Welcome

SIFMA’s Institutional Brokerage Conference: The Evolving Marketplace will address critical issues focused on the equity business from both the buy-side and sell-side perspective.  Hear from leading industry and regulatory professionals who will address the buy-side investment decision process, trade execution, client commission sharing arrangements, and the evolution of equity trading.  This conference will also focus on Section 28(e), proprietary and third party research, proposed amendments to Form ADV part 2 regarding Soft Dollar Disclosure, and transparency and disclosure issues.

 

This educational conference is a must for industry professionals involved in the buy-side and sell-side business, institutional sales, research, investment management, legal and compliance, strategic planning, and business development.  SIFMA is bringing together business and regulatory leaders to address the key issues that will influence and shape the future of the institutional brokerage business.

 

Some of the major issues addressed will include:

  • Legal and Compliance Issues
  • Buy-side Investment Decisions
  • Commission Sharing Arrangements
  • State of the Industry
  • Disclosure and Transparency
  • Proprietary/Third Party Research
  • The Evolution of Equity Trading
  • The Future of Institutional Brokerage
  • Client Commission Arrangements (Also known as Soft Dollars)
  • Trade Execution Venues
  • Proposed Amendments to Form ADV, Part 2 Regarding Soft Dollar Disclosure

 

 

For program information please contact Mary Ruggiero at (212) 313-1290, mruggiero@sifma.org

 

Sponsorship Opportunities

For sponsorship information please contact Kevin Fox at (212) 313-1292, kfox@sifma.org 

 

Registration

For registration information please contact Debbie Devine at (212) 313-1217, ddevine@sifma.org