ICI’s 2005 Equity Markets Conference to Be Held September 22 in New York
Market Experts and Securities Regulators to Explore Institutional Trading and Market Reforms
SEC’s Annette Nazareth, NYSE’s John Thain and Nasdaq’s Robert Greifeld to be Featured Speakers
Washington, DC, August 24, 2005 - The Investment Company Institute will sponsor a one-day conference to examine the evolution of the nation’s securities markets and its impact on institutional trading. The 2005 Equity Markets Conference will take place Thursday, September 22, at the New York Marriott Financial Center Hotel.
Featured speakers include Annette L. Nazareth, Commissioner of the U.S. Securities and Exchange Commission; John A. Thain, CEO of the New York Stock Exchange; and Robert Greifeld, President and CEO of The NASDAQ Stock Market.
In the keynote address, ICI President Paul Schott Stevens will offer his perspective on the importance of market reforms and their impact on mutual funds and their shareholders.
The morning program will consist of two issue panels covering a variety of equity markets topics. The first panel will focus on Regulation NMS and the NYSE Hybrid Proposal. Ari Burstein, Associate Counsel, Investment Company Institute, will moderate the panel, and speakers will include: Robert L.D. Colby, Deputy Director, Division of Market Regulation, U.S. Securities and Exchange Commission; Christopher R. Concannon, Executive Vice President, Strategy and Business Development, NASDAQ Stock Market; Kevin Cronin, Senior Vice President and Director of Trading, AIM Investments; and Robert J. McSweeney, Senior Vice President, New York Stock Exchange.
The second morning panel will address compliance challenges for the buyside, and will concentrate on soft dollars, trade allocation, transaction costs, and other compliance issues.
The panel will be led by Stephanie M. Monaco, Partner, Mayer, Brown, Rowe & Maw. Panelists include: Andrew M. Brooks, Vice President, Head of Equity Trading, T. Rowe Price Group; Gene A. Gohlke, Associate Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission; and Eric D. Roiter, General Counsel, Fidelity Management and Research.
The afternoon session will also include two panel discussions. The first afternoon panel will touch on the changing role of the broker. John J. Wheeler, Vice President and Director of U.S. Trading, American Century Investment Management, will moderate the discussion and panelists include: Alfred R. Berkeley, III, Chairman and CEO, Pipeline Trading Systems; Timothy J. Mahoney, Managing Director and Head of Equity Trading, Merrill Lynch Investment Managers; Robert H. McCooey, Jr., President and CEO, The Griswold Company; and Duncan Niederauer, Managing Director, Goldman Sachs.
The second afternoon panel will center on the proposed exchange mergers and the demutualization of exchanges. The panel will be led by Howard L. Kramer, Partner, Schiff Hardin. Panelists include: Alex Goor, Co-President, Instinet Group; John F. Malitzis, Vice President, Market Surveillance, New York Stock Exchange; David Shillman, Associate Director, Division of Market Regulation, U.S. Securities and Exchange Commission; and Douglas H. Shulman, President, Markets, Services and Information, NASD.
Conference registration is $675 for Institute members and $925 for nonmembers.
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NOTE: All sessions are open to the media. Working members of the news media interested in covering the 2005 Equity Markets Conference are asked to register with the Institute’s Public Communications Department in order to obtain press credentials.