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SIFMA would like to thank the following sponsors for
supporting the Proxy Processing Symposium: |
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Continental Breakfast and Lanyards provided by: Broadridge Financial Solutions, Inc. Morning General Session provided by: Swingvote, Inc. Wall Street Journals compliments of: Dow Jones Tote Bags compliments of: The Davidsohn Group Media Partners: Compliance Reporter and Operations Management |
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SIFMA has been certified by the New York State Continuing Legal Education Board as an Accredited Provider of continuing legal education in the state of New York. Parts of this program have been approved for CLE credits. Fee reduction may be available for qualified registrants. |
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TUESDAY, OCTOber 16, 2007 |
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8:00 a.m. – 8:30 a.m. Registration and Continental Breakfast Provided by:
Broadridge Financial Solutions, Inc. |
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8:30 a.m. – 8:45 a.m. Welcome and Opening Remarks |
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Donald D. Kittell Chief Financial Officer Securities Industry and Financial Markets Association |
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8:45 a.m. – 9:05 a.m. Keynote Speaker |
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Erik R. Sirri Division of Market Regulation U. S. Securities & Exchange Commission |
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Mr. Sirri will open the Symposium and set the stage for the day by updating participants on the latest activities and information from the Commission. Topics to be discussed include Rule 452, allocations, transparency, reconciliation, and notice and access. |
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9:05 a.m. – 9:55 a.m. NYSE Proxy Working Group Panel |
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Moderator: |
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Stephen Walsh Vice President NYSE Euronext |
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Panel: |
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David J. Berger Member Wilson Sonsini Goodrich & Rosati |
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Noland Cheng Managing Director, Global Wealth Management Operations Morgan Stanley |
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Stephen P. Norman Secretary & Corporate Governance Officer American Express Company |
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This session will provide an overview and brief history of the NYSE Proxy Group activities to date. This will include a discussion of Rule 452 and the recent addendum to previously proposed amendments. As part of this, both the broker/dealer and issuer point of view will be represented. |
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9:55 a.m. – 10:40 a.m. Shareholder Communications |
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Moderator: |
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Beverly O’Toole Vice President and Associate General Counsel Goldman, Sachs & Co. |
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Panel: |
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Elizabeth M. Murphy Chief – Office of Rulemaking, Division of Corporation Finance U. S. Securities & Exchange Commission |
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Robert Schifellite President, Investor Communication Solutions Broadridge Financial Solutions, Inc. |
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Daniel J. Ross Divisional Vice President/Associate Counsel Coach, Inc. |
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Philip A. Lanz, Jr. Senior Managing Director Bear, Stearns & Co., Inc. |
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This panel will review the proposed amendments to the current notification and access rules and the industry comments that have been put forth. As part of this session, panelists from across the various industry segments will share their unique perspectives on the impact of these potential changes. |
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10:40 a.m. – 11:00 a.m. Networking Break |
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11:00 a.m. – 11:45 a.m. Proportional and Directed Voting |
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Moderator: |
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Donald D. Kittell Chief Financial Officer Securities Industry and Financial Markets Association |
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Panel: |
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Kevin J. Moynihan Managing Director, Assistant General Counsel Merrill Lynch, Pierce, Fenner & Smith Inc. |
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Stephen P. Norman Secretary & Corporate Governance Officer American Express Company |
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Anne O. Faulk Chief Executive Officer Swingvote, LLC |
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Lyell Dampeer President, Investor Communication Solutions, U. S. Broadridge Financial Solutions, Inc. |
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This panel of industry experts will debate the issues surrounding proportional and directed voting. |
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11:45 a.m. – 12:30 p.m. Voting Issues (Including Overvoting/Empty Voting) |
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Henry T. C. Hu (a talk on “Empty Voting and Hidden
(Morphable) Ownership”) Allan Shivers Chair in the Law of Banking and Finance University of Texas at Austin – School of Law |
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Anand K. Ramtahal Vice President FINRA |
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Irving J. Klubeck Managing Director Pershing LLC |
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Prof. Hu will set the stage for the panel’s discussion by presenting opening remarks on empty voting and hidden ownership. Mr. Klubeck will offer additional comment and provide a “business side” broker/dealer perspective on the many issues surrounding voting. Mr. Ramtahal will round out the session from a regulatory view – touching on the different proposals currently before the NYSE, suppression of accounts, recent exam findings and other topics of the day. |
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12:30 p.m. – 12:45 p.m. SWIFTNet Proxy Voting Update |
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Linda Bookheim Senior Manager, Custodian Segment Sales SWIFT Pan-Americas, Inc. |
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Ms. Bookheim will discuss the SWIFTNet Proxy Voting initiative for global processing. |
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12:45 p.m. Symposium Concludes |
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*Program Subject to Change |
