SIA’s third Regulation NMS Symposium will once again provide you with up-to-the-minute information on what the industry is doing to implement Regulation NMS.  This far-reaching regulation is dramatically transforming the landscape of the equity markets, and this third in a series of educational programs on the subject is a “not to miss” event.  Central to the Symposium program are the new SEC implementation milestones that have been released, including the impact they will have on your firms and what you need to do to be in compliance with them.  Hear the unique perspectives of industry leaders and representatives from the SEC, SROs, SIPs, and Plan Administrators.

 

Topics to be covered at this event include:

·       Review of all the SRO rule filings/new market changes to date, and resulting final specs

·       Discussion of what firms are implementing with regard to their internal policies and procedures

·       Review of any new SEC interpretative Qs & As, as well as possible exemptive relief from the Order Protection Rule

·       Operational and systems programming concerns

·       ITS – What is happening there?

·       Industry testing schedules

·       Surveillance issues and programs

·       A look at what is happening since the implementation of the subpenny rule

 

 

                             Plus much, much more….

 

 

Who Should Attend:

Due to the far-reaching nature of Regulation NMS, this Symposium is a must for senior professionals involved in trading, technology, compliance, operations and legal areas.  All firms will benefit from attending this important event.

 

This event is not open to members of the Press.