“We want to share with representatives of our member organizations and other interested parties best practices, trends and new ideas,” said Richard G. Ketchum, chief executive officer, NYSE Regulation, Inc. “I’m glad to invite back last year’s attendees, and welcome new participants.”
Ketchum formally opens the conference on Monday morning with an update on NYSE Regulation, detailing recent progress and mapping out priorities and expectation for the future. A discussion with NYSE Regulation’s senior officials immediately follows. Ketchum will be joined by Robert A. Marchman, executive vice president of Market Surveillance; Susan L. Merrill, chief of Enforcement; and Grace B. Vogel, executive vice president, Member Firm Regulation. Other highlights planned for Monday include an “Enforcement Perspectives” general session with Merrill; James S. Shorris, head of Enforcement, NASD; Patricia D. Struck, president, North American Securities Administrators Association (NASAA); and Linda C. Thomsen, director, Division of Enforcement, U.S. Securities and Exchange Commission (SEC). There will also be a luncheon presentation by NYSE Group, Inc. CEO John A. Thain titled “Leadership in Today’s Global Capital Markets.”
Dr. Shirley Ann Jackson, chairman of NYSE Regulation, Inc. will welcome attendees with her opening remarks on Tuesday, June 20. Ketchum will then moderate a panel exploring how leaders in electronic trading are reshaping the securities world and how industry personnel and regulators must respond to new compliance challenges. Lori Richards, director of the SEC’s Office of Compliance Inspections and Examinations, will speak Tuesday morning. At lunch, SEC Commissioner Annette L. Nazareth will be the featured speaker.
Like last year’s event, there also will be a dozen workshops covering multiple aspects of market regulation and oversight. These frank, practical discussions will feature leading experts, NYSE Regulation top executives, seasoned legal advisers, and representatives from some of the largest U.S. securities firms.
Workshop titles include: “Institutional Trading Issues,” “Risk-Based Approach to Financial/Operational and Sales-Practice Exams,” “Market Surveillance Update: Hybrid Market, Reg NMS and Beyond,” Electronic Communications Best Practices,” and “A New Age of Branch-Office Supervision.”
In addition to the 12 workshops, four general sessions and the guest speakers, there will a Hybrid Market Demonstration Trading Session on Tuesday morning, and a reception at the hotel upon conclusion of Monday’s proceedings. Attire for both days of the conference is business casual. Many sessions will be open to registered media.
For more information about NYSE Regulation and the 2006 conference, please visit www.nyseregulation.com.