DIALOGUE WITH THE REGULATORS PANEL DISCUSSION

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John Ayanian, Moderator
Partner
Morgan, Lewis & Bockius LLP

Evan Charkes
Managing Director and Deputy General Counsel
Citigroup Global Wealth Management

John Curtis
Managing Director and General Counsel
Global Investment Research
The Goldman Sachs Group, Inc.

Philip Shaikun
Associate General Counsel
NASD, Regulatory Policy and
Oversight

William Jannace
Managing Director
Rule and Interpretive Standards
NYSE Regulation, Inc.

IMPLEMENTING RESEARCH ANALYST SUPERVISION RULES

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Mark A. Egert
Managing Director and Chief Compliance Officer
Cowen and Company, LLC

Robert De Leon
VP, Counsel & Assistant Secretary
Alliance Bernstein

T.R. Lazo
Morgan, Lewis & Bockius

Ray Abbott
First Vice President & General Counsel
Merrill Lynch