Federal Reserve Bank of New York and Vice Chairman of the Brookings Institution. Mr. Hutchins is a director of the Harvard Management Company, which is responsible for the University's endowment, and Chairman of the DuBois Institute at Harvard. He is an owner and member of the Executive Committee of the Boston Celtics basketball team. He is also a trustee of the New York-Presbyterian Hospital ,  a board member of the Economics Club of New York as well as a Fellow of the American Academy of Arts and Sciences.Mr. Hutchins holds an A.B. from Harvard College, an M.B.A. from Harvard Business School, and a J.D. from Harvard Law School.

Mr. Hutchins and his wife, Debbie, founded the Hutchins Family Foundation which, among other projects, has supported the Hutchins Center for African and African-American Research at Harvard University, which is chaired by Mr. Hutchins; the Hutchins Center on Fiscal and Monetary Policy at The Brookings Institution; and the Chronic Fatigue Initiative, which conducts basic research into the cause of chronic fatigue syndrome.



H.E. ESSA KAZIM is the Governor of Dubai International Financial Centre (DIFC), Chairman of Borse Dubai and Chairman of Dubai Financial Market (DFM).

H.E. Kazim began his career as a Senior Analyst in the Research and Statistics Department of the UAE Central Bank in 1988 and then moved to the Dubai Department of Economic Development as Director of Planning and Development in 1993. He was then appointed as Director General of the DFM from 1999 to 2006.

H.E. Kazim holds an honorary Doctorate from Coe College, a Masters degree in Economics from the University of Iowa, a Masters Degree in Total Quality Management from the University of Wollongong and A Bachelor degree from Coe College. 

H.E. Kazim currently sits on a number of official advisory committees and boards; he is Member of the Higher Board of Directors of the Dubai International Financial Centre (DIFC), Chairman of DIFC Authority Board of Directors, Chairman of DIFC Investments Board of Directors, Board Member of Dubai Economic Council, Board Member of NASDAQ Dubai, Board Member of Noor Bank, Member of the Board of the Rochester Institute of Technology, Board Member of NASDAQ OMX, Member of the Board of Etisalat,  Member of the Board of Governors of Hamdan Bin Mohammed E-University, Member of the Board and Secretary General of Dubai Islamic Economy Development Center and Member of the Supreme Fiscal Committee.



JOHN D. MARKESE is the former president and chief executive officer of the American Association of Individual Investors, a not-for-profit educational association founded in 1978. He earned doctorate in finance at the University of Illinois, concentrating on financial markets and investments, and has taught investments and portfolio management at several universities. Dr. Markese was a governor of the NASD (FINRA) from 1998 to 2002 and also served on the NASD Regulation Dispute Resolution Board. He currently serves on the board of directors of The NASDAQ OMX Group, Inc., and is Chairman of the NASDAQ OMX Audit Committee. Dr. Markese also serves on the boards of The NASDAQ Stock Market LLC, NASDAQ OMX PHLX and the NASDAQ OMX BX.



Ellyn A. McColgan was elected to the NASDAQ OMX Board on May 22, 2012. She has been a senior executive in the financial services industry for over 25 years. She is widely recognized as a transformational leader and is known for her ability to build successful businesses with a commitment to outstanding service delivery. Ellyn is an inspirational speaker and is frequently asked to address the subject of how leadership values drive business results.

Ellyn began her career in the industry with Shearson American Express after graduating from Harvard Business School in 1983. She joined Fidelity Investments in 1990 where she worked for 17 years developing an expertise in growing the retail and institutional distribution business. Between the years 2002 and 2007, Ellyn built the Fidelity Brokerage Company to be the largest brokerage company in the United States as measured by client assets and client accounts, growing the business to $1.9 trillion in assets. She left the firm in 2007 as the President of Distribution and Operations.

After leaving Fidelity, Ellyn served as President and Chief Operating Officer of Morgan Stanley Global Wealth Management Group where she led an organization of 17,000 people and $6.5 billion in revenues. She left Morgan Stanley in 2009 and is now an executive advisor to Aquiline Capital Partners in New York City.

Ellyn is an active member of her community. She is a member of the board of Young Audiences New York and the Macauley Honors College of CUNY Foundation. She serves as a member of the President's Council of Massachusetts General Hospital and as a member of the Visiting Committee of the Harvard Business School. She served as a trustee of the Museum of Fine Arts from 2007-2011 and as a trustee of Babson College for nine years. She was the co-chair of the Securities Industry and Financial Markets Association from 2006-2007 and a member of the board for several years.

