SIFMA FMS Fundamental Training: Brokerage Accounting
Join SIFMA’s Financial Management Society for an educational seminar on the fundamentals of stock brokerage accounting. Discussion Topics/Learning Objectives will include:…
Listed Options Symposium
Overview
On November 15, SIFMA’s 2018 Listed Options Symposium examined market liquidity, fragmentation, risk, regulation and their impact on customers, firms and market makers.
Industry, exchange and regulatory leaders participated in a robust debate on the challenges and opportunities facing investors and market participants – and the path to achieving a more liquid and resilient listed options market.
Featured Speakers
Listed Options Symposium
Registration Closed
Overview
On November 15, SIFMA’s 2018 Listed Options Symposium examined market liquidity, fragmentation, risk, regulation and their impact on customers, firms and market makers.
Industry, exchange and regulatory leaders participated in a robust debate on the challenges and opportunities facing investors and market participants – and the path to achieving a more liquid and resilient listed options market.
Featured Speakers
Pricing
| Early Bird Rates | $245 |
|---|---|
| Pre-Conference Rates | $295 |
| Webinar Rates | $295 |
| Early Bird Rates | $395 |
|---|---|
| Pre-Conference Rates | $445 |
| Webinar Rates | $445 |
| Early Bird Rates | $150 |
|---|---|
| Pre-Conference Rates | $150 |
| Webinar Rates | $150 |
| Member | Non-Member | Regulator | |
|---|---|---|---|
| Early Bird Rates | $245 | $395 | $150 |
| Pre-Conference Rates | $295 | $445 | $150 |
| Webinar Rates | $295 | $445 | $150 |
Program
12:00pm – 5:15pm
Registration Desk Hours
12:00pm – 12:45pm
Sponsored by Shadow Financial Systems, Inc.
Sponsored by Shadow Financial Systems, Inc.
12:45pm – 5:15pm
Sponsored by Oppenheimer & Co. Inc.
Sponsored by Oppenheimer & Co. Inc.
12:45pm – 12:50pm
Participants
Ellen Greene
Speaker
12:50pm – 1:20pm
Henry Schwartz of Trade Alert will provide a data-driven view of major themes in listed derivatives markets this year, with a focus on trends in volume, volatility, market quality and…
Henry Schwartz of Trade Alert will provide a data-driven view of major themes in listed derivatives markets this year, with a focus on trends in volume, volatility, market quality and how these dynamics are impacting traders, brokers, exchanges and end users.
Participants
Henry Schwartz
Speaker
1:25pm – 1:55pm
The presentation will provide industry sentiment with respect to market structure topics including the role of technology, regulatory challenges and factors driving business strategies. The presentation will present industry views on…
The presentation will provide industry sentiment with respect to market structure topics including the role of technology, regulatory challenges and factors driving business strategies. The presentation will present industry views on what the industry has gotten right over the past several years and where it still has work to do. Industry perceptions on auctions, exchange proliferation and the changing business environment for market makers will be discussed.
Participants
Andy Nybo
Speaker
1:55pm – 2:55pm
The more things change, the more they stay the same. After a fast and volatile start to the year, markets have calmed back down and while we are still on…
The more things change, the more they stay the same. After a fast and volatile start to the year, markets have calmed back down and while we are still on pace for record volume, market quality and liquidity are still top of mind. This panel will offer perspectives on what changes to market structure are needed to improve the trading experience for all market participants and to ensure the continued growth of the industry.
Participants
Lawrence (LT) Tanzman, Shelly Brown, Paul Jiganti, Tyler G. Sorba, Matthew Weinstein
Moderator
Panelists
3:15pm – 4:15pm
In 2018, the options industry continued its focus on risk mitigation and other regulatory changes impacting the listed options market. This panel of regulatory experts – from exchanges, regulators and…
In 2018, the options industry continued its focus on risk mitigation and other regulatory changes impacting the listed options market. This panel of regulatory experts – from exchanges, regulators and market participants – will review how the industry and exchanges are working together to mitigate risk and enhance market resiliency. Topics include changes to exchange give-ups and CMTA, the obvious error rules, the continued debate surrounding the options regulatory fee (ORF), options enforcement and the Consolidated Audit Trail.
Participants
Ronald J. Veith, Alicia Crighton, Jeffrey S. Davis, Gene DeMaio, Richard Holley III
Moderator
Panelists
4:15pm – 5:15pm
This panel of industry participants will describe the latest efforts in continuing to expand retail and institutional adoption of options. Who should lead the charge for industry growth initiatives? This…
This panel of industry participants will describe the latest efforts in continuing to expand retail and institutional adoption of options. Who should lead the charge for industry growth initiatives? This discussion will address education and driving awareness among a variety of industry constituents including individual investors, FAs, RIAs and institutional money managers.
Participants
Joseph (JJ) Kinahan, James Carney, David Dooman, Stacey Gilbert, Gregory Stevens
Moderator
Panelists
5:15pm – 6:15pm
Sponsored by Aplomb Strategies
Sponsored by Aplomb Strategies
Venue
SIFMA Conference Center
120 Broadway
Floor 2
New York, NY 10271
Located at 120 Broadway, a National Historic Landmark and a New York treasure, the SIFMA Conference Center is situated at the heart of New York’s Financial District.
With a rare combination of advanced technologies and sophistication, SIFMA’s Conference Center is fully furnished and equipped to offer unique features that stand alone amongst New York’s leading conference facilities.
Hotel Accommodations
If you require hotel accommodation, a special SIFMA rate is available at the following:
Double Tree by Hilton Hotel – Financial District
8 Stone Street, New York, NY 10004, Phone# 212-480-9100
DISCOUNT: Corporate ID #0560038852
Club Quarters
52 William Street, New York, NY 10005, Phone# 212-269-6400
DISCOUNT: Password (SIFMA)
Residence Inn New York Downtown Manhattan / World Trade Center
170 Broadway, New York, NY 10007, Phone# 212-600-8900
DISCOUNT: Password (SIFMA)
Related Resources
2018 Featured Presentations
-
PDFDownload State of the Options Industry
State of the Options Industry
Henry Schwartz of Trade Alert provided a data-driven view of major themes in listed derivatives markets this year, with a focus on trends in volume, volatility, market quality and how these dynamics are impacting traders, brokers, exchanges and end users.
-
PDFDownload Industry Perceptions
Industry Perceptions
Andy Nybo of Burton-Taylor International Consulting discussed industry sentiment with respect to market structure topics including: the role of technology, regulatory challenges and factors driving business strategies. Industry perceptions on auctions, exchange proliferation and the changing business environment for market makers were also addressed.
Additional Resources
-
Blog Post from the 2017 Listed Options Symposium
This article describes the fragmentation and liquidity issues that must be addressed to maintain a resilient listed options market.
-
Listed Options Trading Committee
With a goal of enhancing investor trust in the listed options markets, the committee brings together options professionals to focus on issues relating to the trading of equity listed options.
-
U.S. Listed Options Primer
In this primer from SIFMA Insights, we provide a fundamental overview of U.S. listed options.
-
PDFDownload 2017 Listed Options Program
2017 Listed Options Program
-
PDFDownload 2016 Listed Options Program
2016 Listed Options Program
Sponsorship
Questions? Contact Tamara Tondu at 212.313.1240.
View Sponsor Profiles (PDF)
Gold
Silver
Bronze
SIFMA's Strategic Partners
Media
Media Inquiries
Contact Katrina Cavalli at 212.313.1181.
Media 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. 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 [email protected] 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 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.