Overview

Each fall, SIFMA’s Annual Meeting gathers the most influential voices shaping today’s capital markets. Through candid one-on-one conversations and expert panel discussions, we assess challenges and gain insights into opportunities ahead.

Find out what is top of mind for market participants: register today to join us on November 18-19, 2019 at the JW Marriott in Washington, DC.

SIFMA's 2019 Annual Meeting - Where the Capital Markets Meet

2019 Featured Speakers

SIFMA’s Annual Meeting features leading experts from the financial industry as well as policymakers, regulators and notable media. Here’s who we’ve confirmed for 2019 so far; view our 2018 lineup to see what’s in store.

James R. Allen Chairman & CEO Hilliard Lyons Kevin Alm Kevin Alm Principal – Client Strategies Group – Solutions Edward Jones Jay Clayton Chairman U.S. Securities and Exchange Commission Michael Durbin, Fidelity Michael Durbin Head of Fidelity Institutional Fidelity Brian Gardner Brian Gardner Managing Director, Washington Research Keefe Bruyette & Woods J. Christopher Giancarlo Former Chairman U.S. Commodity Futures Trading Commission Lisa Kidd Hunt Lisa Kidd Hunt EVP, International Services Charles Schwab & Co., Inc. Catherine L. Mann Catherine L. Mann Global Chief Economist Citi Charlotte McLaughlin, PNC Capital Markets Charlotte McLaughlin President & CEO PNC Capital Markets Brian Moynihan, Bank of America Merrill Lynch Brian T. Moynihan Chairman and Chief Executive Officer Bank of America Katie Nixon Katie Nixon Executive Vice President and Chief Investment Officer Northern Trust Penny Pennington, Edward Jones Penny Pennington Managing Partner Edward Jones Craig Phillips Former Counselor to the Secretary U.S. Department of the Treasury Dawn DeBerry Stump, CFTC Dawn DeBerry Stump Commissioner U.S. Commodity Futures Trading Commission Joseph E. Sweeney Joseph E. Sweeney President, Advice & Wealth Management, Products and Services Delivery Ameriprise Financial, Inc. Jim Reynolds, Loop Capital James Reynolds, Jr. Chairman and Chief Executive Officer Loop Capital Markets LLC John C. Williams John C. Williams President and Chief Executive Officer Federal Reserve Bank of New York

What to Expect

Delegate Testimonials

“SIFMA’s Annual Meeting is an excellent forum for buy-side, sell-side, platforms, regulators – all market participants – to come together and hear one another’s perspectives.”

“I attend SIFMA’s Annual Meeting because 1) it’s a great networking opportunity, 2) it is a great way to learn, and 3) the industry is coming together to think about ways that we can collaborate to solve challenges.”

“It’s an opportunity to get a ton of useful information, network with the right people and really get an opportunity to see what’s going on in the industry, what’s current.”

Who Attends

      • Chief Executive Officers
      • Chief Financial Officers
      • Chief Information Officer
      • Chief Operating Officers
      • General Counsels
      • Chief Compliance Officers
      • Heads of Business Units
      • Heads of Strategy and Risk
      • Heads of Regulatory and Government Affairs

Companies in Attendance

More than 100 SIFMA member firms were represented in 2018, including:

      • AB
      • Ameriprise Financial
      • Ares Management
      • Bank of America Merrill Lynch
      • Barclays
      • BlackRock
      • BNP Paribas
      • Citadel LLC
      • Citigroup Inc.
      • Credit Suisse Group AG
      • Edward Jones
      • Fidelity
      • Goldman Sachs & Co. LLC
      • Guggenheim Partners
      • HSBC
      • Invesco
      • Janney Montgomery Scott LLC
      • JPMorgan Chase & Co.
      • Legg Mason Global Asset Management
      • LPL Financial
      • Macquarie Group
      • Morgan Stanley
      • Neuberger Berman
      • Northern Trust
      • Oppenheimer & Co.
      • Rabobank Group
      • Raymond James Financial, Inc.
      • Royal Bank of Canada (RBC)
      • Russell Investments
      • Stephens Inc.
      • T. Rowe Price Associates, Inc.
      • TD Ameritrade, Inc.
      • UBS AG
      • Virtu Financial

SIFMA Annual Meeting

The Capital Markets Conference

Date

November 18 - November 19, 2019

Location

Washington, DC

Hosted by

SIFMA

Early Bird – Until 10/18/19

  • Member $995
  • Non-Member $1295
  • Regulator $495

Overview

Each fall, SIFMA’s Annual Meeting gathers the most influential voices shaping today’s capital markets. Through candid one-on-one conversations and expert panel discussions, we assess challenges and gain insights into opportunities ahead.

Find out what is top of mind for market participants: register today to join us on November 18-19, 2019 at the JW Marriott in Washington, DC.

SIFMA's 2019 Annual Meeting - Where the Capital Markets Meet

2019 Featured Speakers

SIFMA’s Annual Meeting features leading experts from the financial industry as well as policymakers, regulators and notable media. Here’s who we’ve confirmed for 2019 so far; view our 2018 lineup to see what’s in store.

