SIFMA Ops & Tech Town Hall Meeting & Networking Reception
All members of the Operations & Technology Society (comprised of Corporate Actions Section, Credit & Margin Section, Customer Account Transfer…
Equity Market Structure Conference
Registration Closed
Overview
SIFMA’s Equity Market Structure Conference gathers the industry’s leading experts to discuss today’s equity markets and the ever-evolving regulatory framework that guides them.
Pricing
| Early Bird Rates | $1050 |
|---|---|
| Pre-Conference Rates | $1150 |
| On-Site Rates | $1250 |
| Early Bird Rates | $1250 |
|---|---|
| Pre-Conference Rates | $1350 |
| On-Site Rates | $1450 |
| Early Bird Rates | $795 |
|---|---|
| Pre-Conference Rates | $795 |
| On-Site Rates | $895 |
| Member | Non-Member | Regulator | |
|---|---|---|---|
| Early Bird Rates | $1050 | $1250 | $795 |
| Pre-Conference Rates | $1150 | $1350 | $795 |
| On-Site Rates | $1250 | $1450 | $895 |
Program
7:30am – 5:30pm
Registration Desk Hours
7:30am – 8:15am
Continental Breakfast
8:15am – 4:30pm
Sponsored by Davis Polk & Wardwell LLP
Sponsored by Davis Polk & Wardwell LLP
8:15am – 8:20am
Participants
Theodore R. Lazo
Speaker
8:20am – 8:30am
Participants
Randy Snook
Speaker
8:30am – 9:00am
Participants
The Honorable Hester M. Peirce
Speaker
9:00am – 9:30am
Participants
Brett Redfearn
Speaker
9:30am – 10:30am
While the U.S. equity market is known globally as one of the best functioning and most efficient markets, it continues to advance and has room for continued enhancement. The current…
While the U.S. equity market is known globally as one of the best functioning and most efficient markets, it continues to advance and has room for continued enhancement. The current market structure has lead to an array of trading venues and heightened competition, which has lowered trading costs for investors. This panel will discuss recent market developments that promote competition, incentivize liquidity, and encourage long-term value creation.
Participants
Annette Nazareth, Jonathan A. Clark, Roman Ginis, Michelle Greene, Chuck Mack
Moderator
Panelists
10:45am – 11:45am
Today’s equity markets operate under an SRO model that was adopted by Congress in the 1970s. However, the markets have evolved significantly since then, with exchanges shifting from member owned…
Today’s equity markets operate under an SRO model that was adopted by Congress in the 1970s. However, the markets have evolved significantly since then, with exchanges shifting from member owned utilities to for-profit companies, and now competing with broker-dealers for order flow. This panel will consider the role of SROs in today’s markets, and how the SRO model should evolved to reflect today’s market realities.
Participants
Michael Masone, Reggie Browne, Jeffrey S. Davis, John Ramsay
Moderator
Panelists
11:45am – 12:45pm
As highlighted in the U.S. Treasury's report on capital markets, some commentators believe equity market structure does not support the growth of public companies, particularly for less liquid stocks. This…
As highlighted in the U.S. Treasury's report on capital markets, some commentators believe equity market structure does not support the growth of public companies, particularly for less liquid stocks. This panel will consider various ways to enhance market structure for smaller companies.
Participants
Sapna C. Patel, Michael Blaugrund, Doug Clark, Nathaniel N. Evarts, Joseph C. Gawronski, Vlad Khandros
Moderator
Panelists
12:45pm – 1:45pm
Networking Lunch
1:45pm – 2:15pm
Participants
Chris Concannon, Bob Pisani
Speakers
2:15pm – 3:15pm
The Consolidated Audit Trail (“CAT”) has been in development since 2012. With systems being built and implementation dates approaching, industry participants are preparing for a future of CAT reporting. This…
The Consolidated Audit Trail (“CAT”) has been in development since 2012. With systems being built and implementation dates approaching, industry participants are preparing for a future of CAT reporting. This panel will discuss the current status of the CAT project and the impacts that CAT will have on market surveillance techniques and systems.
