Overview

The National Conference on the Securities Industry features senior executives and regulators on the latest developments in securities regulation, auditing and accounting requirements.

Join us on October 16-17 for critical updates from the PCAOB, FAF and industry experts; innovation in financial management; open Q&A session with representatives from the SEC, FINRA and CFTC; and more!

Co-hosted by the American Institute of Certified Public Accountants (AICPA) and the SIFMA Financial Management Society (SIFMA FMS).

AICPA and SIFMA FMS National Conference on the Securities Industry

Date

October 16 - October 17, 2019

Location

New York, NY or Webcast

Hosted by

AICPA and SIFMA FMS

Overview

The National Conference on the Securities Industry features senior executives and regulators on the latest developments in securities regulation, auditing and accounting requirements.

Join us on October 16-17 for critical updates from the PCAOB, FAF and industry experts; innovation in financial management; open Q&A session with representatives from the SEC, FINRA and CFTC; and more!

Co-hosted by the American Institute of Certified Public Accountants (AICPA) and the SIFMA Financial Management Society (SIFMA FMS).

Program

8:00am – 4:50pm

Registration Desk Hours

8:00am – 8:30am

8:30am – 8:40am

Participants

Anthony Stucchio

Speaker

Anthony Stucchio

Managing Director, COO- DCRO America's Head & Chief Operations Officer

Deutsche Bank Securities Inc.

Anthony Stucchio’s Biography

8:40am – 9:30am

Pete Dawkins’ has had a lifetime of achievement in the financial industry, the military and sports. He is currently an advisor to Virtu, and in the past has been:…

Pete Dawkins’ has had a lifetime of achievement in the financial industry, the military and sports. He is currently an advisor to Virtu, and in the past has been: a partner at Lehman Brothers; head of Bain’s US consulting practice; Chairman and CEO of Primerica Financial Services, Inc.; Vice Chairman and Executive Vice President of Travelers Insurance; Vice Chairman of Citibank’s Private Bank, and Vice Chairman of Citi’s Global Wealth management business. 

While studying at West Point, he won the Heisman Trophy. He then studied politics and economics at Oxford and became a Rhodes Scholar. He served in the US Army for twenty four years and was made a General Officer. He also ran for the US Senate.

Tony Stucchio will ask Pete Dawkins for his perspective on changes in the financial industry over the years and also ask him to draw on his wealth of experience to provide his insight on what it takes to be a successful leader.

Participants

Anthony Stucchio, Brig. Gen. Peter M. Dawkins

Moderator

Anthony Stucchio

Managing Director, COO- DCRO America's Head & Chief Operations Officer

Deutsche Bank Securities Inc.

Anthony Stucchio’s Biography

Speaker

Brig. Gen. Peter M. Dawkins

Senior Advisor

Virtu Financial

Brig. Gen. Peter M. Dawkins’s Biography

9:30am – 10:20am

Robert J. Jackson Jr. was appointed by President Donald Trump to the U.S. Securities and Exchange Commission (SEC) and was sworn in on January 11, 2018. Commissioner Jackson has extensive…

Robert J. Jackson Jr. was appointed by President Donald Trump to the U.S. Securities and Exchange Commission (SEC) and was sworn in on January 11, 2018. Commissioner Jackson has extensive experience as a legal scholar, policy professional, and corporate lawyer. In his discussion with Mary Kay Scucci of SIFMA, he will share his insights on the securities markets and the initiatives of the SEC.

Participants

Mary Kay Scucci, Robert J. Jackson, Jr.

Moderator

Mary Kay Scucci

Managing Director

SIFMA

Mary Kay Scucci’s Biography

Speaker

10:20am – 10:40am

Sponsored by CRB Monitor

Sponsored by CRB Monitor

10:40am – 11:55am

Electronic trading has grown dramatically in the equity markets and is beginning to make its way into the fixed income market place. This panel of market experts will discuss market…

Electronic trading has grown dramatically in the equity markets and is beginning to make its way into the fixed income market place. This panel of market experts will discuss market structure generally and in particular, the impact of the use of algorithms and other computerized trading vehicles on the markets.

