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October 10, 2001
TO: ACCOUNTING/TREASURERS MEMBERS No. 29-01
CLOSED-END INVESTMENT COMPANY MEMBERS No. 32-01
COMPLIANCE ADVISORY COMMITTEE No. 47-01
EQUITY MARKETS ADVISORY COMMITTEE No. 36-01
INTERNATIONAL MEMBERS No. 19-01
INVESTMENT ADVISER MEMBERS No. 25-01
OPERATIONS MEMBERS No. 22-01
PRIMARY CONTACTS - MEMBER COMPLEX No. 76-01
SEC RULES MEMBERS No. 68-01
SMALL FUNDS MEMBERS No. 29-01
TRANSFER AGENT ADVISORY COMMITTEE No. 76-01
RE: 2001 EQUITY MARKETS CONFERENCE - REMINDER
The Investment Company Institute’s Equity Markets Conference will be held as
scheduled on Wednesday, October 24, 2001, at the Hilton New York, 1335 Avenue of the
Americas, New York, New York.
The conference will feature panel discussions covering a variety of equity markets
issues. The morning session will consist of a panel on the listed securities market including a
discussion of the impact of decimalization on institutional trading and the role of regional
exchanges, as well as a panel on compliance issues and institutional trading including a
discussion of best execution and soft dollars. Moderators and speakers for the morning session
include: Catherine R. Kinney, Group Executive Vice President, New York Stock Exchange; Gus
Sauter, Managing Director, The Vanguard Group; Robert B. Fagenson, Vice Chairman, Van
Der Moolen Specialists USA; Gerald T. Lins, General Counsel, ING Furman Selz Asset
Management; Andrew M. Brooks, Vice President and Head of Equity Trading, T. Rowe Price
Associates; Peter Jenkins, Managing Director and Head of Global Equity Trading, Zurich
Scudder Investments; John A. McCarthy, Associate Director, Market Oversight, Office of
Compliance Inspections and Examinations, Securities and Exchange Commission; Thomas P.
Lemke, Partner, Morgan Lewis; and Robert Schwartz, Professor of Finance, Baruch College.
Laura S. Unger, Commissioner, U.S. Securities and Exchange Commission, will be the
featured luncheon speaker.
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The afternoon session will consist of a panel on the Nasdaq Stock Market including a
discussion of commission-based trading in the Nasdaq Market and the SuperSOES and
SuperMontage systems, as well as a panel on institutional trading tools including a discussion
of institutional trading platforms and ECNs and electronic exchanges. Moderators and
speakers for the afternoon session include: Robert L.D. Colby, Deputy Director, Division of
Market Regulation, U.S. Securities and Exchange Commission; Bruce Turner, Executive Vice
President, The Nasdaq Stock Market; Joseph Della Rosa, Managing Director, Goldman Sachs;
Michael Cormack, President, Archipelago; Seth Merrin, Chief Executive Officer, Liquidnet;
Christopher Heckman, Managing Director, ITG; Leo Smith, Managing Director and Head of
Equity Trading, Putnam Funds; Richard P. Felegy, Senior Vice President, Morgan Stanley
Investment Management; John J. Wheeler, Manager – Equity Trading, American Century
Investment Management; and Ann C. Hartwell, Senior Vice President and Director of Equity
Trading, MFS Investment Management.
If you have not yet registered for the Conference, please return the registration form and
the appropriate fee to the Institute’s Conference Division as soon as possible. Online
registration is available at http://conferences.ici.org. Additional meeting and registration
information also is available by contacting the Institute’s Conference Division at 202-326-5968,
by mail at 1401 H Street, NW, Suite 1200, Washington, DC 20005, or by fax at 202-326-8307.
Ari Burstein
Associate Counsel