Ronald H. Filler

Biography

Ronald H. Filler (Ron) is a distinguished financial services lawyer, educator, and industry leader with more than 45 years' experience in the global futures and securities industries. He brings Tölt Strategies' clients a perspective shaped by senior business and legal leadership at a major investment bank, decades of service on exchange, clearinghouse, and self-regulatory boards, and a long academic career teaching the law that governs these markets.

Ron has extensive firsthand experience in market governance. He is a Public Director on the Board of Directors of the National Futures Association (NFA) and a past member of its Executive Committee, and he has served on several NFA committees. He is also a Public Representative on the Board of Directors of Abaxx Clearing, a Singapore-based clearinghouse, where he chairs the Regulatory Oversight Conflicts Committee. He has served on the Executive Committee of the Futures Industry Association (FIA) Law & Compliance Division for more than 40 years, and in March 2022 he was inducted into the FIA Hall of Fame.

Ron previously chaired the Commodity Futures Trading Commission's (CFTC) Global Markets Advisory Committee. He served as a Public Director and member of the Regulatory Oversight Committee of NYSE Liffe US, before its acquisition by Intercontinental Exchange (ICE), and as a Public Director of SwapEx, a swap execution facility owned by State Street, where he chaired the Nominating Committee and the Regulatory Oversight Committee. He has also been a member of several U.S. futures exchanges.

Ron is a Professor Emeritus at New York Law School (NYLS), where he joined the faculty in 2008 as a Professor of Law and a Director of the Financial Services Law Institute. He became Professor Emeritus in January 2020, and in March 2021 he was named Chair of the newly named Ronald H. Filler Institute on Financial Services Law. Over more than 45 years, he has taught financial services courses at four U.S. law schools, including Securities Regulation, Derivatives Regulation, and Regulation of Broker-Dealers and Futures Commission Merchants.

Before joining NYLS, Ron was a Managing Director in the Capital Markets Prime Services Division at Lehman Brothers, Inc., where he was responsible for business, legal, and regulatory matters involving the global futures markets. Before joining Lehman Brothers in 1993, he was a Partner and Member of the Executive Committee at Vedder Price Kaufman & Kammholz, a large Chicago law firm, and earlier worked at other law firms and brokerage firms. He has also served as a Senior Consultant to Allen & Overy, a major international law firm.

Ron is a co-author of a law treatise on the regulation of financial derivative instruments (swaps, options, and futures) and has written extensively on issues facing the financial services, derivatives, and securities industries. He has spoken at more than 300 business and law programs.