The William C. Freund Center for the Study of Securities Markets
at the Lubin School of Business
Pace University
Joseph R. Baczko
Brandon Becker
William J. Brodsky
Derek Morris
Paul Bennett
Andrew M. Brooks
Marc Frimet
Alfred R. Berkeley
David Colker
Richard G. Ketchum
Annette L. Nazareth
Susan E. Sidd
William C. Freund
Mike Cormack
Paul E. Steiger
Marshall N. Carter
Larry Ingrassia
Robert Greifeld
David A. Caputo
Paul Maidment
Brian Sullivan
James Surowiecki
H. Bruce McEver
Brett W. Redfearn
Wayne Wagner
12th Annual
SECURITIES INDUSTRY
CONFERENCE
Doug Shulman
Wednesday, October 19, 2005
Pace University, New York City
Neal L. Wolkoff
Paul Maidment
Planning for the Future of the Securities Industry
SPONSORS
7:30–8:10 a.m.
Continental Breakfast
LEADERS
8:10–8:15 a.m.
Introductions
William C. Freund, Director, The William C. Freund
Center for the Study of Securities Markets,
Pace University
Joseph R. Baczko, Dean, Lubin School of Business,
Pace University
8:15–9:15 a.m.
Morning Keynote Interview
Paul E. Steiger, Managing Editor,
The Wall Street Journal
Marshall N. Carter, Chairman,
New York Stock Exchange
9:15–10:30 a.m.
Panel I
What Are the Biggest Challenges as Firms Adapt
to Changes in Industry Structure and Practices?
Brian Sullivan, Anchor, Bloomberg Television
Brandon Becker, Co-Chair, Securities Department,
Wilmer, Cutler, Pickering, Hale & Dorr
Paul Bennett, SVP & Chief Economist,
New York Stock Exchange
Andrew Brooks, VP & Head, Equity Trading,
T. Rowe Price
H. Bruce McEver, Chairman,
Berkshire Capital Securities
Derek Morris, SVP, Program Trading Business
Development, BNY Brokerage
Brett W. Redfearn, Senior Managing Director,
Bear, Stearns & Co. Inc.
The Archipelago Exchange
Bloomberg
New York Stock Exchange, Inc.
PATRONS
Anonymous Donor
NASD
National Stock Exchange, Inc.
New York Mercantile Exchange Charitable Foundation
Plexus Group, Inc.
State Street Global Markets
BENEFACTORS
The American Stock Exchange
Berkshire Capital Securities LLC
BNY Brokerage
BNY Securities Group
Chicago Board Options Exchange
Goldman Sachs
International Securities Exchange
Jefferies & Company, Inc.
Knight Capital Group, Inc.
LaBranche & Co.
The NASDAQ Stock Market, Inc.
NYFIX Millennium
Pipeline Trading Systems, LLC
Security Traders Association, Inc.
Sponsors and Agenda as of September 12, 2005
Moderator:
Panelists:
10:30–10:45 a.m.
Refreshment Break
12th Annual SECURITIES INDUSTRY CONFERENCE
10:45 a.m.–Noon
Moderator:
Panelists:
12:15–1:30 p.m.
Panel II
How Will Markets Adjust to the Demands of
Changing Technology?
James Surowiecki, Financial Page, The New Yorker
Alfred R. Berkeley, Chairman,
Pipeline Trading Systems
William Brodsky, Chairman & CEO,
Chicago Board Options Exchange
David Colker, CEO & President,
National Stock Exchange
Mike Cormack, President,
The Archipelago Exchange
Neal L. Wolkoff, Chairman & CEO,
The American Stock Exchange
Lunch
Introduction by Dean Joseph R. Baczko
Remarks by David A. Caputo, President,
Pace University
Scholarship Awards by William C. Freund
1:30–2:30 p.m.
Luncheon Keynote Interview
Larry Ingrassia, Business & Finance Editor,
The New York Times
Robert Greifeld, President & CEO,
The NASDAQ Stock Market
2:30–2:45 p.m.
Refreshment Break
2:45–4:00 p.m.
Moderator:
Panelists:
4:00 p.m.
Panel III
The Effects of New Standards and Regulations on
Securities Markets and Firms
Paul Maidment, Editor, Forbes.com, and
Executive Editor, Forbes
Marc Frimet, Managing Counsel,
The Bank of New York
Richard G. Ketchum, Chief Regulatory Officer,
New York Stock Exchange
Annette L. Nazareth, Commissioner,
Securities and Exchange Commission
Susan E. Sidd, Managing Director & Associate
General Counsel, Goldman, Sachs & Co.
Doug Shulman, President for Markets,
Services & Information, NASD
Wayne Wagner, Chairman, Plexus Group, Inc.
Closing Remarks
There will be 15 minutes of questions from
the audience at the end of each session.
Planning for the Future of the Securities Industry
Conference
Location:
Michael Schimmel Center for the Arts
Pace University
One Pace Plaza
New York, NY 10038
The Center is located near Wall Street in
Lower Manhattan, one block east of City Hall.
The entrance is on Spruce Street, between
Gold Street and Park Row.
REGISTRATION FORM
12th Annual Securities Industry Conference
Wednesday, October 19, 2005
To register, please complete the form below.
If you are paying by credit card, you may fax the form to (212) 262-9422.
Or please mail with your payment in the enclosed reply envelope to:
12th Annual Securities Industry Conference
c/o Catherine Gay Communications
140 Riverside Drive, Suite 1G, New York, NY 10024
For online registration: www.pace.edu/lubin/freundcenter
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$475 per person after October 3
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Advance registration is required. Conference fee includes breakfast, lunch and materials.
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Cancellations will be accepted until October 3 and are subject to a fee of $50.
Substitutions must be made in writing. Please send an e-mail to
[email protected] or fax to (212) 262-9422.