Thursday, October 12, 2006

Presentations

Sessions

8:00 a.m. – 8:30 a.m.

8:30 a.m. – 8:45 a.m.

Welcome & Opening Remarks

Donald D. Kittell
Executive Vice President
Securities Industry Association

8:45 a.m. – 10:00 a.m.

Reg NMS Marketplace Implementation – Panel Discussion

Moderator:

Brandon Becker
Partner
WilmerHale

Panel:

Karen Lorentz
Managing Director, Competitive Analysis
NYSE Group, Inc.

Miranda Mizen
Senior Vice President, Transaction Services
American Stock Exchange LLC

Steven Joachim
Executive Vice President, Transparency Services
NASD

Paul A. Arber
Chief Technology Officer
National Stock Exchange, Inc.

Frank M. Hatheway
Chief Economist
The NASDAQ Stock Market, Inc.

Robert L. D. Colby
Deputy Director, Division of Market Regulation
U. S. Securities and Exchange Commission

10:00 a.m. – 10:30 a.m.

Moderator:

Howard L. Kramer
Partner
Schiff Hardin LLP

Panel:

Matthew Lavicka
Chairman, SIA Reg NMS OPR/Access Rule Implementation Working Group
Managing Director, Equity Trading
Goldman Sachs

Lawrence Leibowitz
Managing Director, Chief Operating Officer, Equities
UBS

Jeffrey T. Brown
Senior Vice President, General Counsel
Charles Schwab & Co., Inc.

Richard G. Wallace
Vice President and Chief Counsel, Market Regulation
NASD

David S. Shillman
Associate Director, Division of Market Regulation
U. S. Securities and Exchange Commission

11:00 a.m. – 11:30 a.m.

Reg NMS Broker/Dealer Implementation Panel – Discussion II

Moderator:

Howard L. Kramer
Partner
Schiff Hardin LLP

Panel:

Matthew Lavicka
Chairman, SIA Reg NMS OPR/Access Rule Implementation Working Group
Managing Director, Equity Trading
Goldman Sachs

Lawrence Leibowitz
Managing Director, Chief Operating Officer, Equities
UBS

Jeffrey T. Brown
Senior Vice President, General Counsel
Charles Schwab & Co., Inc.

Richard G. Wallace
Vice President and Chief Counsel, Market Regulation
NASD

David S. Shillman
Associate Director, Division of Market Regulation
U. S. Securities and Exchange Commission

11:30 a.m. – 12:30 p.m.

Reg NMS Operational/Technical Implementation Issues and Testing – Panel Discussion

Moderator:

John D. Panchery
Vice President and Managing Director
Securities Industry Association

Panel:

VIEW PDF

Deborah Mittelman
Senior Vice President, Compliance and Product Management
SunGard BRASS

Bruce S. Garland
Principal
Bloomberg Tradebook LLC

Manisha Kimmel
Executive Director
Financial Information Forum

Elizabeth Weintraub
Head of Information Technology
Bernard L. Madoff Investment Securities LLC

Andrew Kagan
Director, Head of Sell-Side Product Management
Lava Trading Inc.

VIEW PDF

Matthew S. Levine
Senior Vice President, Equities Compliance
Citigroup Global Markets, Inc.

Kathleen A. O’Mara
Associate General Counsel, Office of General Counsel
NASD

12:30 p.m.

Symposium Concludes