SMEETA RAMARATHNAM

Smeeta Ramarathnam currently serves as the chief of staff to the Honorable Luis A. Aguilar, one of five Commissioners of the United States Securities and Exchange Commission. She has held this post since July 2008. In her current role, Smeeta plays a key role in setting policy priorities for the Office of Commissioner Aguilar. She reviews, comments and negotiates on complicated, unprecedented, legal and policy issues that arise in SEC rulemakings, enforcement actions, adjudications, international papers, and interpretative guidance. She has served as Commissioner Aguilar’s primary speechwriter and has written speeches on all aspects of securities laws including investment management, investment adviser, broker-dealer, corporate finance and corporate governance, as well as trading and markets issues. A speaker in her own right, Smeeta has spoken to audiences composed of hundreds of participants on a range of securities law topics including financial regulatory reform, corporate governance, and hedge funds.

Prior to her appointment to lead Commissioner Aguilar’s staff, Smeeta has served in a number of other capacities at the Commission, including as counsel to former Commissioner Roel Campos, and as senior counsel in the Legal Policy Group of the Office of the General Counsel and in the Division of Investment Management. Prior to joining the Commission, Smeeta worked for several years in an investment management practice of a large international law firm. She specialized in asset management and securities litigation issues pertaining to mutual funds, hedge funds, insurance companies, investment advisers, broker-dealers, and public companies. Smeeta also served as a federal law clerk for the Honorable Deborah Chasanow, now Chief Judge of the United States District Court for the District of Maryland. She earned her juris doctorate from Stanford Law School and her undergraduate degree with honors from Stanford University. Smeeta also received the Dinkelspiel Award at commencement as of one of two students from a class of 1,600 to be honored for “outstanding community service, leadership, and academic achievement.” Smeeta also was selected for and completed the Coro Fellowship Program, a one- year national public affairs fellowship. From 2006-2008, Smeeta served as an adjunct faculty member at Stanford in Washington, the Washington, D.C. campus of Stanford University, where she created and taught a class to Stanford undergraduates focused on federal public policymaking. She is also a board member of the Stanford in Washington program. Smeeta currently serves as a board member for the Asian Pacific American Bar Association of the District of Columbia (APABA-DC). She is Co-Chair of ABAPA-DC’s Government Attorneys Forum. She also served a two-year term as a Board member of the Asian Pacific Bar Association’s Educational Fund including a year as vice-president.

SMEETA RAMARATHNAM (202) 321-5221

smeeta22@yahoo.com

EXPERIENCE

UNITED STATES SECURITIES AND EXCHANGE COMMISSION July 2005 to Present

WASHINGTON, DC

CHIEF OF STAFF, OFFICE OF COMMISSIONER LUIS AGUILAR (July 2008 to Present)

Substantive Legal and Policy Responsibilities – Sets policy priorities for the Office of Commissioner Aguilar. Review, comment and negotiate on complicated, unprecedented, legal and policy issues that arise in rulemakings, enforcement actions, adjudications, international papers, and interpretative guidance. Write speeches on all aspects of securities laws including investment management, investment adviser, broker-dealer, corporate finance and corporate governance, as well as trading and markets issues. Directly handles Commissioner Aguilar’s investment management portfolio which entails conducting primary review, recognizing legal and policy issues, and negotiating on all investment management rulemakings, enforcement cases, interpretative matters, international papers and agreements and related policy issues. Research and brief numerous complicated legal and policy questions of first impression. Manage a team of counsels and lead strategy on a wide spectrum of other securities issues (accounting, trading and markets, corporate finance, compliance, international securities law issues, enforcement, adjudication, etc.). Staff Commissioner Aguilar and participate in the bi-annual international meetings of the Coalition of the Securities Regulators of the Americas (COSRA). Served as a Steering Committee Member for the team that produced the SEC’s current Strategic Plan.

Communication and Speaking Responsibilities – Serve as Commissioner Aguilar’s primary speechwriter, as well as engage in my own speaking as his representative. Have spoken in front of conferences of up to 600 people. Sole contact for all press communication from the Office of Commissioner Aguilar and regularly speak to reporters from major publications and trade journals. Prepare and staff Commissioner Aguilar during press interviews.

Supervisory and Management Responsibilities – Lead and manage the team in Commissioner Aguilar’s office. Hire, train, and manage confidential assistant as well as a team of counsels from a substantive and administrative point of view. Assign, prioritize, and manage immense workflow within the office. Participate in all performance evaluations of the staff as well as conduct day-to-day training and feedback. Serve as the primary Ethics counsel for Commissioner Aguilar and the office.

Congressional Liaison and Legislative Responsibilities – Negotiate and comment on proposed legislation particularly during the Dodd-Frank legislative process. Regularly review, comment, and negotiate on testimony that must be approved by the Commission. Prepare and brief Commissioner Aguilar as well as participate in meetings with Congressional Representatives and Senators.

Meeting Responsibilities – Meet regularly with industry participants, trade associations, exchanges, regulated entities, corporate directors and officers, academics, non-profits and investors. Meet and serve as point of contact for Regional Directors and other senior officers of the SEC, as well as participate in Commissioner Aguilar’s speaking engagements and meetings in the regional offices.

