Overview

Join industry, exchange and regulatory leaders for a robust discussion on the state of the options industry, market structure and the investor sentiment in the listed options markets.

The Listed Options Symposium half-day program, on September 18 in New York City, will examine the issues impacting liquidity, fragmentation, risk, and regulation and how they affect customers, firms and market makers.

View the program sessions and stay tuned for more speaker announcements.

Listed Options Symposium

Date

September 18, 2019

Location

New York, NY or Webinar

Early Bird Rates – Until 8/23/19

  • Member $295
  • Non-Member $445
  • Regulator $200

Overview

Join industry, exchange and regulatory leaders for a robust discussion on the state of the options industry, market structure and the investor sentiment in the listed options markets.

The Listed Options Symposium half-day program, on September 18 in New York City, will examine the issues impacting liquidity, fragmentation, risk, and regulation and how they affect customers, firms and market makers.

View the program sessions and stay tuned for more speaker announcements.

Program

12:00pm – 12:55pm

Networking Lunch

12:00pm – 5:00pm

Registration Desk Hours

12:55pm – 1:00pm

Participants

Ellen Greene

Speaker

Ellen Greene

Managing Director, Financial Services Operations

SIFMA

Ellen Greene’s Biography

1:00pm – 1:30pm

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

President and Founder

Trade Alert LLC

Henry Schwartz’s Biography

1:30pm – 2:30pm

Emerging technologies continue to impact U.S. listed options market structure. However, floor-based exchanges remain as a viable alternative for some market participants. This panel will take an in-depth look into…

Emerging technologies continue to impact U.S. listed options market structure. However, floor-based exchanges remain as a viable alternative for some market participants. This panel will take an in-depth look into the drivers of today’s market structure changes and opine on critical issues that are affecting both manual and electronic trading. With 16 U.S. listed options exchanges, subject matter experts will discuss how they navigate strike proliferation, fragmentation and other evolving challenges in the markets.

Participants

Arianne Criqui, Will Bartlett, Edward Boyle, David Dooman, Christine Hansen, Tyler G. Sorba

Moderator

Arianne Criqui

SVP, Head of Options and Global Client Services

Cboe

Arianne Criqui’s Biography

Panelists

Edward Boyle

Chief Executive Officer

BOX Options Exchange

Edward Boyle’s Biography

David Dooman

Managing Director - Head of Business Development

Dash Regulatory Technologies

David Dooman’s Biography

Christine Hansen

Equity Options Trading Lead

IMC

Christine Hansen’s Biography

Tyler G. Sorba

Co-Head of Options Automated Market Making

Morgan Stanley

Tyler G. Sorba’s Biography

2:30pm – 2:50pm

Sponsored by IMC

Sponsored by IMC

2:50pm – 3:50pm

2019 has seen a continued focus on risk mitigation by the exchanges and OCC, designed to strengthen the listed options infrastructure and reduce risk to clearing firms. However, the industry…

2019 has seen a continued focus on risk mitigation by the exchanges and OCC, designed to strengthen the listed options infrastructure and reduce risk to clearing firms. However, the industry is yet to solve other issues impacting the industry, including the treatment of risk-weighted assets, which continues to inhibit the availability of bank capital for market makers. Join this panel of subject matter experts for a robust discussion on new regulations and how market participants are working together to create a more resilient industry. Topics include exchange give-ups and the OCC’s actionable identifier, an update on bank capital rules, recent initiatives at the OCC, options regulatory fee and enforcement, CAT and Rule 606.

Participants

James R. Burns, Joanna Fields, Richard Holley III, J. Kevin McCarthy, Clare Saperstein, Scot Warren

Moderator

Panelists

Joanna Fields

Chief Executive Officer & Founder

Aplomb Strategies

Joanna Fields’s Biography

Richard Holley III

Assistant Director, Division of Trading and Markets

U.S. Securities and Exchange Commission

Richard Holley III’s Biography

J. Kevin McCarthy

Head of Professional Clearing

Bank of America Merrill Lynch

J. Kevin McCarthy’s Biography

Clare Saperstein

Associate General Counsel and Senior Director

New York Stock Exchange

Clare Saperstein’s Biography

Scot Warren

Chief Operating Officer

Options Clearing Corporation

Scot Warren’s Biography

3:50pm – 4:15pm

One-on-One Conversation with Virtu Chief Executive Officer Doug Cifu and JJ Kinahan, Chief Market Strategist, TD Ameritrade.

One-on-One Conversation with Virtu Chief Executive Officer Doug Cifu and JJ Kinahan, Chief Market Strategist, TD Ameritrade.

Participants

Joseph (JJ) Kinahan, Douglas Cifu

Moderator

Joseph (JJ) Kinahan

Chief Market Strategist, Managing Director

TD Ameritrade, Inc.

Joseph (JJ) Kinahan’s Biography

Speaker

Douglas Cifu

Chief Executive Officer

Virtu Financial

Douglas Cifu’s Biography

4:15pm – 5:15pm

Hear from this panel of industry experts on the customer experience and continuing evolution of the product’s usage by retail and institutional customers. Panelists from the retail, institutional and market…

Hear from this panel of industry experts on the customer experience and continuing evolution of the product’s usage by retail and institutional customers. Panelists from the retail, institutional and market making community will explore what’s most important to the options end user, how educational tools are being used to engage new customers in the market and how we can continue to promote and expand customers in the listed options market.

Participants

Joseph (JJ) Kinahan, Jim Boyle, Patrick Luongo, Lawrence (LT) Tanzman, Matthew Weinstein

Moderator

Joseph (JJ) Kinahan

Chief Market Strategist, Managing Director

TD Ameritrade, Inc.

Joseph (JJ) Kinahan’s Biography

Panelists

Patrick Luongo

Director, Head of AES Options Sales, US

Credit Suisse

Patrick Luongo’s Biography

Lawrence (LT) Tanzman

Head of CES Options Routing

Citadel Securities

Lawrence (LT) Tanzman’s Biography

Matthew Weinstein

Director of US Equity Volatility Trading

BlackRock

Matthew Weinstein’s Biography

5:15pm – 6:15pm

Sponsored by OCC 

Sponsored by OCC 

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)

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.

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 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.