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    Benefits and Shortcomings of SEC Market Access Rule 15c3-5 and Cost of Implementation

    February 8, 2012, New York City

    This event will address the benefits and shortcomings of Rule 15c3-5 and asses the cost of implementing this rule. Given that this rule was created without any collaboration between the SEC, CFTC or global regulatory bodies, the speakers will highlight the missed opportunities for a true multi asset regulatory reform and the challenges of implementing a rule just for SEC regulated financial instruments from a compliance, operational and technology perspective.

    Agenda     

    7:15 - 7:30

    		  

    Registration

    7:30 - 8:00

    		  

    Networking Breakfast

    8:00 - 8:30

    		  

    Keynote: Evolution of Market Access Rule 15c3-5 and How It Will Address Gaps in the Current Environment

    MIKE R. TROCCHIO, Esq. Of Counsel, Bingham

    8:30 - 9:15

    		  

    Panel One: Key Elements of 15c3-5, Including Controls and Procedures, Program Structure and Ownership

    ELIN CHERRY, Managing Director, Deputy Director of Compliance, Societe Generale

    CLAUDIA CROWLEY, CEO & Chief Regulatory Officer, NYSE Regulation

    AEGIS FRUMENTO Esq., Partner, Stern Tannenbaum & Bell

    9:15 - 10:00

    		  

    Panel Two: Challenges and Opportunities: Operational and Technical Perspectives on 15c3-5 and Its Impact on the Market

    ROB HEGARTY, Global Head of Market Structure, Thomson Reuters

    KEITH R. PAJONAS, Senior Manager, Financial Services, Ernst & Young LLP

    HARSHAD PITKAR, Manager, Financial Services, Ernst & Young LLP

    RALSTON ROBERTS, Senior Managing Director, Capital Markets, Sungard
    Registration    
    Fee  

    $95 per person (Breakfast included)

    Registration is currently closed.

    Click here to view or print out handout.

    Location    

     

    Address  

    Bayards
    One Hanover Square (between Stone and Pearl Streets)
    New York, NY 10004 

    Direction  

    From West Side Highway:
    Take West Side Highway to Battery Park. Make left on Battery Pl., continue until the street turns into State St., then continue for approximately 2 traffic lights and make a left on Hanover Square.

    From FDR:
    FDR South to Exit 1 (Battery Park, Staten Island Ferry), make right on Broad St. Make right at first traffic light on Water St., go 2 traffic lights to Hanover Square and make a left.

    From Brooklyn Battery Tunnel:
    When exiting tunnel, stay to the left of the traffic light and turn left at the light. When making the left turn, stay right (do not go into underpass), continue on to Battery Place. Make left on Battery Pl., continue until the street turns into State St., then continue for approximately 2 traffic lights and make a left on Hanover Square.

    From Broadway:
    Take Broadway South to Liberty Street, make a left on Liberty Street, Continue for 5 Blocks to Pearl Street. Make a right on Pearl Street, Take Pearl Street to Hanover Square

    From Brooklyn Bridge:
    2nd exit (FDR and Pearl St.) Make a right at traffic light. Take Pearl St. to Hanover Square.

    Subway:
    #2 or 3 to Wall St.
    #4 or 5 to Wall St. or Bowling Green
    #R or W to Whitehall St./South Ferry

     



     

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