Who We Are

As Executive Vice President managing the NYSE’s then $16 trillion Cash Equity Market, he spearheaded new technologies and tactical operating plans for both the trading floor and all-electronic Equity Market through sweeping architectural upgrades to the NYSE systems, including its electronic matching engine. He introduced the NYSE Hybrid Market in coordination with the Securities and Exchange Commission, paving the way for the NYSE to transition from an open outcry system to a 21st modern electronic market.

Lou was also a member of the National Stock Exchange (NSX) Board chairing the Regulatory Oversight Committee at NSX. He represented the NYSE on the DTCC Board for seven years and chaired the Board Ops & Tech Committee. He also represented the NYSE on the Securities Industry & Financial Markets Association (SIFMA) Operations and Technology Committee.

A named holder or co-holder of seven NYSE U.S. patents, he graduated from St. Francis College of Brooklyn, which awarded him an Honorary Doctorate of Humane Letters in 2015. He chaired the Advisory Board at his alma mater’s SFC Center of Entrepreneurship.

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In his role at Deloitte, he was responsible for leading the Capital Markets Industry Sector, building teams and innovating services.

Bob has comprehensive working knowledge of the traded markets, regulatory and compliance functions. He focuses on risk management, front lines businesses, second line compliance, market surveillance, trade management, brokerage operations, trading systems, digital control centers and trade reporting. At Deloitte, he has advised numerous exchanges and broker dealers on leading practices, process improvements, and leading uses of technology or decision support. A developer by trade, Bob has extensive experience in systems architecture, application design, data architecture, development methodologies, securities operations technology, building enterprise data repositories and warehousing, and enterprise reporting solutions.

Bob has led numerous industry wide transformation programs including the project office for Consolidated Audit Trail, to operationalize the CAT NMS Plan to comply with SEC Rule 613 as well T+2 Shortened Settlement Cycle, and most recently the move to T+1 Accelerated Settlement Cycle. Bob’s primary focus is to help organizations modernize regulated operations.

Bob spends a great deal of his time focused on helping SUNY Geneseo and is the Chairman of the Geneseo Foundation.

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Additionally, Dan supported a SEC-mandated third-party review of Barclays Capital Inc.; advising on regulatory matters for FMDQ OTC PLC. He was consultant to the primary Nigerian OTC market for fixed income, derivatives, currency and government bonds; and advising an outsourced cloud services provider on financial regulatory issues in emerging markets. He has also acted as an outside Consultant to large broker-dealers on market surveillance and supervisory procedures, and to securities exchanges including BATS, NYSE MKT, and the Nigerian Stock Exchange on market structure and rule development.

Dan was previously Vice-President and Head of the Office of General Counsel for NYSE Regulation, where he supervised rule development and interpretation during the NYSE’s transition from a primarily manual to a Reg NMS compliant market center; oversaw the Floor Member Continuing Education Program; and served as the NYSE’s Regulatory Services Manager, responsible for day- to-day oversight of NYSE member regulation functions that were conducted by FINRA.

Dan has also worked as a Prosecutor for the NYSE’s Division of Enforcement, and as a Litigator with Cadwalader, Wickersham & Taft and McDermott, Will & Emery. He has taught securities law at the Zicklin School of Business at Baruch College, City University of New York, and taught legal writing at New York Law School.

Dan holds undergraduate and law degrees from New York University.

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In that capacity, Jim was responsible for managing the regulatory and compliance functions of NSX, including surveillances of member trading on NSX and the exchange’s internal compliance functions. He also oversaw the filing of proposed rule changes with the Securities and Exchange Commission.

Before joining NSX, Jim spent 25 years at the NYSE, where he was the head of Compliance for NYSE Euronext’s U.S. exchanges, responsible for ensuring that the NYSE, NYSE American, and NYSE Arca complied with federal securities laws. Prior to that, he managed a group within the NYSE’s Market Surveillance Division that surveilled activity on the NYSE Trading Floor. Jim also led the Exchange’s Regulatory Quality Review group and was a Director in the Exchange’s Enforcement Division.

Jim holds a JD degree from Pace University School of Law, an MA degree in Communications from Fordham University, and a BA in Political Science from Iona University. He is an attorney admitted to practice in New York.

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His expertise includes more than two decades as a market maker and governor of the New York Stock Exchange (NYSE). While there, he successfully increased his firms’ profitability by identifying and developing new trading revenue opportunities while adapting to changing market conditions. Mr. Dolan executed strategic business decisions, including the acquisition of Susquehanna’s market making unit consisting of 300 issues. He was appointed as an Executive Floor Governor by the CEO of the NYSE and in this role served as the highest-ranking member of self-regulatory team. He has also served as an expert advisor on complex disciplinary matters to the Financial Industry Regulatory Authority (FINRA) and was also qualified as an arbitrator for FINRA’s industry-wide securities dispute resolution forum.

He previously served as a Trustee of the New Jersey Investment Council, which oversees investment policy governing the state’s $80 billion pension fund.

During his 25-year tenure as a NYSE member, most recently as Partner and CEO of Kellogg Capital Markets, he served as an Executive Floor Governor and has had senior management roles with other prominent NYSE member firms, including Van der Moolen Specialists, U.S.A. and Lyden, Dolan LLC.

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