Participants

Theodore R. Lazo, Robert L.D. Colby, Chris Concannon, Guy M. Miller, John Ramsay

Moderator

Theodore R. Lazo

Managing Director & Associate General Counsel, Equities

SIFMA

Panelists

Robert L.D. Colby

Executive Vice President and Chief Legal Officer

FINRA

Robert L.D. Colby’s Biography

Chris Concannon

President and Chief Operating Officer

MarketAxess

Chris Concannon’s Biography

Guy M. Miller

Senior Deputy General Counsel

Citadel Securities

Guy M. Miller’s Biography

John Ramsay

Chief Market Policy Officer

IEX Group, Inc.

John Ramsay’s Biography

11:55am – 12:30pm

Networking Lunch

12:30pm – 1:20pm

The global economy has a direct impact on the trading, investment banking, investment advisory and other businesses that securities firms conduct. Senior finance executives need to pay attention to global…

The global economy has a direct impact on the trading, investment banking, investment advisory and other businesses that securities firms conduct. Senior finance executives need to pay attention to global economist trends and events, so they can appreciate the impact on their firms. Tariffs, immigration policy and event such as Brexit have an impact in Europe, the US and elsewhere. David Kelly will provide his insights regarding the global economy and what may be ahead for us in the US.

Participants

Dr. David Kelly, CFA

Speaker

Dr. David Kelly, CFA

Managing Director, Chief Global Strategist

J.P. Morgan Asset Management

Dr. David Kelly, CFA’s Biography

1:30pm – 2:45pm

The AICPA formed the Digital Assets Working Group with the objective of developing content for preparers and auditors on how to account for and audit digital assets. The Working Group’s…

The AICPA formed the Digital Assets Working Group with the objective of developing content for preparers and auditors on how to account for and audit digital assets. The Working Group’s members are digital assets subject matter experts from international and national firms. The Working Group is split into two subgroups, one focusing on accounting topics, and one focusing on auditing topics. Each subgroup has created a list of topics and has prioritized those that they believe are the most challenging for practitioners and accountants.

Matthew Schell and Amy Steele chair the two subgroups and will discuss the progress of their subgroups and the whitepaper that those subgroups are developing.

Participants

Christopher Donovan, Matthew A. Schell, Amy Steele

Panelists

Matthew A. Schell

Partner

Crowe LLP

Matthew A. Schell’s Biography

Amy Steele

Audit & Assurance Partner

Deloitte & Touche LLP

Amy Steele’s Biography

2:45pm – 3:05pm

Sponsored by Citrin Cooperman

Sponsored by Citrin Cooperman

3:05pm – 3:55pm

Glenn Schorr is a Senior Managing Director and a Senior Research Analyst covering Brokers, Universal Banks, Asset Managers and Trust Banks. Mr. Schorr has covered the financial sector as a…

Glenn Schorr is a Senior Managing Director and a Senior Research Analyst covering Brokers, Universal Banks, Asset Managers and Trust Banks. Mr. Schorr has covered the financial sector as a senior analyst since 2000 and has been named to Institutional Investor’s All America Research Team for Brokers, Asset Managers & Exchanges sector for the last 8 years. He will provide his views and insights around the economic and regulatory implications that impact the financial services industry.

Participants

Glenn Schorr

Speaker

Glenn Schorr

Senior Managing Director, Senior Research Analyst

Evercore

Glenn Schorr’s Biography

3:55pm – 4:45pm

Cybersecurity risk is at the top of the list of risks that every financial firm and regulator is concerned about. As a Cyber Event Manager, it is Matt Reiley’s job…

Cybersecurity risk is at the top of the list of risks that every financial firm and regulator is concerned about. As a Cyber Event Manager, it is Matt Reiley’s job to rapidly synchronize his firm’s response to cyber threats, vulnerabilities and incidents that threaten the firm’s clients, assets or reputation. Matt will discuss the kinds of cyber events that his group is vigilant for and approaches they take to confront them.

