Annual Meeting 2010

Registration Opens

Breakfast with Featured Speaker

Hosted by: Broadridge Financial Solutions, Inc. 

 

James P. Gorman

President and Chief Executive Officer
Morgan Stanley

 

Interviewed by:
Charlie Rose

Host and Executive Editor of Charlie Rose

General Session

Co-Hosted by eFinancialCareers 
                           Interactive Data
                          Thomson Reuters (BETA Systems)  

 

T. Timothy Ryan

President & Chief Executive Officer
SIFMA

John Taft

CEO
RBC U.S. Wealth Management
Chairman-Elect, SIFMA Board of Directors

Financial Reform: How Will it Affect Firms with Various Business Models?

Financial reform legislation, and subsequent rule making, will have various impacts on broker-dealers depending on their respective business model. This panel of experts will discuss how they view the impact of regulatory reform - and potential growth opportunities – from a variety of private client, capital markets, and fixed income perspectives.

Moderator:

 

Interviewed by:
Charlie Rose

Host and Executive Editor of Charlie Rose

Panelists:

 

James R. Allen

Chairman and Chief Executive Officer
J.J.B. Hilliard, W.L. Lyons, LLC

 

Kent Christian

President, Financial Services Group
Wells Fargo Advisors

Chet Helck

Chief Operating Officer
Raymond James Financial

 

Thomas R. Paprocki

Chief Executive Officer
The Ziegler Companies, Inc.

 

Walter S. Robertson, III

Senior Managing Director
President – Private Client Group
Scott & Stringfellow, LLC

Featured Speaker

 

Mary L. Schapiro

Chairman
U.S. Securities and Exchange Commission

 

Interviewed by:
Charlie Rose

Host and Executive Editor of Charlie Rose

Morning Refreshment Break

Co-Hosted by Davis Polk & Wardwell LLP 

                       Pershing LLC 

Post-Election Analysis

Hear renown political analysts debate what the election results really mean and the big changes ahead.

Moderator

Kenneth Bentsen

EVP, Public Policy and Advocacy

SIFMA 
 

Panelists

Cornell Belcher

President
Brilliant Corners Research

Karen Finney

Political Analyst
MSNBC

Mark McKinnon

Vice Chairman
Public Strategies Inc.

Luncheon with Featured Speaker

Luncheon Co-Hosted by Comprehensive Software Systems, LLC
                                      Tradeweb  

 

Robert P. Kelly

Chairman and Chief Executive Officer
BNY Mellon

 

Interviewed by:
Charlie Rose

Host and Executive Editor of Charlie Rose

Featured Speaker

 

Chairman Sheila C. Bair

Federal Deposit Insurance Corporation

 

Interviewed by:
Charlie Rose

Host and Executive Editor of Charlie Rose

Market Structure Panel

Over the past two years, we have seen heightened scrutiny of current equity market structure and practices, both in the U.S. and abroad. The regulatory landscape in the equities world has grown increasingly dynamic, especially in the aftermath of the May 6 “flash crash.” This panel will explore recent regulatory initiatives and their implications for the U.S. equities market as well as investors. Key issues include the significant rise in trading in dark pools and on other alternative trading venues, a re-evaluation of short selling practices, institution of new single stock circuit breakers and contemplation of updated market wide circuit breakers and enhanced market maker obligations, the dramatic rise in high frequency trading over the last few years, concerns about market access and transparency, and a myriad of other related topics. Should we expect to see greater oversight of dark pools, high frequency trading and certain other trading strategies going forward? And, how do developments here compare with what is happening overseas in Europe and Asia?

Moderator: 

 

Charlie Rose

Host and Executive Editor of Charlie Rose

Panelists: 

Lawrence Leibowitz

Chief Operating Officer
NYSE Euronext

John Neary

Managing Director
Global Head of Portfolio Products, Institutional Equities Division
Morgan Stanley

 

Eric W. Noll

Executive Vice President, Transaction Services
The NASDAQ OMX Group, Inc.

 

George U. (Gus) Sauter

Managing Director and Chief Investment Officer
Vanguard

 

Scot E. Warren

Managing Director, Equity Index Products & Index Services
CME Group

SIFMA Diversity Awards

Afternoon Refreshment Break

Hosted by Deloitte LLP 

Featured Speaker

 

Governor Kevin M. Warsh

Board of Governors of the Federal Reserve System

 

Interviewed by:
Charlie Rose

Host and Executive Editor of Charlie Rose

A Conversation with Senator Chris Dodd Moderated by Charlie Rose

 

U.S. Senator Christopher J. Dodd (D-Conn)

 

 

Interviewed by:
Charlie Rose

Host and Executive Editor of Charlie Rose

COCKTAIL RECEPTION

 Co-Hosted by 
Bloomberg
BNY Mellon Asset Servicing
Davidsohn Global Technologies, Inc.
Ernst & Young LLP  

Please note program content and session timing subject to change.

SIFMA wishes to thank the following sponsors for supporting the 2010 Annual Meeting:

• Wall Street Journal - Compliments of Dow Jones  
• Attendee Packet - Compliments of DTCC  
• Attendee Notebook - Compliments of First Clearing Correspondent Services  
• Press Room Catering - Hosted by Knight Capital Group, Inc.  
• Attendee Lanyard - Provided by National Financial, a Fidelity Investments Company 
• Conference Thumb Drive - Compliments of Sapient Global Markets  
• Event Contributor - Financial Tracking, LLC