Eric Swanson
General Counsel
BATS
Eric is General Counsel of BATS, a rapidly growing ECN based out of Kansas City, MO, that has been granted approval by the SEC to operate a national securities exchange. Prior to joining BATS in 2008, Eric served as Chief Counsel for regulatory strategy at Ameriprise Financial, Inc., a Fortune 500 broker-dealer and asset manager headquartered in Minneapolis, MN.
Eric has a significant history with the SEC, having served at the Commission from 1996-2006 and rising to the title of Assistant Director in the Office of Compliance Inspections and Examinations' market oversight unit in Washington, DC. His duties included supervising the Commission's inspection program responsible for regulatory oversight of trading on the securities exchanges and ECNs. Eric also served as a law clerk to the Honorable Donald S. Russell of the United States Court of Appeals for the Fourth Circuit. Eric received his JD cum laude from the Hamline University School of Law in 1993, and a BA in Economics from the University of Minnesota in 1990. Eric and his family reside in New York City.