Ellyn graduated summa cum laude from Montclair State College in New Jersey and received her MBA from Harvard Business School.

Mr. O’Neill is the former chairman of Ranieri Partners Financial Services Group (RFS), which is a predecessor company to the Kimberlite Group.  RFS acquired and managed financial-services companies and is a subsidiary of Ranieri Partners Management, LLC, a New York investment advisory firm.   Prior to forming RFS with Mr. Ranieri in 2010, Mr. O’Neill was a founding principal of the investment banking and brokerage firm Sandler O’Neill + Partners L.P., where he advised bank and thrift clients on strategic transactions and financing. Previously, he had served as a managing director at Bear Stearns and as co-manager of the bank’s Financial Services Group. He began his Wall Street career at L.F. Rothschild & Co. in 1972. Mr. O'Neill is a member of the board of directors of Archer Daniels Midland and serves as chairman of its audit committee.  He also serves on the board of directors of NASDAQ Stock Market, Inc., where he is chairman of the finance committee and a member of the executive committee. He also serves as a director of Misonix, Inc., a publicly traded medical-equipment manufacturer.  Mr. O’Neill is a graduate of New York University and a veteran of the United States Air Force. 



Mike Splinter is executive chairman of the board of directors for Applied Materials, Inc. He was named president and chief executive officer and a member of its board of directors in 2003 and became chairman of the board in 2009. Mr. Splinter is a 40-year veteran of the semiconductor industry and led Applied Materials to record revenue and profits during his decade-long tenure as CEO. He is the recipient of the Semiconductor Industry Association's 2013 Robert N. Noyce Award for his outstanding achievements and leadership in support of the semiconductor industry.
Mr. Splinter serves on a number of influential business and industry boards and councils, including the U.S. – India CEO Forum and the Council on Competitiveness. He serves on the boards of the NASDAQ OMX Group, Semiconductor Equipment and Materials International (SEMI) and Pica8, Inc. Mr. Splinter is committed to education and sits on the board of the University of Wisconsin Foundation.
Prior to joining Applied Materials, Mr. Splinter spent 20 years at Intel Corporation where he held a number of positions including executive vice president and director of Sales and Marketing and executive vice president and general manager of the Technology and Manufacturing Group.
Mr. Splinter began his career at Rockwell International in the firm’s Electronics Research Center where he became manager of the company’s Semiconductor Fabrication Operations and was awarded two patents. Author of numerous papers and articles, Mr. Splinter earned both Bachelor of Science and Master of Science degrees in electrical engineering from the University of Wisconsin, Madison.
 



LARS WEDENBORN, CEO of FAM (Foundation Asset Management) fully owned by Wallenberg foundations, is a Swedish citizen and has a Master of Science degree in Economics from the University of Uppsala. He started his career as auditor followed by an assignment as CFO at Cabanco. During 1991-2000 he was Deputy Managing Director and CFO at Alfred Berg, a Scandinavian investment bank. He served with Investor AB, a Swedish holding company, as Executive Vice President and CFO, 2000-2007. Mr. Wedenborn is Chairman of the Board of the NASDAQ OMX Nordic Ltd. and also a member of the boards of SKF and The Grand Hotel.



Robert Greifeld The NASDAQ OMX Group, Inc.

Bob Greifeld is Chief Executive Officer of The NASDAQ OMX Group (NASDAQ: NDAQ), the world's largest exchange company.

Greifeld assumed leadership of NASDAQ in 2003, when the company's primary business was operating one equity market in the U.S. Today, NASDAQ OMX is a leading participant in the exchange and technology sector, delivering trading, listing, financial market technology and public company services across six continents. Mr. Greifeld has led NASDAQ OMX through a series of complex, innovative acquisitions that have extended its footprint across the world, spanning all asset classes. In 2008, he led the Exchange's combination with Stockholm-based OMX AB, as well as acquisitions of the Philadelphia Stock Exchange, the Boston Stock Exchange and Nord Pool, Europe's largest power market. Nasdaq OMX operates 22 markets, 10 clearing houses and supplies technology to another 65 exchanges around the world. In January 2009, NASDAQ OMX was named "Company of the Year" by Forbes magazine. Also in 2009, NASDAQ OMX was ranked as one of the best performing companies in the U.S. as part of the BusinessWeek 50, and it was named to Fortune Magazine's annual list of 100 Fastest Growing Companies.

