We wish to thank the following sponsors:

Attendees’ Notebooks: Compliments of Bernard L. Madoff Investment Securities LLC

Event Program Cards: Compliments of Lightbulb Press, Inc.

Hotel Key Cards & Rings: Compliments of First Clearing Correspondent Services

Press Room Catering, November 8th: Compliments of Standard & Poor’s

Press Room Catering, November 9th: Compliments of Knight Capital Group, Inc.

Tote Bags: Compliments of Pershing LLC

Conference Contributor: PAETEC Communications, Inc., Quodd Financial Information Services,
                                           Telecontinuity, Inc.

 

wednesday, november 8, 2006

 

9:30 a.m. – 4:00 p.m.

Industry Forum

Advanced sign-up required.

(By invitation only* – Closed to the Press)

·         Regional Firms

 

11:00 a.m. – 12:30 p.m.

Government Sponsored Enterprises (GSE) Roundtable

(By invitation only – Closed to the Press)

 

Followed by Golf Outing from 1:15 p.m. – 6:00 p.m.

(By invitation only – Closed to the Press)

 

 

12:00 p.m. – 2:00 p.m.

Committee Meeting

(Open to Committee Members Only – Closed to Press)

·         Savings & Retirement

 

 

12:00 p.m. – 7:00 p.m.

Registration

Welcome Refreshments hosted by PriceMetrix Inc.

 

2:00 p.m. – 5:00 p.m.

Industry Forum

Advanced sign-up required.

Refreshments hosted by Omgeo

(By invitation only* – Closed to the Press)

·         Diversity

·         Retirement

·         Small Firms

·         Technology Operations

 

2:00 p.m. – 5:00 p.m.

Committee Meetings

(Open to Committee Members Only – Closed to the Press)

·         Membership Committee

·         SII Board of Trustees

 

 

6:00 p.m. – 7:30 p.m.

Evening Reception

Co-Hosted by DST Systems, Inc., Evare, LLC, Swingvote, LLC, and Thomson Financial – Transaction Services

 

7:45 p.m. – 9:45 p.m.

Dinner

Advanced sign-up required.

Co-Hosted by ADP Brokerage Services Group, Business Propulsion Systems Inc. (BPS), Dow Jones Newswires, and KPMG LLP

 

Featured Entertainment

Trisha Yearwood

Grammy Award Winning Artist

Co-Hosted by Capco, Comprehensive Software Systems (CSS), Navigant Consulting, and PFPC Inc.

 

Thursday, November 9, 2006

 

7:30 a.m.

Registration

 

7:45 a.m. – 8:50 a.m.

Breakfast with Speaker

Advanced sign-up required.

Breakfast Hosted by SunGard

Ben Stein on Life and Retirement

Ben Stein

Actor, Economist and Former Host of Win Ben Stein’s Money

Co-Hosted by Juniper Networks and PricewaterhouseCoopers

 

Ben Stein is a profoundly unique individual who has had the good fortune to have "been there and done that" in a myriad of professions that many of us only dream about, see on television, or read about in the news. Always entertaining, always informative and possessing expertise in everything from law to the current retirement crisis.

 

 

9:00 a.m. – 12:00 p.m.

General Session

James P. Gorman

Co-Chair

Securities Industry and Financial Markets Association

President & Chief Operating Officer, Global Wealth Management Group

Morgan Stanley

Micah S. Green

Co-CEO

Securities Industry and Financial Markets Association

Marc E. Lackritz

Co-CEO

Securities Industry and Financial Markets Association

Mary Schapiro

Chairman & CEO

NASD

John Thain

Chief Executive Officer

NYSE Group Inc.

 

Morning Refreshments

Hosted by The Wall Street Journal

 

12:15 p.m. – 2:00 p.m.

Lunch with Speaker

Advanced sign-up required.

Lunch Hosted by NewRiver, Inc.

Understanding Islam and the Muslim World

Prime Minister Benazir Bhutto

Former Prime Minister of Pakistan

Co-Hosted by Forbes and National Stock Exchange

Based on her experiences, Prime Minister Bhutto offers a window into the Muslim World and the epic political power struggles being played out in all corners of the world today.

 

3:15 p.m. – 5:15 p.m.

SIFMA Transitional Executive Committee Meeting

(Open to SIFMA Executive Committee Members Only – Closed to the Press)

 

 

2:30 p.m. – 5:30 p.m.

Industry Forums

Advanced sign-up required.

(By invitation only* – Closed to the Press)

·         Business Continuity Planning

·         Independent Firms

·         Institutional Firms

·         Investor Education (until 4:30 p.m.)

·         Private Client Services

·         Regional Dealers Fixed Income Leadership

·         State Regulation and Legislation

 

Afternoon Refreshments During Industry Forums

Hosted by eFinancialCareers.com

 

2:30 p.m. – 5:30 p.m.

Committee Meetings

(Open to Committee Members Only – Closed to the Press)

·         Operations Committee

·         Trading Committee

 

6:00 p.m. – 7:30 p.m.

Reception

Co-Hosted by Deloitte & Touche LLP, Federated Investors, IBM and NICE Systems

 

7:30 p.m.

Dinner on your own

 

friday, november 10, 2006

 

8:00 a.m. – 9:00 a.m.

Continental Breakfast

Hosted by Pivotal Corporation

 

9:00 a.m. – 11:30 a.m.

General Session

Edward C. Forst

Co-Chair

Securities Industry and Financial Markets Association

Chief Administrative Officer

The Goldman Sachs Group

Christopher Cox

Chairman

U.S. Securities and Exchange Commission

Charles Cook

Editor and Publisher

The Cook Political Report

Co-Hosted by National Financial, a Fidelity Investments company, Rapid Solutions Group and Reuters

 

Charlie Cook discusses recent elections and takes a look at upcoming 2008 elections.

 

10:00 a.m. – 11:30 a.m.

Committee Meetings

(Open to Committee Members Only – Closed to the Press)

·         Federal Regulation Committee

 

 

 

 

* If you are interested in attending an Industry Forum, please contact Alexandra Flora at: aflora@sia.com

 

All program content is subject to change.

 

Special Note: Presentations, findings and opinions by speakers, sponsors, and their representatives do not constitute the express or implied endorsement by SIFMA of any product, service, presentation or technology; nor does SIFMA take responsibility for any content and subject matter supplied.