STEVEN D. BLACK was Vice Chairman of JPMorgan Chase, reporting to Jamie Dimon, Chairman and CEO. He was a member of JPMorgan Chase's Operating Committee and Executive Committee. He became Vice Chairman in January 2010 after serving as Executive Chairman of the Investment Bank since September 2009. He was co-CEO of the Investment Bank from 2004-2009. Prior to his role as co-CEO of the Investment Bank, he was deputy co-CEO since 2003. Before that, he was head of the Global Equities business since joining the firm in the spring of 2000, following a career with Citigroup and its predecessor firms. During the five years Mr. Black served as co-CEO, J.P. Morgan's Investment Bank achieved #1 rankings in the top global capital raising league tables: debt, equity & equity-related; debt; equity; and loans, as well as #1 in global investment banking fees. In 2008, J.P. Morgan won IFR's "Bank of the Year" and Risk magazine's "Derivatives House of the Year." The Investment Bank also finished first in the Greenwich Quality Leaders 2008 survey of clients. Mr. Black began his career at Smith Barney in 1974 as a trainee. He worked as a trader and managed trading businesses for a number of years before being named head of the Tax Exempt Securities Group in 1988. In 1991, he became head of Global Capital Markets and in 1993, was elected Vice Chairman. In 1996, he was promoted to Chief Operating Officer of the firm. After the Smith Barney merger with Salomon Brothers, he was named Vice Chairman, responsible for Global Equities, Tax Exempt Securities and Securities Lending. He continued to hold these responsibilities at the time of the Citigroup merger with Salomon Smith Barney in 1998. He was a member of the Salomon Smith Barney Executive Committee and the Travelers and Citigroup Planning Committee. Mr. Black graduated from Duke University with a B.A. in political science.
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, Husqvarna AB, Lindorff Group AB, Scania AB, Telefonaktiebolaget LM Ericsson and KTH Royal Institute of Technology.
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.
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.
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
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.
|Holdings: 121,751 shares|
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: 246,771 shares|
|Holdings: 124,193 shares|
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).
|Holdings: 149,644 shares|
|Audit||Executive||Finance||Nominating & Governance Committee||Management Compensation|
|Steven D. Black|
|Börje E. Ekholm|
|Glenn H. Hutchins|
|John D. Markese|
|Ellyn A. McColgan|
|Thomas F. O'Neill|
|James S. Riepe|
|Michael R. Splinter|
|Lars R. Wedenborn|
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.
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.
As a public company, NASDAQ OMX encourages its employees, customers and the public to notify us with complaints or concerns about suspected violations regarding NASDAQ OMX's accounting practices, internal controls, financial statements, corporate policies or applicable governmental laws, rules and regulations.
To report a suspected violation contact:
The NASDAQ OMX Group, Inc.
Attn: NASDAQ OMX Office of General Counsel
9600 Blackwell Road
Rockville, MD 20850
Ph: (301) 978-8400
To communicate with the Board of Directors, any individual Director or any group or Committee of Directors, correspondence should be addressed to the Board of Directors or any such individual Director or group or Committee of Directors by either name or title. Please send a note/letter to:
The NASDAQ OMX Group, Inc.
One Liberty Plaza, 50th Floor
New York, NY 10006
Attention: Corporate Secretary
All communications will be opened by the Corporate Secretary for the sole purpose of determining whether the contents represent a message to NASDAQ OMX's Board of Directors. The Corporate Secretary will forward copies of all correspondence that, in the opinion of the Corporate Secretary, deals with the functions of the Board of Directors or its committees or that he or she otherwise determines requires the attention of any member, group or committee of the Board of Directors.
The Corporate Secretary will not forward or respond to junk mail, job inquiries, business solicitations, complaints by users or customers with respect to ordinary course of business customer service, offensive or otherwise inappropriate materials.