Greifeld has been a strong advocate of modernizing exchanges and financial regulation to keep America's capital markets competitive. He has been outspoken on issues including Sarbanes Oxley, encouraging CEOs to embrace sound, modern regulation as consistent with good business practices. Greifeld has been critical of outmoded U.S. immigration policies, citing these as harmful to U.S. innovation and business growth. Prior to joining NASDAQ OMX, Greifeld led the buy-side businesses for SunGard Data Systems. He was an entrepreneur for 10 years and with a small team, created what became the industry standard trade order management system for NASDAQ stocks. The company he led, Automated Securities Clearance and its technology platform, BRASS, was purchased by SunGard in 1999. Greifeld holds a Masters in Business from New York University, Stern School of Business, and a B.A. in English from Iona College. His graduate school thesis was on the operation of The NASDAQ Stock Market.

Greifeld is a member of the Business Roundtable, the Financial Services Roundtable and the Partnership for New York City, an organization devoted to enhancing the local economy. He is Chairman of the USA Track & Field Foundation, which supports emerging athletes and inner city youth athletics.



Current as of: 01/11


Lee Shavel The NASDAQ OMX Group, Inc.

Lee Shavel is Chief Financial Officer and Executive Vice President, Corporate Strategy at NASDAQ OMX Group, Inc. (NASDAQ: NDAQ). Mr. Shavel is responsible for all aspects of financial management at NASDAQ OMX including accounting, financial planning and analysis, investor relations, treasury, internal reporting, corporate operations and risk management. In addition, Mr. Shavel oversees Corporate Strategy, working with Mr. Greifeld and the EVPs to define NASDAQ's strategic direction, identify business and corporate opportunities and execute M&A transactions. He has worked extensively with the senior management team at NASDAQ for the past seven years in his prior role as their investment banker on many strategic and financing transactions.

Mr. Shavel joined NASDAQ OMX in May 2011 after 18 years at Bank of America Merrill Lynch where he was Americas Head of Financial Institutions Investment Banking and prior to that Global Chief Operating Officer and Head of Finance, Securities and Technology in the Financial Institutions Group. During that time, Mr. Shavel established and developed the Specialty Finance Group at Merrill Lynch, focusing on emerging high growth financial services companies. He worked intensively in the Securities and Exchange sector where he advised on many of the significant transactions in the sector including the IPOs of NASDAQ, Archipelago, Instinet, the New York Mercantile Exchange (NYMEX), the International Securities Exchange (ISE) and provided M&A advice on the sale of ISE to Deutsche Borse, the sale of NYMEX to CME Group, the merger of Archipelago and REDIBook and the acquisitions of INET and BRUT by NASDAQ. He joined Merrill Lynch & Co. in 1993 after four years at Citicorp in Financial Institutions.

Mr. Shavel graduated with honors from the University of Pennsylvania in 1989 with a B.S. in Economics from the Wharton School of Finance and a B.A. in English.
Meyer Frucher The NASDAQ OMX Group, Inc.

Meyer “Sandy” Frucher is Vice Chairman of The NASDAQ OMX Group. In this role, Mr. Frucher is responsible for global exchange relationships and serves as a senior advisor to NASDAQ OMX’s senior management team on a broad range of industry and regulatory issues. He joined the exchange after NASDAQ OMX completed its acquisition of The Philadelphia Stock Exchange, known today as NASDAQ OMX PHLX, on July 24, 2008.

From June 1998, Mr. Frucher was Chairman and CEO of the Philadelphia Stock Exchange. Under Mr. Frucher's leadership, the PHLX built an advanced trading system that set new industry standards for exchange trading technology. He also led the effort to demutualize the Exchange making the PHLX the first floor-based exchange to convert from a seat-owned, mutual cooperative institution to a for-profit, shareholding Delaware company. In 2005, Mr. Frucher enhanced the PHLX’s competitive position by striking strategic alliances with six key Wall Street and derivatives firms including Citadel Derivatives Trading Group LLC, Citigroup, Credit Suisse, Merrill Lynch, Morgan Stanley and UBS. Each firm made significant investments in the PHLX.

