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Paul D. Adcock

https://www.linkedin.com/in/pauladcock/

New York, New York 10017 312-***-****

adjkhg@r.postjobfree.com

Executive Vice President / Chief Officer

20+ years’ experience leading exchange innovation for high-growth organizations Repeated success guiding sizeable, cross-functional Business, Operations, Project Management, and Systems teams in the design, development, approval, and implementation of leading-edge business solutions. Talent for launching processes and initiatives that generate record-setting savings and revenues. Expert presenter, negotiator, and businessperson; able to forge solid and lasting relationships with partners and build consensus across multiple organizational levels. Highlights of Expertise

• Strategic Business Planning

• Team Building & Leadership

• Equities, Options, & Futures

• Cost Reduction & Avoidance

• Recruiting & Staffing

Initiatives

• Asset Allocation

• Volatility Trading

• Trading Software

• Regulatory Compliance

• Contracts &

Negotiation

• Budget Administration

• Process Implementation

• New Product Development

• Staff Development Programs

• Risk & Operations

Management

Career Experience

INTRINSIC VALUE EXCHANGE, https://www.the-ive.com/ 06/2018 to Present Online stock exchange that creates innovative financial products and employs technologies designed to value, price, and monetize natural, human, and social assets (labeled Intrinsic Assets). Director, Exchange Partnership and Trading

Provide access to markets, market structure, and technology. Execute operational strategies to deliver products and services. Improve processes and procedures to increase profits and organizational efficiency. Direct, coordinate and evaluate operational teams and product implementation. Identify growth and market opportunities.

Serve as primary Acquisitions Officer, exploring and evaluating potential partnerships for compatibility and feasibility.

Oversee and support the formation of Broker-Dealers. NYSE GROUP / INTERCONTINENTAL EXCHANGE (ICE), New York, New York 03/2006 to 04/2018 Administered executive-level leadership of Exchange: directed new member onboarding; primary POC for sign-off of SEC submission rules; ensured adherence to FINRA, SEC, and SCI policies and regulations; and provided real-time trade support for equity, options, and ETP asset classes. Vice President / Head of Trading & Operations – Equities, Options, ETPs (2013 – 2018) Executive Vice President, NYSE Euronext / Head of Trading & Operations (2006 – 2013) Senior Vice President, NYSE Group / Head of Trading & Operations (03/2006 – 10/2006) Coordinated and controlled operations for Business, Systems, and Project Management groups to ensure creation and application of comprehensive implementation and deployment plans. Established, designed, executed, and directed implementation of technological products and regulatory processes, Paul D. Adcock Page 2

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in compliance with IT and Regulation divisions, including creation of new Exchange, operational enhancements, and new user features. Collaborated cross-functionally with Business, Regulatory, and Compliance teams to assess, diagnose, and prioritize fixes for production issues; coordinated necessary teams to schedule mitigation; reviewed documentation to ensure implementation of feature changes and activation only after approvals.

Created NYSE’s first SCI Program and selected as the Lead Regulation Systems Compliance and Integrity (Reg SCI) Personnel (11/2014-03/2018), determining and designating SCI System Compliance events throughout NYSE, NYSE American, NYSE Arca, The Trade Reporting Facility

(TRF), and Global OTC.

Directed annual cost-cutting initiatives, producing savings of up to $10M per year.

Led and oversaw technological transformations, including the transition for all trading venues to the Arca trading software.

Served on the Senior Management Team that oversaw and prioritized platform technology releases and rollouts.

ARCHIPELAGO SECURITIES & TRADING SERVICES, INC., Chicago, Illinois 1997 to 04/2018 An SEC-approved sole-purpose broker dealer that routes orders to competing market centers on behalf of the NYSE Group of Exchanges, revolutionizing trading of equities and options. Chief Executive Officer (CEO) (2006 – 2018)

Head of Trading (1997 – 2006)

Directed and safeguarded Arca’s product strategy, market structure, order types, and order interaction, leading deployment across markets. Oversaw and supported SEC-approval initiatives, strategic acquisitions, conversion to a public company, and NYSE integration.

Archipelago was one of the first ECNs to earn Securities and Exchange Commission (SEC) approval, and the first ever open, all-electronic stock exchange in the United States.

Supported and assured the 2006 merger and integration with the New York Stock Exchange.

Designed and implemented a new order type that created $30M+ in annual revenue.

Integral and one of the original founding members that created the Archipelago ECN (aka Archipelago Exchange, ArcaEx, or NYSE Arca) in 1997. Additional Experience

Senior Vice President / Cofounder Terra Nova Securities & Trading LLC, Chicago, Illinois Vice President / Futures & Securities Broker Geldermann Securities, Chicago, Illinois Vice President / Futures & Securities Broker Prudential Securities, Chicago, Illinois Vice President / Futures & Securities Broker Paine Webber, Chicago, Illinois Education & Credentials

Bachelor of Science in Agriculture Business, Economics, & Finance Southern Illinois University, Carbondale, Illinois Global Executive Leadership Program

Paul D. Adcock Page 3

INSEAD, Fontainebleau, France

Security Licenses

• Series 24 – General Securities Principal Qualification Exam (GP)

• Series 3 – National Commodities Futures

• Series 55 – Equity Trader

• Series 7 – General Securities Representative

• Series 63 – Uniform Securities Agent

Board Roles

• NYSE Joint Subsidiary Boards of Directors – 2016-2018

• ICE/NYSE Operations Governance Committee – 2016-2018

• BIDS Trading, Registered Broker-Operator of the Alternative Trading System (ATS) – 2014-2018

• Mercy Home for Boys and Girls Ambassador Board – 2002-Present Patents

• 8,195,557 – Routing of orders in equity options by means of a parameterized rules-based routing table

• 7,949,596 – Diverse options order types in an electronic guaranteed entitlement environment

• 7,937,315 – Portfolio execution and reporting

• 7,908,201 – Cross and post order

• 7,877,316 – Reprice-to-block order

• 7,873,561 – Method for maintaining an order on a selected market center with max price exemption…

• 7,873,544 – Anti-internalization order modifier

• 7,765,137 – Method and system for maintaining an order on a selected market center

• 200******** – Tracking liquidity order

• 200******** – Unpriced order auction and routing Security & Exchange Experience

Proficient knowledge in interactions with the SEC and other regulatory bodies in areas such as market structure, rules narrative, and enforcement action. August 24, 2015 Volatility March 31, 2015 Outage July 8, 2015 NYSE Halted Trading / Project S 2013 Arca Securities 2011 May 6, 2010 Flash Crash

Contact this candidate