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

Date

November 15, 2018

Location

New York, NY or Webinar

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

Program

12:00pm – 5:15pm

Registration Desk Hours

12:00pm – 12:45pm

12:45pm – 5:15pm

12:45pm – 12:50pm

Participants

Ellen Greene

Speaker

Ellen Greene

Managing Director, Financial Services Operations

SIFMA

Ellen Greene’s Biography

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

Henry Schwartz

Founder and President

Trade Alert LLC

Henry Schwartz’s Biography

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

Andy Nybo

Director, Exchange Vertical Research

Burton-Taylor International Consulting

Andy Nybo’s Biography

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

Lawrence (LT) Tanzman

Head of CES Options Routing

Citadel Securities

Lawrence (LT) Tanzman’s Biography

Panelists

Shelly Brown

Executive Vice President, Strategic Planning and Operations

MIAX Options

Shelly Brown’s Biography

Paul Jiganti

Managing Director of Business Development

IMC

Paul Jiganti’s Biography

Tyler G. Sorba

Co-Head of Options Automated Market Making

Morgan Stanley

Tyler G. Sorba’s Biography

Matthew Weinstein

Director of US Equity Volatility Trading

BlackRock

Matthew Weinstein’s Biography

2:55pm – 3:15pm

Sponsored by IMC

Sponsored by IMC

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

Ronald J. Veith

Executive Director

JPMorgan Chase & Co.

Ronald J. Veith’s Biography

Panelists

Alicia Crighton

COO, Futures, DCS and Clearing Businesses

Goldman Sachs

Alicia Crighton’s Biography

Jeffrey S. Davis

Vice President & Deputy General Counsel

Nasdaq

Jeffrey S. Davis’s Biography

Gene DeMaio

Senior Vice President, Market Regulation

FINRA

Gene DeMaio’s Biography

Richard Holley III

Assistant Director, Division of Trading and Markets

U.S. Securities and Exchange Commission

Richard Holley III’s Biography

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

Joseph (JJ) Kinahan

Chief Market Strategist, Managing Director

TD Ameritrade, Inc.

Joseph (JJ) Kinahan’s Biography

Panelists

James Carney

Founder, Chief Executive Officer/Portfolio Manager

Parplus Partners

James Carney’s Biography

David Dooman

Managing Director - Head of Business Development

Dash Regulatory Technologies

David Dooman’s Biography

Stacey Gilbert

Head of Derivative Strategy

Susquehanna Financial Group

Stacey Gilbert’s Biography

Gregory Stevens

Vice President, Product Development

Fidelity Investments

Gregory Stevens’s Biography

5:15pm – 6:15pm

Sponsored by Aplomb Strategies 

Sponsored by Aplomb Strategies 

Venue

SIFMA Conference Center

120 Broadway
Floor 2
New York, NY 10271

View on Google Maps

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.

Picture of venue

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

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.