FINRA’s 360° Review 15 264 - Security Traders Association · Chicago Stock Exchange* Deutsche...
Transcript of FINRA’s 360° Review 15 264 - Security Traders Association · Chicago Stock Exchange* Deutsche...
Diverse Audience of Industry Professionals
2017 Market Structure Conference
Session Highlights
SEC Commissioner Michael S. Piwowar Opened the conference to standing room only crowd
FINRA President & CEO Robert CookCommented on findings from FINRA’s 360° Review
U.S. Congressman Bill HuizengaEngaging Fireside with Patomak CEO Paul Atkins
2nd Annual STA Women in Finance SymposiumKeynote address by OpenDoor Trading CEO Susan Estes
Dictum Meum Pactum AwardPresented to Andy Brooks of T. Rowe Price
Friday’s Fireside FinishesSenior-level thought leaders discussed pertinent industry issues
For more information on STA and the STA Market Structure Conference, including sponsorship opportunities, contact STA at [email protected] or 646.699.5996.
Attendance Growth Attendees Got Connected
Effectively used conference app to educate attendees• Prep for panel sessions • Pose questions directly to presenters• Peruse end-of-day Williams &
Jensen notes2017: 6622012: 415
Growth Rate: 60% 336, or 51% of conference attendees downloaded the app
91%rated the app as useful or very useful
Save The Date
October 3-5, 201885th Annual Market Structure ConferenceJW Marriott Washington DC
68 Sell Side
Law Firms/ Consultants
18
16 Principal Trading Firms
Gov’t/ Regulator SRO
9
12 Retail Order
Entry
Press
12
15 Exchanges
11 ATS
Vendors
39
Buy Side
51
Firms Attended
264
83% Firm
Retention Rate
51 New Firms
ATSBIDS Trading*CODA Markets*Delaware Board of TradeITG*ITG CanadaLeveL ATS*LiquidnetLuminex Trading & AnalyticsMATCHNowOmega SecuritiesOTC Markets Group*
BUY-SIDEAkuna CapitalAllianz Global InvestorsBirch Bay CapitalBlackRockBMO Global Asset ManagementCalPERSCapital GroupCapital Research & Management CompanyCharles Schwab Investment ManagementClearBridge InvestmentsClearwater CapitalConnor Clark & Lunn Investment ManagementCortinaEaton VanceFidelity InvestmentsFifth Third BankFranklin TempletonGeneva Capital ManagementHerndon Capital ManagementHodges Capital Management*InvescoJ.P. Morgan Asset ManagementJanus HendersonKavout Asset Management/ Kavout SecuritiesLampost CapitalMan GLGManulife Asset ManagementMarshall WaceMarsico CapitalNextSharesNuance InvestmentsOBXOFI SteelPath Inc.Oppenheimer FundsPineBridge InvestmentsPoint72ProSharesQuantlab FinancialRainier Investment ManagementRiverbridge PartnersState Street Global AdvisorsT. Rowe PriceTBD TradingTD Asset ManagementTexas TeachersUS TrustVanguardVoya Investment ManagementWaddell & ReedWestern Southern FinancialWisdomTree
CONSULTANTAplomb Strategies* Burton-Taylor International ConsultingDeloitteDJM AdvisorsElinphant*Financial Information ForumGreenwich AssociatesJordan & JordanJory Global ConsultingMulry ConsultingPatomak Global Partners
TABB GroupUSAM GroupViableMkts
CORRESPONDENT/ PRIME CLEARINGABN AMRO Clearing Bank NVABN AMRO Clearing ChicagoBank of America Merrill Lynch*COR ClearingETCEXCHANGEAequitas NEO ExchangeBats Global Markets a CBOE Company*BOX Options ExchangeCanadian Securities ExchangeCBOEChicago Stock Exchange*Deutsche Borse GroupICEIEX Trading*Johannesburg Stock ExchangeMIAX OptionsNasdaq*Nasdaq CanadaNYSE*TMX Group*