Participants
Gregg E. Berman, Ph.D., Mark Donohue, Joanna Fields, Thomas Gira, Shane Swanson
Moderator
Panelists
3:15pm – 3:30pm
Networking Break
3:30pm – 4:30pm
The EU's ambitious regulatory goals with MiFID II transformed Europe's financial markets and had a significant impact on the U.S. financial industry. This panel will discuss the impact U.S. regulators…
The EU's ambitious regulatory goals with MiFID II transformed Europe's financial markets and had a significant impact on the U.S. financial industry. This panel will discuss the impact U.S. regulators had in the development of MiFID to ensure a level playing field for U.S. institutions and share their initial reactions since the January 3rd compliance date.
Participants
Jamie Selway, James Baugh, Nanette Buziak, Timothy J. Mahoney, Tara Muller
Moderator
Panelists
4:30pm – 5:30pm
Networking Reception
Venue
India House Club
One Hanover Square
New York, NY 10004
India House is dedicated to serving its members with the highest standard in dining and amenities, and to attract new members for whom India House provides a pleasant place to meet socially and a convenient location to entertain business associates.
Related Resources
The Conference Roundup
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SIFMA Insights
SIFMA Equity Market Structure Conference Debrief
Inside our latest note from SIFMA Insights, we recap what was seen and heard at the 2018 Equity Market Structure Conference. Find out what was top-of-mind for nearly 200 attendees, including Reg NMS, the Consolidated Audit Trail, SRO structure, capital formation and more.
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Blog
Taking Stock of Equity Market Structure Priorities
In this blog post, SIFMA EVP Randy Snook explores the evolution of equity market structure and why it remains a key priority for SIFMA - including pilot programs, capital formation, market data and SRO structure.
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Speech
Remarks by SEC Commissioner Hester M. Peirce
Full text of remarks by SEC Commissioner Hester M. Peirce before the SIFMA Equity Market Structure Conference on equity market structure regulation.
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White Paper
Expanding the On-Ramp: Recommendations to Help More Companies Go and Stay Public
SIFMA and a group of partner organizations share a common concern that the decline in public companies has created fewer opportunities for American families and businesses. This report offers recommendations for strengthening U.S. public capital markets by helping more companies go and stay public.
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Issue Page
Equity Market Structure
Visit this resource center to view all content from SIFMA related to equity market structure, including our recommendations for enhancing fairness, stability and transparency in the U.S. stock market.
Previous Programs
Sponsorship
Thank you to our 2018 sponsors! Questions about opportunities in 2019? Contact Tamara Tondu at 212.313.1240.
Platinum
Gold
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SIFMA's Strategic Partners
Media
Media Inquiries
Contact Liz Pierce at 212.313.1173.
Media Registration
Contact Emily Reinus at 212.313.1339.
Policy
View SIFMA’s official press policy.
Media Partnerships
Custom media partnership opportunities are available for almost every objective and budget, with benefits including complimentary event passes. Contact Monica Ilyevsky at 212.313.1263.
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. SIFMA defines inappropriate behavior as any possible illegal conduct, verbal or physical abuse of any type, use of derogatory or discriminatory language, gestures or actions, unwanted invasions of privacy, any form of harassment, racism, sexism, or any other targeted comments which are intended to cause personal offense to another participant either in-person at the event or through social media channels, or the violation of any local, state, or federal laws or regulations.
If you are involved in or witness an incident at a SIFMA meeting or event that violates this Code of Conduct, please use this anonymous incident report form to let SIFMA know immediately. Please provide as much information as possible about the incident so that we can make a proper investigation. Any violations of law should be reported to law enforcement authorities.
SIFMA will investigate any reported incidents swiftly and confidentially if possible. SIFMA, at our discretion, may act on any reports of inappropriate behavior, including but not limited to removing a participant from the meeting or event and/or bar that person from attending future SIFMA meetings or events. SIFMA shall not refund any money paid for such attendee to attend the meeting or event, or for any travel expenses incurred to attend.
Attendee Roster
For your name to be included in the Attendee Roster, your completed registration form and payment must be received no later than two weeks prior to the event. Registrations received after that time will not be included in the Roster.
Substitutions
Conference registration substitutions are welcome. Email Lizzie Grimm 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.