What to Expect

Delegate Testimonials

“SIFMA’s Annual Meeting is an excellent forum for buy-side, sell-side, platforms, regulators – all market participants – to come together and hear one another’s perspectives.”

“I attend SIFMA’s Annual Meeting because 1) it’s a great networking opportunity, 2) it is a great way to learn, and 3) the industry is coming together to think about ways that we can collaborate to solve challenges.”

“It’s an opportunity to get a ton of useful information, network with the right people and really get an opportunity to see what’s going on in the industry, what’s current.”

Who Attends

      • Chief Executive Officers
      • Chief Financial Officers
      • Chief Information Officer
      • Chief Operating Officers
      • General Counsels
      • Chief Compliance Officers
      • Heads of Business Units
      • Heads of Strategy and Risk
      • Heads of Regulatory and Government Affairs

Companies in Attendance

More than 100 SIFMA member firms were represented in 2018, including:

      • AB
      • Ameriprise Financial
      • Ares Management
      • Bank of America Merrill Lynch
      • Barclays
      • BlackRock
      • BNP Paribas
      • Citadel LLC
      • Citigroup Inc.
      • Credit Suisse Group AG
      • Edward Jones
      • Fidelity
      • Goldman Sachs & Co. LLC
      • Guggenheim Partners
      • HSBC
      • Invesco
      • Janney Montgomery Scott LLC
      • JPMorgan Chase & Co.
      • Legg Mason Global Asset Management
      • LPL Financial
      • Macquarie Group
      • Morgan Stanley
      • Neuberger Berman
      • Northern Trust
      • Oppenheimer & Co.
      • Rabobank Group
      • Raymond James Financial, Inc.
      • Royal Bank of Canada (RBC)
      • Russell Investments
      • Stephens Inc.
      • T. Rowe Price Associates, Inc.
      • TD Ameritrade, Inc.
      • UBS AG
      • Virtu Financial

Program

2:00pm – 6:00pm

Registration Desk Hours

3:15pm – 3:20pm

Participants

Kenneth E. Bentsen, Jr.

Speaker

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

3:20pm – 4:20pm

On the imposition of regulation by prudential agencies on the capital markets, its restrictions and its relationship to markets regulators.

On the imposition of regulation by prudential agencies on the capital markets, its restrictions and its relationship to markets regulators.

Participants

J. Christopher Giancarlo, Dan Gallagher, Craig Phillips

Speakers

Dan Gallagher

Partner and Deputy Chair, Securities Department

WilmerHale

Former Commissioner

U.S. Securities and Exchange Commission

Dan Gallagher’s Biography

Craig Phillips

Former Counselor to the Secretary

U.S. Department of the Treasury

Craig Phillips’s Biography

4:20pm – 4:50pm

Participants

Penny Pennington

Speaker

Penny Pennington

Managing Partner

Edward Jones

Penny Pennington’s Biography

4:50pm – 5:50pm

A fireside chat from both sides of the aisle.

A fireside chat from both sides of the aisle.

5:50pm – 6:20pm

Participants

Dawn DeBerry Stump

6:30pm – 9:00pm

Sponsored By: Broadridge Financial Solutions, Fidelity Clearing & Custody Solutions and Google Cloud

Sponsored By: Broadridge Financial Solutions, Fidelity Clearing & Custody Solutions and Google Cloud

7:30am – 5:00pm

Registration Desk Hours

7:30am – 8:30am

Co-Sponsored By: Mediant Communications LLC and Proofpoint

Co-Sponsored By: Mediant Communications LLC and Proofpoint

8:00am – 8:30am

A fireside chat with the Chair and Chair-Elect of SIFMA’s Board of Directors

A fireside chat with the Chair and Chair-Elect of SIFMA’s Board of Directors

Participants

Kenneth E. Bentsen, Jr., James R. Allen, Joseph E. Sweeney

Moderator

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

Speakers

James R. Allen

Chairman and Chief Executive Officer

Hilliard Lyons

James R. Allen’s Biography

Joseph E. Sweeney

President, Advice & Wealth Management, Products and Service Delivery

Ameriprise Financial, Inc.

Joseph E. Sweeney’s Biography

8:30am – 9:00am

Participants

Jay Clayton

9:00am – 9:30am

Participants

John C. Williams

Speaker

John C. Williams

President and Chief Executive Officer

Federal Reserve Bank of New York

John C. Williams’s Biography

9:30am – 10:00am

Featured Session to be Announced

10:00am – 10:30am

Participants

Brian Moynihan

Speaker

Brian Moynihan

Chairman of the Board and Chief Executive Officer

Bank of America

Brian Moynihan’s Biography

10:30am – 11:00am

Sponsored By: Google Cloud

Sponsored By: Google Cloud

11:00am – 12:00pm

Financial institutions are forming strategic partnerships to better protect investors and markets, manage risk and produce results for our clients. How are world-leading organizations  leveraging innovation and technology…

Financial institutions are forming strategic partnerships to better protect investors and markets, manage risk and produce results for our clients. How are world-leading organizations  leveraging innovation and technology at scale? Find out where you can build meaningful partnerships and produce real benefits for the industry at-large and the clients we serve.

