C&L Society September Luncheon
SIFMA's Compliance & Legal Society Monthly Luncheons are opportunities to gain insights from influential voices in the compliance and legal…
Listed Options Symposium
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
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.
Pricing
| Early Bird Rates | $295 |
|---|---|
| Pre-Conference Rates | $345 |
| On Site Rates | $395 |
| Early Bird Rates | $445 |
|---|---|
| Pre-Conference Rates | $495 |
| On Site Rates | $545 |
| Early Bird Rates | $200 |
|---|---|
| Pre-Conference Rates | $200 |
| On Site Rates | $200 |
| Member | Non-Member | Regulator | |
|---|---|---|---|
| Early Bird Rates | $295 | $445 | $200 |
| Pre-Conference Rates | $345 | $495 | $200 |
| On Site Rates | $395 | $545 | $200 |
Program
12:00pm – 12:55pm
Networking Lunch
12:00pm – 5:00pm
Registration Desk Hours
12:55pm – 1:00pm
Participants
Ellen Greene
Speaker
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
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
Panelists
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
3:50pm – 4:15pm
Participants
Douglas Cifu
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 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
Panelists
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)
Sponsorship
Questions? Contact Tamara Bailey at 212.313.1240.
Platinum
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.
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.