Mr. Frucher also spearheaded the revitalization of the Philadelphia Board of Trade (PBOT), the futures market subsidiary to the PHLX. Before Mr. Frucher came to the PHLX, he gained extensive experience in business, government and labor relations. Among other positions, he has served as a Management Consultant to major organizations including World Financial Properties Inc., formerly Olympia and York. He served as Executive Vice President of Development for Olympia and York from 1988 to 1996, where he coordinated and oversaw all development projects in the U.S. Mr. Frucher led two major, quasi-public authorities in New York where he was responsible for the development, financing and construction of complex, large-scale public and private facilities. He served from 1984 to 1988 as President and CEO of the Battery Park City Authority in New York City. Mr. Frucher was Chief Labor Negotiator for the state of New York from 1978 to 1983.

In addition to his responsibilities at the PHLX, Mr. Frucher is the founding chairman and trustee emeritus of the Board of the Massachusetts Museum of Contemporary Art, an institution responsible for developing the largest center for contemporary visual and performing arts in the United States. He also sits on the Board of the Saratoga Performing Arts Center located in Saratoga Springs, N.Y.

Mr. Frucher received a Bachelor's degree in Government from Columbia University. He earned a Master of Public Administration degree from the John F. Kennedy School of Government, Harvard University.


Bruce Aust NASDAQ OMX Group, Inc.

Bruce E. Aust is Executive Vice President, Global Corporate Client Group at NASDAQ OMX (NASDAQ: NDAQ), the world's largest exchange. In this role, Mr. Aust oversees global business development and relationship management with the 3,700 companies listed on NASDAQ OMX Group's 16 listing markets. Mr. Aust also has responsibility for NASDAQ OMX's Corporate Services unit, which provides investor relations, corporate governance and visibility services to public and private companies worldwide.

Mr. Aust oversees a nationwide sales force in the U.S. as well as global representatives serving countries including China, Israel, India, Russia, Japan, Korea, South America and the Nordic and Baltic regions.

During Mr. Aust's tenure, NASDAQ OMX has attracted some of the country's highest profile IPOs, including Google, Baidu, JetBlue and Verisk Analytics, as well as NYSE company switches including Mattel, News Corporation, Dreamworks, ADP, Direct TV, Liberty Media, Micron, BMC Software, and Vodafone.

Previously, Mr. Aust served as Executive Director and Vice President of the Corporate Client Group, a role in which he maintained oversight of all listed companies in the Western Region, representing 60 percent of the market cap on NASDAQ. He has assisted more than 200 companies in going public and works closely with CEOs and executives of some of the most well-known companies listed on NASDAQ. Throughout his career with the firm, he has been instrumental in managing NASDAQ OMX's international investor programs, providing listed companies with exposure to institutional investors in Europe and Asia.

Prior to joining NASDAQ in 1998, Mr. Aust spent 12 years at Fidelity Investments in a variety of sales, trading, and management positions in Dallas, Boston, Los Angeles, and San Francisco. He is the recipient of the University of Southern Mississippi College of Business Distinguished Alumni Award and The Digital Leadership award from Computers for Youth. In addition, Mr. Aust is a Technet Executive Committee member.

Current as of: 10/11
Holdings: 98,739 shares     View Transactions
Anna Ewing NASDAQ OMX Group, Inc.

Anna Ewing is Executive Vice President of Global Technology Solutions for the NASDAQ OMX Group, Inc. Anna has more than 25 years of experience in delivering client-focused technology in the financial services industry. In her role at NASDAQ OMX, Anna is responsible for Global Technology Services and the Market Technology business unit, which provides commercial technology solutions to over 70 exchanges and markets around the world. Integral to Ms. Ewing's role is overseeing the exchange's technology roadmap.

Since assuming her position, Ms. Ewing has been the technology architect for NASDAQ OMX's transformation from a single U.S. cash equities market to an exchange company with 24 markets around the globe, covering all major asset classes. In addition to the OMX merger, Ms. Ewing and her team have re-platformed company acquisitions including BX, formerly the Boston Exchange and NASDAQ OMX PHLX and have successfully rolled out the INET trading system in all NASDAQ OMX equity markets across the world. The Technology team at NASDAQ OMX has supported the launch of dozens of new products across all of the company's business units. All this was accomplished while providing 99.99+% uptime for its markets, which experienced record volumes during the financial crisis. Most recently, Ms. Ewing oversaw the acquisition of SMARTS, the world leading provider of market surveillance technology for exchange, regulator, and broker markets worldwide. She also manages the global technology operations for FTEN, a leading provider of real-time risk management solutions, which was acquired by NASDAQ OMX in December 2010.

