Meet A. Brad Busscher, Chief Administrative Officer, General Counsel and Corporate Secretary, InspereX LLC . An individual member of the FSDA.

We are speaking today with Brad Busscher, please tell us a little bit about yourself.

I am the Chief Administrative Officer and General Counsel of InspereX, which is primarily engaged in institutional sales and trading of agencies, CDs, corporates and mortgages, and the wholesale distribution of new issue, retail financial instruments including Internotes®, CDs, and structured notes and CDs. I'm a member of InspereX’s Executive and Management Committees and serve as Corporate Secretary to the InspereX Holdings Board.

Prior to joining InspereX, I was Executive Vice President, General Counsel and Corporate Secretary of Mesirow Financial, held senior level roles at Van Kampen/Morgan Stanley and EVEREN Securities, was in private practice at a law firm and served as an Enforcement Branch Chief with the U.S. Securities and Exchange Commission.

I obtained my B.A. from Cornell University, J.D. from the University of Miami and MBA in finance and accounting from the University of Chicago Booth Graduate School of Business. I presently serve on the FINRA Fixed Income Committee and am a frequent speaker on regulatory and compliance issues. I've written a chapter for a securities compliance treatise Modern Compliance, published by Wolters Kluwer, entitled “Corporate Transactions: The Role of Compliance.”

About InspereX LLC

InspereX LLC (“InspereX”) is transforming how fixed income securities and marketlinked products are accessed, evaluated, and traded. Home to the pioneering BondNav® platform – one of the first cloud-native bond aggregation platforms – InspereX provides financial advisors, institutional investors, issuers, and risk managers deep access to fixed income market data across asset classes, as well as industry-leading origination, distribution, and education in market-linked products. Focused on delivering true price transparency, liquidity, execution targeting price improvement, and the information advantage gained through data aggregation, InspereX inspires greater confidence through the power of technology.

The firm is a leading underwriter and distributor of securities to more than 2,000 brokerdealers, institutions, asset managers, RIAs, and banks. InspereX represents more than 400 issuing entities and has underwritten more than $670 billion in securities. The firm has seven trading desks and more than 200 employees with principal offices in Delray Beach, San Francisco, Chicago, and New York City.

Why is it important for InspereX to be a member of the FSDA?

As we have grown our business substantially in South Florida, being a member of the FSDA will allow us to remain abreast of legislative initiatives in the State. It will also allow for excellent networking opportunities to discuss issues and concerns with like-minded and similar financial services firms.

InspereX’s Charitable Organizations and Foundations

I know that the employees at InspereX are incredibly involved locally in the Delray Beach area. InspereX is very active in the community and on a national basis. We feel strongly about giving back and we have a number of employees that have started charitable organizations and foundations. We are extraordinarily pleased to support those organizations and foundations. Here are a few of the charitable organizations and foundations that we support:

• EBC (“Every Boob Counts”) Foundation was created to spread the message that early detection saves lives. The Foundation is dedicated to all women that have or who are battling breast cancer.
• Chiera Family Foundation holds a dinner/ auction and golf tournament each spring to help kids that are battling cancer.
• Nick’s Camp is a week of summer camp for kids with cancer.
• Children’s Tumor Foundation medical foundation dedicated to improving the health and well-being of individuals and families affected by the neurofibromatosis.
• Federated Challenge works with Big Brothers Big Sisters the nation’s largest donor and volunteer mentoring network.

Brad, thanks for taking time to speak with us today.