The transition from the London Interbank Offered Rate (LIBOR) to the Secured Overnight Financing Rate (SOFR) and other alternative interest rate benchmarks is well underway, but much work…

The transition from the London Interbank Offered Rate (LIBOR) to the Secured Overnight Financing Rate (SOFR) and other alternative interest rate benchmarks is well underway, but much work lies ahead for the industry to implement a successful reference rate change by the end of 2021. With 800 days remaining before LIBOR’s potential end, walk through an implementation checklist and discuss obstacles and remedies to the transition.

In just ten years, seniors aged 65 and over will make up 18% of the U.S. population; it is vital we protect them from financial exploitation and the…

In just ten years, seniors aged 65 and over will make up 18% of the U.S. population; it is vital we protect them from financial exploitation and the dangers of cognitive decline. In a truly personal discussion with those partnering to advance the cause, see the impact of new FINRA rules and state laws plus gain insights on potential federal legislative developments.

12:05pm – 1:20pm

Sponsored By: FICO

Sponsored By: FICO

1:30pm – 2:30pm

Cyber continues to be the number one risk facing financial services. What is the current threat environment for our sector and how can we defend against it? Discuss…

Cyber continues to be the number one risk facing financial services. What is the current threat environment for our sector and how can we defend against it? Discuss extreme but possible scenarios like data destruction and learn the best practices being used to combat them.

Financial technology is changing how we interact with the markets, service providers, regulators and customers. Fast forward through the next decade: how will fintech have transformed the products,…

Financial technology is changing how we interact with the markets, service providers, regulators and customers. Fast forward through the next decade: how will fintech have transformed the products, services and business models of financial institutions?

European asset management regulations continue at a breakneck pace, with many legislative and regulatory initiatives in the works or on the horizon. As (or if) the dust settles…

European asset management regulations continue at a breakneck pace, with many legislative and regulatory initiatives in the works or on the horizon. As (or if) the dust settles post-Brexit, what will be the new world for offering asset management services in the UK and EU?

2:30pm – 2:50pm

Networking Break

2:50pm – 3:35pm

On building financial futures with client experience and investor protection.

On building financial futures with client experience and investor protection.

Participants

Kevin Alm, Lisa Kidd Hunt, Joseph E. Sweeney

Speakers

Kevin Alm

Principal - Client Strategies Group – Solutions

Edward Jones

Kevin Alm’s Biography

Lisa Kidd Hunt

Executive Vice President, International Services

Charles Schwab & Co., Inc.

Lisa Kidd Hunt’s Biography

Joseph E. Sweeney

President, Advice & Wealth Management, Products and Service Delivery

Ameriprise Financial, Inc.

Joseph E. Sweeney’s Biography

3:35pm – 4:20pm

Trade policy, Brexit, the 2020 elections, global recession risk… With uncertainty as the only common market theme, how do you navigate the global landscape? Piece together the outlook…

Trade policy, Brexit, the 2020 elections, global recession risk… With uncertainty as the only common market theme, how do you navigate the global landscape? Piece together the outlook for capital markets with expert insights on the economy, Washington environment, financial services industry and investment opportunities.

Participants

Brian Gardner, Catherine L. Mann, Katherine E. Nixon

Speakers

Brian Gardner

Managing Director, Washington Research

Keefe Bruyette & Woods

Brian Gardner’s Biography

Catherine L. Mann

Global Chief Economist

Citi

Catherine L. Mann’s Biography

Katherine E. Nixon

Executive Vice President and Chief Investment Officer

Northern Trust

Katherine E. Nixon’s Biography

4:20pm – 5:05pm

On running a business in tumultuous times - and with an inverted yield curve.

On running a business in tumultuous times – and with an inverted yield curve.

Participants

James Reynolds, Jr., Michael Durbin, Charlotte McLaughlin

Speakers

James Reynolds, Jr.

Chairman and Chief Executive Officer

Loop Capital Markets, LLC

James Reynolds, Jr.’s Biography

Michael Durbin

Head of Fidelity Institutional

Fidelity

Michael Durbin’s Biography

Charlotte McLaughlin

President & CEO

PNC Capital Markets

Charlotte McLaughlin’s Biography

5:05pm – 5:35pm

Featured Session To Be Announced

5:35pm – 5:35pm

Closing Remarks

Venue

JW Marriott Washington, DC

1331 Pennsylvania Avenue, NW
Washington, DC 20004

Comfort, sophistication and style. Ideally situated in the heart of downtown Washington, just moments from the National Mall and U.S. Capitol, this luxury hotel is at the center of it all.

Hotel Accommodations

Rates in SIFMA’s room block start at $315 per night and are quoted exclusive of taxes and fees. Rates expire on Friday, October 25; rooms are available on a first-come, first-serve basis and do sell out. Please confirm all cancellation policies directly with the hotel when booking your reservation.

 

Welcome Reception

Network at the iconic Washington landmark, the Smithsonian Institution’s National Museum of Natural History.

Picture of venue

Media

Media Inquiries
Contact Katrina Cavalli at 212.313.1181

Press 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. View our Code of Conduct and anonymous incident report form.

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.