Participants

Matt Reiley

Speaker

Matt Reiley

Executive Director, Global Head of Cyber Event Management

Morgan Stanley

Matt Reiley’s Biography

4:45pm – 4:50pm

Participants

Michael Lyons

Speaker

Michael Lyons

Chief Financial Officer

National Financial Services

Michael Lyons’s Biography

4:50pm – 6:00pm

Sponsored by BDO

Sponsored by BDO

8:00am – 5:15pm

Registration Desk Hours

8:00am – 8:30am

Networking Breakfast

8:30am – 8:40am

Participants

Christopher Donovan

Speaker

8:40am – 9:30am

The Financial Accounting Foundation (FAF) is the independent, private-sector, not-for-profit organization responsible for the oversight, administration, financing, and appointment of the Financial Accounting Standards Board (FASB) and the Governmental Accounting…

The Financial Accounting Foundation (FAF) is the independent, private-sector, not-for-profit organization responsible for the oversight, administration, financing, and appointment of the Financial Accounting Standards Board (FASB) and the Governmental Accounting Standards Board (GASB). The collective mission of the FASB, GASB, and FAF is to establish and improve financial accounting and reporting standards to provide useful information to investors and other users of financial reports and to educate stakeholders on how to most effectively understand and implement those standards. Noski and Scucci will discuss the mission and work of the FAF as well as share their insights and observations on accounting and finance stemming from their deep experience with corporate industry and professional standard setting associations.

Participants

Mary Kay Scucci, Charles H. Noski

Moderator

Mary Kay Scucci

Managing Director

SIFMA

Mary Kay Scucci’s Biography

Speaker

Charles H. Noski

Chairman, Board of Trustees

Financial Accounting Foundation

Charles H. Noski’s Biography

9:30am – 10:20am

The PCAOB is a nonprofit corporation established by Congress to oversee the audits of public companies in order to protect investors and the public interest by promoting informative, accurate and…

The PCAOB is a nonprofit corporation established by Congress to oversee the audits of public companies in order to protect investors and the public interest by promoting informative, accurate and independent audit reports. The PCAOB also oversees the audits of brokers and dealers, including compliance reports filed pursuant to federal securities laws.

This fireside chat with James Kaiser, from the PCAOB Board, will provide not only an update of the PCAOB’s strategic plan’s and the PCAOB’s focus on innovation in its oversight activities and other initiatives but also provide the opportunity to hear James’s unique perspectives.   This chat will include his perspectives regarding the future of global digital audits, the changes occurring in the ecosystem around financial reporting, prevention and the detection of audit deficiencies inclusive of more uniform risk-based audit approaches in additional to other current topics.

Participants

Esther Mills, James G. Kaiser

Moderator

Esther Mills

President and Founder

Accounting Policy Plus

Esther Mills’s Biography

Speaker

James G. Kaiser

Board Member

PCAOB

James G. Kaiser’s Biography

10:20am – 10:40am

10:40am – 11:30am

Seth Drucker will discuss recently adopted accounting pronouncements with an emphasis on those that impact the financial services industry.

Seth Drucker will discuss recently adopted accounting pronouncements with an emphasis on those that impact the financial services industry.

Participants

Seth Drucker

Speaker

Seth Drucker

Partner

PwC

Seth Drucker’s Biography

11:30am – 12:20pm

Think of your experiences at work or in your personal life where you felt fully valued, understood and seen for all you bring to the table — your background, experiences…

Think of your experiences at work or in your personal life where you felt fully valued, understood and seen for all you bring to the table — your background, experiences and skills. What was it about the situation, the environment, the people that created your experience? How did this impact your sense of competence, confidence and success? … Now, think of a time when you did not feel valued, understood or seen for who you are and what you can contribute. How is that experience and its impact on you different? In this session we will discuss the importance of belonging, behaviors that enable it or reduce one’s sense of belonging and how each of us can impact the experience of belonging for ourselves and others, and enable cultural change.

Participants

Lois Jeffers, Michelle Warra

Speakers

Lois Jeffers

Assistant Director, Americas FSO, Talent Team

EY

Lois Jeffers’s Biography

Michelle Warra

Principal

EY

Michelle Warra’s Biography

12:20pm – 1:00pm

Sponsored by EY LLP

Sponsored by EY LLP

1:00pm – 1:50pm

Joseph Seidel and Mark Koziel will provide insights on key initiatives their organizations are embarking on in behalf of their members.

Joseph Seidel and Mark Koziel will provide insights on key initiatives their organizations are embarking on in behalf of their members.

