Overview

SIFMA’s Listed Options Symposium features a state of the industry update and takes a deep dive into key market structure topics.

This half-day program will examine the issues impacting liquidity, fragmentation, risk, and regulation and how they affect customers, firms and market makers.

Join industry, exchange and regulatory leaders on Wednesday, September 18 in New York City for a robust discussion on the steps needed to improve market structure, increase liquidity, and enhance investor trust in the listed options markets.

Preview 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

SIFMA’s Listed Options Symposium features a state of the industry update and takes a deep dive into key market structure topics.

This half-day program will examine the issues impacting liquidity, fragmentation, risk, and regulation and how they affect customers, firms and market makers.

Join industry, exchange and regulatory leaders on Wednesday, September 18 in New York City for a robust discussion on the steps needed to improve market structure, increase liquidity, and enhance investor trust in the listed options markets.

Preview 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

Founder and President

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, David Dooman

Moderator

Arianne Criqui

SVP, Head of Options and Global Client Services

Cboe

Arianne Criqui’s Biography

Panelist

David Dooman

Managing Director - Head of Business Development

Dash Regulatory Technologies

David Dooman’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, J. Kevin McCarthy, Scot Warren

Moderator

Panelists

J. Kevin McCarthy

Managing Director, Head of AMRS Professional Clearing and Prime Brokerage Client Service

Bank of America Merrill Lynch

J. Kevin McCarthy’s Biography

Scot Warren

Executive Vice President and Chief Operating Officer

Options Clearing Corporation

Scot Warren’s Biography

3:50pm – 4:15pm

Featured Speaker

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 will explore how educational tools are…

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 will explore how educational tools are being used to engage new customers in the market and how we can continue to expand investor adoption of the listed options market.

5:15pm – 6:15pm

Networking Reception

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.