FOUNDATION/ACADEMICFoundation for Women WarriorsGeorgetown University
GOVERNMENT/ REGULATOR/SROCommodity Futures Trading CommissionDTCC*Embassy of CanadaFINRAHouse Committee on Financial ServicesIIROCOptions Clearing CorporationSecurities and Exchange CommissionU.S. Department of the Treasury
INSURANCELiberty Mutual
LAW FIRMBradley Arant Boult CummingsMurphy & McGonigle*Sidley Austin*Williams & Jensen
PRESSBloomberg BNABloomberg NewsCuratiaJapanese Fund Management MagazineJohn Lothian NewsMarkets MediaMLex Market InsightNasdaqPoliticoS&P Global Market IntelligenceThe Wall Street JournalTraders Magazine
PRINCIPAL TRADING FIRMChicago Trading Company*Flow TradersGroup One Trading*Hudson River TradingIMC*Jane Street*Jump TradingOptiver US*RGM SecuritiesSun Trading*
Security Traders Association, Inc. 1115 Broadway | NYC 10010 646.699.5996 www.securitytraders.org
Tower Research CapitalVirtu Financial*Walleye TradingWolverine SecuritiesXR Trading*XTX Markets (Americas)
RETAIL ORDER ENTRYAmeriprise FinancialCetera Financial GroupCharles Schwab & Co.E*TRADEEdward Jones*Fidelity Capital Markets*RBC Wealth ManagementScottrade*TD AmeritradeTradeStation SecuritiesWells Fargo*Wells Fargo Advisors
SELL-SIDEBank of America Merrill Lynch*Barclays*BernsteinBloombergBloomberg TradebookBMO Capital MarketsBNY Mellon*Canaccord GenuityCantor Fitzgerald*CAPIS*CIBC Capital MarketsCIBC World MarketsCitadel Securities*Citi*CLSA AmericasCowen & Co.Credit Suisse*Deutsche Bank*Drexel Hamilton*Engineers Gate*Euro Pacific CapitalEvercore ISIFBR* Fidelity Capital Markets*G1X-SusquehannaGlobal Execution BrokersGlobal Liquidity PartnersGoldman Sachs*Guggenheim PartnersGuzman & Company*HSBCHyannis Port ResearchInstinet*Instinet CanadaINTL FCStone*J.P. Morgan*Jefferies*JonesTrading*KeyBanc*Lime Brokerage*Macquarie CapitalMacquarie GroupMizuho Securities USAMorgan Stanley*National Bank FinancialNeedham & Co.OneChronosOpenDoor TradingOppenheimer & Co.*Piper JaffrayPotamus TradingRBC Capital Markets*Robert W. Baird & Co.*Rosenblatt SecuritiesScotiabankSiebert Cisneros Shank & Co.Stifel*Susquehanna International Group*TD Securities*The PrivateBank and Trust Company
Themis TradingTwo Sigma Securities*UBS*Virtu Financial*Wedbush FuturesWeeden & Co.*Williams Capital GroupWolverine Execution Services*
TRADE ASSOCIATIONBoston STA*Canadian Security Traders Association*Carolina STA*Dallas STA*Georgia Securities Association*Kansas City Securities Association*Minnesota Security Dealers Association* Modern Markets InitiativeOhio STA* Security Traders AssociationSIFMASTA Chicago*STA Connecticut*STA Los Angeles*STA St. Louis*STA Wisconsin* STANY
VENDORBestXStats*Bloomberg Open Symbology/ FIGIBWS FinancialCapgeminiCapital Markets GatewayClearpool Group*Colt TechnologiesDash Financial Technologies*Deep ValueETF GlobalEventus SystemsExegyFidessa*Fidessa CanadaFinmax TechFIS - Fox RiverFlexTrade SystemsHanweck*IHS Markit*Kx Systems*NewsedgePragma*Rival SystemsS&P Dow Jones IndicesS3*SILEXX OEMSSmart TrakkerSoftekSolixSpeedRouteSterling Trading TechThesys CATThesys TechnologiesThomson Reuters*Trade InformaticsTRAFiXTrillium*Vela*Velocity Trade Capital
2017 Attending Firms (by firm type)
86 *Sponsors