Participants

Joseph L. Seidel, Mark Koziel

Speakers

Joseph L. Seidel

Chief Operating Officer

SIFMA

Joseph L. Seidel’s Biography

Mark Koziel

Executive Vice President – Firm Services

AICPA

Mark Koziel’s Biography

2:00pm – 3:15pm

This panel of brokerage firm chief financial officers will discuss, among other things, the roles they have in their firms, the challenges that they face and their view regarding the…

This panel of brokerage firm chief financial officers will discuss, among other things, the roles they have in their firms, the challenges that they face and their view regarding the design and skill set required of securities firm finance departments in the future.

Participants

Ralph Mattone, Jeffrey Alfano, Peregrine C. Broadbent, Eugene Chiulli, Gary Lynn

Moderator

Ralph Mattone

Managing Director, Finance

UBS

Ralph Mattone’s Biography

Panelists

Jeffrey Alfano

Executive Vice President and Chief Financial Officer

Oppenheimer & Co., Inc.

Jeffrey Alfano’s Biography

Peregrine C. Broadbent

Executive Vice President and Chief Financial Officer

Jefferies LLC

Peregrine C. Broadbent’s Biography

Eugene Chiulli

Managing Director, Chief Financial Officer - Americas

Nomura Holding America Inc.

Eugene Chiulli’s Biography

Gary Lynn

Managing Director, Global Co-Head of Legal Entity Control and Chief Financial Officer

Morgan Stanley & Co.

Gary Lynn’s Biography

3:15pm – 3:35pm

Networking Break

3:35pm – 5:15pm

The banking, securities and commodities regulators have been working on measures that will impact that size and liquidity of brokerage firm balance sheets. These measures will directly impact return on equity…

The banking, securities and commodities regulators have been working on measures that will impact that size and liquidity of brokerage firm balance sheets. These measures will directly impact return on equity and will drive business decisions of the leadership of securities firms. This panel will explore those measures and their impact.

Participants

Michael P. Jamroz, Michael A. Macchiaroli, Thomas J. Smith, Bill Wollman

Moderator

Michael P. Jamroz

Retired Partner, Senior Advisor Under Contract

Deloitte & Touche LLP

Michael P. Jamroz’s Biography

Panelists

Michael A. Macchiaroli

Associate Director, Division of Trading and Markets

U.S. Securities and Exchange Commission

Michael A. Macchiaroli’s Biography

Thomas J. Smith

Deputy Director, Division of Swap Dealer and Intermediary Oversight

Commodity Futures Trading Commission

Thomas J. Smith’s Biography

Bill Wollman

Executive Vice President, Member Supervision

FINRA

Bill Wollman’s Biography

5:15pm – 5:15pm

Participants

Michael P. Jamroz

Speaker

Michael P. Jamroz

Retired Partner, Senior Advisor Under Contract

Deloitte & Touche LLP

Michael P. Jamroz’s Biography

Venue

New York Law School

185 West Broadway
New York, NY 10013

For nearly 125 years, New York Law School has been a leader in providing an innovative legal education, delivered by a world class faculty, in the most important city in the world.

Picture of venue

Hotel Accommodations

SIFMA does not have a room block for this meeting. If you need hotel accommodation, here are suggested properties near the conference venue:

The Roxy
2 Avenue of the Americas
New York, NY 10019
(212) 519-6600

Hilton Garden Inn Tribeca
39 Avenue of the Americas
New York, NY 10013
(212) 966-4091

The Frederick Hotel
95 West Broadway
New York, NY
(212) 566-1900

Accreditation

Attendees are eligible to receive 16.5 hours of Continuing Professional Education (CPE) Credits for this conference.

AICPA is an accredited CPE provider in the United States. For more information on CPE credits, contact AICPA Conferences at 888.777.7077.

Media

Media Inquiries and Registration
Contact Evan Grogan at 212.313.1134.

Policy
View SIFMA’s official press policy.

Terms and Conditions

Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. View our Code of Conduct and anonymous incident report form.

Substitutions
Conference registration substitutions are welcome. Email SIFMA Conferences with the following information and we will confirm the change: original registrant’s full name, substitute registrant’s full name, mailing address, title, phone and email.

Cancellations
Refunds will be granted for cancellations made three weeks prior to the start of the event. All cancellation requests are subject to a $100 processing fee and must be made in writing.