ICI Equity, Fixed-Income & Derivatives Markets Conference - October 12, 2007 - Register Today, Space is Limited

 

[21617]

 

September 20, 2007

TO: ETF ADVISORY COMMITTEE No. 30-07
EQUITY MARKETS ADVISORY COMMITTEE No. 54-07
FIXED-INCOME ADVISORY COMMITTEE No. 26-07
INST. MONEY MARKET FUNDS ADVISORY COMMITTEE No. 27-07
MONEY MARKET FUNDS ADVISORY COMMITTEE No. 24-07
MUNICIPAL SECURITIES ADVISORY COMMITTEE SEC RULES MEMBERS No. 124-07
VARIABLE INSURANCE PRODUCTS ADVISORY COMMITTEE No. 19-07
CHIEF COMPLIANCE OFFICER COMMITTEE No. 19-07
CLOSED-END INVESTMENT COMPANY MEMBERS No. 55-07
COMPLIANCE MEMBERS No. 56-07
INTERNATIONAL MEMBERS No. 26-07
INVESTMENT ADVISER MEMBERS No. 28-07
PRIMARY CONTACTS - MEMBER COMPLEX No. 21-07
SMALL FUNDS MEMBERS No. 83-07 RE: ICI EQUITY, FIXED-INCOME & DERIVATIVES MARKETS CONFERENCE - OCTOBER 12, 2007 - REGISTER TODAY, SPACE IS LIMITED

 

The Investment Company Institute is sponsoring its Equity, Fixed-Income & Derivatives Markets Conference on October 12th in New York City at the Marriott Financial Center.  The conference will provide the latest information on regulatory developments, compliance issues, and market structure changes in the equity, fixed-income, and derivatives markets and its effect on institutional investors. Conference highlights and registration information is provided below.

Keynote Addresses by Erik R. Sirri, Director, Division of Market Regulation, U.S. Securities and Exchange Commission, John A. Thain, Chief Executive Officer, NYSE Euronext, and Theo Lubke, Senior Vice President, Federal Reserve Bank of New York.

A View from the Regulators panel, featuring senior officials from the SEC, FINRA, MSRB, and NYSE Regulation, examining the key issues impacting the equity, fixed-income, and derivatives markets, including a review of recent regulatory proposals and initiatives, an enforcement and litigation update, and a preview of upcoming regulatory priorities.

A View from the Industry panel, featuring senior buyside and sellside market participants, discussing the impact of changes in the securities markets on investment decisions, how to choose the optimal trading venue, soft dollars and research, and the changing relationship between institutional investors and the sellside.

NEW THIS YEAR – A Derivatives Markets panel, examining the latest issues impacting derivatives securities including understanding different types of derivatives, how derivatives are used by institutional investors, valuation issues, and risks associated with investments in derivatives.

NEW THIS YEAR – A Fixed-Income Markets panel, examining the latest issues impacting the municipal and corporate bond markets including developments in the trading of fixed-income securities, trade dissemination and reporting, best execution issues, and recent enforcement and litigation cases.

A Compliance Issues panel, focusing on trading issues impacting institutional investors, including establishing an effective trading compliance program, the side-by-side management of different investment products, trade confidentiality and information leakage, and trade allocation and aggregation policies.

A Globalization Issues panel, examining global trading trends and the impact on the U.S. securities markets, the impact of increased foreign market and broker-dealer access to U.S. investors, and the establishment of a mutual recognition regulatory regime.

Please visit the ICI conferences website at http://members.ici.org/conferences/main.do?id=EQU07 to register for the 2007 Equity, Fixed-Income & Derivatives Markets Conference.

 

Heather L. Traeger
Assistant Counsel