As a widely recognized expert, technology innovator and driver of company and industry growth, Anna participates and is frequently featured as a speaker at a variety of events globally. Ms. Ewing regularly participates in leading financial industry conferences, global economic forums, such as The World Economic Forum, and other technology-focused events.

Prior to joining NASDAQ, Anna was with CIBC World Markets in New York and Toronto, where she served as Managing Director of Global Applications Services and as a founding member of CIBC.com. Before that, Ms. Ewing served as Vice President at Merrill Lynch, where she held various leadership positions within Technology. She is a graduate of Schulich School of Business at York University in Toronto. Ms. Ewing holds an M.B.A. from York University in Toronto, where she majored in Management Information Systems.


Holdings: 71,242 shares     View Transactions
Adena Friedman NASDAQ OMX Group, Inc.

Adena T. Friedman currently serves as President of Global Corporate, Information, & Technology Solutions for The NASDAQ OMX Group, Inc. (NASDAQ: NDAQ). In this role, Ms. Friedman is responsible for overseeing the strategy and operations as well as having financial responsibility for the company’s Corporate Client Group, Information Services and Technology Solutions business segments.

Prior to rejoining NASDAQ OMX, she was Chief Financial Officer and Managing Director of The Carlyle Group, a global asset management firm based in Washington, DC from March 2011 to June 2014.

Before Carlyle, Ms. Friedman was a key member of NASDAQ OMX's management team for over a decade, serving in a variety of roles including head of the company's data products business, head of corporate strategy, as well its Chief Financial Officer. Ms. Friedman is credited with significant contributions to the strategy and expansion of the organization, helping to create one of the most diversified exchanges in the world today. She was a central driver of the company's acquisition strategy, helping orchestrate the acquisitions of INET, OMX, Philadelphia and Boston Exchanges. She originally joined NASDAQ in 1993.

Ms. Friedman earned an M.B.A. from Owen Graduate School of Management, Vanderbilt University, in Nashville, Tennessee. She holds a B.A. in political science from Williams College in Massachusetts.


John Jacobs NASDAQ OMX Group, Inc.

John Jacobs is Executive Vice President of The NASDAQ OMX Group, Inc. He heads up The NASDAQ OMX Global Index Group and the Global Data Products Group, now known as Global Information Services. In this position, Jacobs is responsible for all aspects of our information product business development, including the creation and licensing of strategy indexes in the U.S. and abroad.

Under his direction, NASDAQ launched the NASDAQ-100 Index Tracking StockSM (QQQQ), one of the most successful financial products in stock market history. To date, The NASDAQ OMX Global Index Group has launched over 2900 products based on NASDAQ indices in more than 27 countries around the world.

Among his former responsibilities at NASDAQ, Jacobs served as Chief Marketing Officer, launched and led NASDAQ's first listed-company sales force, and managed the company's customer service teams. Also included in his broad range of experience is management of NASDAQ's listings and compliance group, which reviews and processes all SEC documents and financial filings. Additionally, Jacobs was part of the team that garnered a "yes" vote from more than 5,000 NASD member firms to spin off NASDAQ. Since then, he was part of the core group that successfully orchestrated the first two rounds of NASDAQ's private placements, paving the way for NASDAQ to become a publicly traded company.

Jacobs earned his BS in accounting from the University of Maryland, is a certified public accountant (CPA), and holds an MBA from Loyola. He has taught Investment Banking and other graduate courses in the MBA programs at both Johns Hopkins University and Georgetown University.

For over 10 years, he served as a judge for both the Washington, DC and New York City Ernst & Young Entrepreneur of The Year Award Programs. Jacobs has also presided as a judge for the MBA competition at the University of Maryland.

In addition to past service on the Boards of NASDAQ Global Funds, Inc., NASDAQ Financial Products Services Ireland Limited, The NASDAQ Insurance Agency LLC, and the Board of Advisors of CourtExpress, Inc., he currently serves on the Editorial Board of the Journal of Indexes.

