| Soft Dollars & Bundled Commissions – Industry and Regulatory Viewpoint | |
| Moderator:
Michael D. Udoff Vice President, Associate General Counsel and Secretary Securities Industry Association |
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| Panelists:
Larry E. Bergmann Senior Associate Director U.S. Securities and Exchange Commission |
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| Chris Buck
Executive Director Global Head, Soft Dollar and Directed Commissions UBS Investment Bank |
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| Gordon Midgley Director of Research Investment Management Association |
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Paul Wigdor |
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| Best Practices and Administration of Soft Dollars | |
| Moderator: John D. Meserve President BNY Research, Commission and Payment Services, LLC |
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| Panelists: David L. Brooks Director of Global Equity Trading The Boston Company Asset Management, LLC |
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| Mark D. Conforti Director, Institutional Equity Services Credit Suisse First Boston |
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| Mark R. Manley Senior Vice President, Deputy General Counsel and Chief Compliance Officer Alliance Capital Management L.P. |
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| George H. Mix Chairman, Trading Oversight Committee Columbia Management Advisors |
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| Soft Dollars: Myths and Realities | |
| Lisa A. Shalett Chairman and Chief Executive Officer Sanford C. Bernstein & Co., LLC |
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| Trends in Institutional Brokerage | |
| Moderator: Thomas V. Conigliaro Managing Director Goldman Sachs & Co. |
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| Panelists: James A. Bennett, Jr. Managing Director Greenwich Associates |
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| Gregory J. DeSalvo Vice President Goldman Sachs Asset Management Global Commission Management |
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| Charles Galligan Senior Managing Director Bear Stearns & Co., Inc. |
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| Kristi P. Wetherington President Capital Institutional Services, Inc. |
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| The Future of Research on Wall Street | |
| Moderator: Stephen J. Buell Managing Director, Equity Research Prudential Equity Group LLC |
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| Panelists: Daniel Blank President Independent Research Network (IRN) |
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| H. Perry Boyle, Jr. Director of Research SAC Capital Advisers |
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| Christian Ward Managing Director BNY Jaywalk, Inc. |
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| David Weild IV President and Chief Executive Officer The National Research Exchange |
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Thank you for attending SIA’s 2005 Soft Dollars & Institutional Brokerage Conference. If you did not do so already, please complete and return the reaction form.