SIA Research Management Conference

Registration and Continental Breakfast

Welcome

Frank A. Fernandez
Senior Vice President, Chief Economist and Director of Research
Securities Industry Association

Opening Remarks and Introduction of Keynote Speaker

Marc E. Lackritz
President
Securities Industry Association

Keynote Speaker

Erik R. Sirri
Director of Market Regulation
U.S. Securities and Exchange Commission

Morning General Session

Consequences of Research Regulation

Moderator:

Stuart J. Kaswell
Partner
Dechert LLP

Panelists:

James Brigagliano
Acting Associate Director, Office of Trading Practices, Division of Market Regulation
U.S. Securities and Exchange Commission

William Jannace
Director of Rule and Interpretive Standards, Member Firm Regulation
NYSE Regulation, Inc.

Philip Shaikun
Associate Vice President and Associate General Counsel
NASD

Impact on Research Methods and Distribution

Moderator:

Michael Decker
Senior Vice President, Research and Policy
The Bond Market Association

Panelists:

Robert P. Anastasi
Senior Managing Director and Director of Equity Research
Raymond James Financial, Inc.

Margaret M. Cannella
Managing Director, Head of U.S. Corporate Research
JPMorgan Securities Inc.

Terry Gardner, Jr.
President
S-2 Research, Inc.

Michael Skutinsky Jr.
Executive Director
RIXML.org

Larry Tabb
Founder and Chief Executive Officer
The TABB Group

Luncheon with Speaker

Brad Hintz
Equity Research Analyst
Sanford C. Bernstein & Co., LLC, subsidiary of AllianceBernstein L.P.

Afternoon General Session

Practical Issues for Research:
Compensation, Communications and Conduct

Moderator:

George R. Kramer
Vice President and Deputy General Counsel
Securities Industry Association

Panelists:

Craig S. Barrack
Managing Director and General Counsel
Citigroup Investment Research

Roy M. Blumberg
Director of Research
Janney Montgomery Scott LLC

Yoon-Young Lee
Partner
Wilmer Cutler Pickering Hale and Dorr LLP

Lisa M.C. Thomas
Associate Director of Research – Liaison
Banc of America Securities LLC

Unintended Consequences: Out With The Old, In With The New Business Models

Moderator:

Frank A. Fernandez
Senior Vice President, Chief Economist and Director of Research
Securities Industry Association

Panelists:

Curt Bradbury
Chief Operating Officer
Stephens Inc.

Robert Brown
Managing Director, Head of Equity Research Division
Nomura Securities International

Matthew Carpenter
Managing Director and Director of Research Americas
Citigroup Investment Research

David H. Tenney
Managing Director, Co-Chief Operating Officer of Global Research, and Co-Director of Americas Research
Goldman, Sachs & Co.

Thomas S. White, Jr.
President
Best Independent Research LLC