Current as of: 03/13


Holdings: 117,224 shares     View Transactions
 Jochumsen NASDAQ OMX Group, Inc.

Hans-Ole Jochumsen is the President of Global Trading & Market Services for The NASDAQ OMX Group, Inc. (NASDAQ: NDAQ).

Global Market Services comprises all transactions, clearing and settlement services in US and Europe. These businesses cover cash and derivatives within Equities and the Fixed Income, Currency and Commodities area (FICC).

It comprises 6 exchanges in the US, and  8 exchanges, 7 growth markets, 1 interest rate derivatives trading venue, 4 central security depositories and 1 clearing house in Europe. It also comprises the global commodities business.

As President of Global Market Services, Jochumsen's responsibility is to lead the US and European markets to maintain and further develop the strong strategic position in the global cash and derivatives markets within equities and the FICC area.

Mr. Jochumsen previously oversaw NASDAQ OMX’s Transaction Services Nordics division, with responsibility for the Nordic and Baltic markets, developing a strong strategic position in the European equities markets.  Transaction Services Nordics is an integrated marketplace of eight independent Nordic and Baltic exchanges. These Nordic exchanges offer trading and clearing (for futures, options and OTC) of Nordic and Baltic securities shares, futures, options and fixed income products, all traded on highly efficient trading systems enabling easy cross border trading.

Prior to the merger between NASDAQ and OMX, Jochumsen served as President and member of the OMX Executive Team. Hans-Ole Jochumsen has played a key role in the strategic development of OMX and the business area Information Services & New Markets in particular.

Jochumsen’s responsibility encompassed three areas, enabling growth in Information Services, integrating and developing the Baltic markets as well as cultivating OMX business in high potential Central European capital markets. Areas of responsibility also included Broker Services, OMX's offering of back office and custody solutions to Nordic clients.

Previously, Jochumsen served as President and CEO of Copenhagen Stock Exchange and FUTOP Clearingcentralen Ltd. He was at the helm of the Copenhagen Stock Exchange during its exceptional turnaround from 1998-2006. He also spearheaded the merger of the Copenhagen and Stockholm exchanges.

From 1990 to 1998 Jochumsen served as member of the Management Board of the following Danish financial institutions; BRFkredit, GiroBank and BG Bank. The latter being the third largest bank in Denmark.

During 2010-2013, Jochumsen served as the Chairman of FESE, Federation of European Securities Exchanges.


Brad Peterson

Brad Peterson is Executive Vice President and Chief Information Officer (CIO) for The NASDAQ OMX Group, Inc. He previously served as CIO and EVP for Schwab Technology Services (STS), responsible for Schwab’s technology innovation, development, infrastructure and operations.

In addition to leading Schwab’s technology enterprise, Peterson also had responsibility for Project Services (which covered the planning, coordination and financial management of all company-wide projects) and Offshore Services (leveraging third-party offshore capabilities whenever appropriate).

Peterson also served as CIO at eBay for five years. Prior to eBay, Peterson was the Managing Director and Chief Operating Officer (COO) at Epoch Securities after its merger with Goldman Sachs Group, Inc. He has also held senior executive positions at companies including Epoch Partners, Schwab, Pacific Bell Wireless and Pacific Telesis (now part of AT&T).

He earned his master's degree in management at MIT Sloan School of Management and a bachelor's degree in systems science and economics at the University of California, Los Angeles (UCLA).


Edward Knight The NASDAQ OMX Group, Inc.

Edward Knight is Executive Vice President and General Counsel of the NASDAQ OMX Group (NASDAQ: NDAQ), the world's largest exchange. Mr. Knight served as the Chief Legal Officer of the National Association of Securities Dealers (NASD, now FINRA) from June 1999 until becoming NASDAQ General Counsel in 2001. In his role as General Counsel, Knight is responsible for providing legal counsel to senior management and for overseeing the quality of legal services across the global organization. He is also responsible for government relations, listing qualifications, market regulation and the office of economic research. In addition, Knight oversees the Office of Corporate Secretary, which is responsible for all of NASDAQ's corporate governance activities and maintaining the Corporate Record. Mr. Knight is the Chief Regulatory Officer of the NASDAQ Exchange.