COUNSEL TO COMMISSIONER ROEL CAMPOS

SENIOR COUNSEL, GENERAL COUNSEL’S OFFICE, OFFICE OF LEGAL POLICY

SENIOR COUNSEL, DIVISION OF INVESTMENT MANAGEMENT, SPECIAL PROJECTS OFFICE

FOLEY AND LARDNER October 2001 to July 2005

WASHINGTON, DC

Practiced primarily as a corporate securities associate in the investment company area. Researched investment company and investment adviser regulatory questions, as well as negotiated agreements. Participated also in enforcement representations involving revenue recognition, fraud claims, market timing, late trading, and investment company securities litigation.

SMEETA RAMARATHNAM Page 2

EXPERIENCE (CONT.)

UNITED DISTRICT COURT, DISTRICT OF MARYLAND August 2000 to August 2001

GREENBELT, MD

JUDICIAL CLERK FOR THE HONORABLE DEBORAH K. CHASANOW

CORO FELLOWSHIP September 1996 to June 1997

ST. LOUIS, MO One year national public affairs fellowship that included seven project-oriented placements in fields including government, politics, education, media, labor, and business.

TEACHING

STANFORD IN WASHINGTON ADJUNCT FACULTY MEMBER September 2006 to December 2007

WASHINGTON, DC

ADJUNCT PROFESSOR Taught a law and policy seminar to Stanford undergraduates. Designed the course curriculum to expose students to the work of agencies and government attorneys.

EDUCATION STANFORD LAW SCHOOL

JURIS DOCTORATE May 2000

Teaching Assistant; Research Assistant; Dean’s Selection Committee; Education Clinic Attorney

STANFORD UNIVERSITY BACHELOR OF ARTS IN POLITICAL SCIENCE June 1996

Awarded Academic Distinction

Dinkelspiel Award Winner: One of two graduates from the senior class of 1,600 honored at

commencement for “outstanding community service, leadership, and academic achievement.”

PROFESSIONAL AFFILIATIONS

STANFORD IN WASHINGTON

BOARD MEMBER January 2001 to Present

ASIAN PACIFIC AMERICAN BAR ASSOCIATION

CO-CHAIR, DC GOVERNMENT ATTORNEY FORUM August 2011 to Present

ASIAN PACIFIC AMERICAN BAR ASSOCIATION EDUCATIONAL FUND

BOARD MEMBER June 2003 to June 2004

VICE PRESIDENT June 2002 to June 2003

BAR ADMISSION

STATE BAR OF CALIFORNIA

SMEETA RAMARATHNAM Speaking Engagements

“Reforming the Financial System – Causes of the Financial Crisis and Corporate Governance Developments.” Panelist, Opening Plenary, SRI in the Rockies Conference. (October 25, 2009, Tucson, AZ)

“Federal and State Regulatory Roundup – Ramifications of Dodd-Frank Legislation for Private Funds and Investment Advisers.” Panelist, Practising Law Institute, Institutional Investor Forum 2010. (January 27, 2010, New York)

“America’s Financial Future? – Causes of the Financial Crisis and Potential Remedies.” Panelist, Panel composed of Senior Staff from FDIC, FED, and SEC, Leadership Atlanta 2010. (April 21, 2010, Washington, DC)

“Composition of Corporate Boards and Latest Developments in SEC Regulation.” Speaker, Boardroom Bound Boardology Pipeline Seminar. (August 12-13, 2010, New York, NY)

“Leveraging Board Diversity to Improve Corporate Governance.” Speaker, Opening Plenary Session, Minority Corporate Counsel Association 11th Annual Creating Pathways to Diversity Conference. (November 10, 2010, New York, NY)

“Exploring Alternatives to the Law Firm Practice: Opportunities in Government and Non-Traditional Settings.” Panelist, Leadership Institute for Women of Color Attorneys 6th Annual Conference. (April 1, 2011, Washington, DC)

Lecturer, Florida International University Law School Securities Enforcement Class. (August 18, 2011, Miami, FL)

Lecturer, Howard University School of Law, Diversity and Global Capital Markets Course. (September 1, 2011, Washington, DC)

“Best Practices to Facilitate Being Hired or Promoted Within the Federal Government.” Panel Moderator, APABA-DC Government Attorneys Forum (hosted by the SEC’s Asian Pacific American Employees Committee. (November 30, 2011, Washington, DC)

“Why Seniors Are More Vulnerable Now As Targets for Financial Abuse.” Speaker, The American Retirement Initiative Spring Retirement Summit. (March 15, 2012, Washington, DC)

“Life Outside of Large Law Firms and the Meaning of Public Service as a Government Servant.” Panelist, Leadership Institute for Women of Color Attorneys 7th Annual Conference. (March 22, 2012, Atlanta, GA)

“The Economic Impact of Supplier Diversity and the Path Ahead.” Panelist, The Greenlining Institute Conference on Supplier Diversity: California’s Economic Engine (in partnership with the Public Policy Institute of California). (June 8, 2012, San Francisco, CA)

“Dodd-Frank Rulemaking and Current Issues Facing the SEC.” Scheduled Panelist, National Association of Public Pension Attorneys 2012 Legal Education Conference. (June 27, 2012, Philadelphia, PA)