Knight led NASDAQ's efforts to operate as a national securities exchange. In January 2006, the Securities and Exchange Commission (SEC) unanimously approved NASDAQ's application for exchange status. This action allowed NASDAQ to complete its separation from NASD and realize its vision as the premier market in the world served by the gold standard in regulators, the NASD.

Prior to joining the NASD, Knight served as General Counsel of the U.S. Department of the Treasury from September 1994 to June 1999, where he was the Department's longest-serving General Counsel since the position was created in 1934. Upon his departure, Knight received the Alexander Hamilton Award from Treasury Secretary Robert Rubin. This is the Department's highest award. He also received the Honor Award from the Secret Service. Before being named General Counsel, Knight served as Executive Secretary and Senior Advisor to Secretary of the Treasury Lloyd Bentsen.

Knight's accomplishments at the Treasury Department include his critical involvement in the United States' provision of bilateral assistance to the Government of Mexico in 1995 and to the Government of Brazil in the fall of 1998. He served on the commission that restructured the Internal Revenue Service in 1996 and led the legal team that advised Treasury Secretary Rubin in 1995 and 1996 on the debt limit crisis.

Prior to his tenure at the Treasury, Knight was a partner with the law firm of Akin, Gump, Strauss, Hauer and Feld in its Washington, D.C., office. A Texas native, Knight received his B.A., with honors, in Latin American Studies from the University of Texas at Austin and his J.D. from the University of Texas School of Law. He sits on the law school's Alumni Board of Directors. Knight is a member of the District of Columbia, Texas and Supreme Court Bars. He is a member of the Council on Foreign Relations. Mr. Knight served as a member of the Obama Transition Team at the U.S. Treasury Department in 2008-2009.

Current as of: 03/10


Holdings: 92,098 shares     View Transactions

Thomas A. Wittman is Executive Vice President of NASDAQ OMX, President of U.S. legal exchanges, and Global Head of Equities, a division of NASDAQ OMX Global Trading & Market Services. Based in Philadelphia, Mr. Wittman is responsible for overseeing the company’s U.S. equities business, including cash and derivatives as well as its European equities initiatives.

Most recently, Mr. Wittman was Senior Vice President of NASDAQ OMX, President of NASDAQ OMX PHLX, and Head of U.S. Equities and Derivatives. Through the acquisition of NASDAQ OMX PHLX, formerly The Philadelphia Stock Exchange, Mr. Wittman joined the NASDAQ OMX Group in 2008. He was formerly Senior Vice President of The Philadelphia Stock Exchange (PHLX) responsible for managing the development of software and services for the exchange. In this capacity, Mr. Wittman supported the Electronic Equity Trading business, Equity Options business, PBOT futures business and the surveillance and back office systems that support those businesses.

Mr. Wittman was also responsible for leading a team in transitioning the PHLX options business from an open outcry, floor-based specialist system to an advanced electronic/hybrid system. With this advancement, the exchange was able to attract new liquidity and order flow providers resulting in increased options market share.



  Audit Executive Nominating & Governance Committee Management Compensation
Charlene T. Begley Committee Member      
Steven D. Black     Committee Member Committee Member
Börje E. Ekholm   Committee Member Committee Chair Committee Member
Robert Greifeld   Committee Member    
Glenn H. Hutchins   Committee Chair   Committee Member
Essa Kazim   Committee Member    
John D. Markese Committee Chair Committee Member Committee Member  
Ellyn A. McColgan Committee Member   Committee Member  
Thomas F. O'Neill        
Michael R. Splinter   Committee Member   Committee Member
Lars R. Wedenborn Committee Member      

Chair = Chair Committee Member = Member

The Board of Directors of The NASDAQ OMX Group, Inc. (the "Company") sets high standards for the Company's employees, officers and directors. Implicit in this philosophy is the importance of sound corporate governance. It is the duty of the Board of Directors to serve as a prudent fiduciary for shareholders and to oversee the management of the Company's business. To fulfill its responsibilities and to discharge its duty, the Board of Directors follows the procedures and standards that are set forth in these guidelines. These guidelines are subject to modification from time to time as the Board of Directors deems appropriate in the best interests of the Company or as required by applicable laws and regulations.


Mission Statement

As the world's largest exchange company, NASDAQ OMX is driven to delivering multi-asset, multi-service capability across every major continent. NASDAQ OMX provides forward-thinking services and technology that have the power to drive capital formation, transform business and fuel economic growth around the world.


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