SEC to Hold Equity Market Structure Advisory Committee this Week

The Securities and Exchange Commission has scheduled its Equity Market Structure Advisory Committee for April 5 beginning at 9:30 AM ET.  

The meeting will include updates from the four subcommittees, including presentations from the Regulation NMS subcommittee on Rule 611 and the Trading Venues Regulation subcommittee on SRO rule-based limitations of liability and regulatory centralization.

The meeting will be held at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C., and is open to the public.  It also will be webcast live on the SEC’s website.

The agenda is published below.

SEC Equity Market Structure Advisory Committee

9:30 a.m.         Welcoming Remarks by Acting SEC Chair Piwowar, Commissioner Stein, and Acting Director of Trading and Markets, Heather Seidel

10:00 a.m.       Regulation NMS Subcommittee Presentation and Preliminary Recommendations Relating to Rule 611

10:10 a.m.       Discussion of Rule 611 and Preliminary Recommendations

  •  Jeff Brown, SVP, Legislative & Regulatory Affairs, Charles Schwab
  • Charles Jones, Professor of Finance & Economics, Columbia Business School
  • Adam Nunes, Head of Business Development, Hudson River Trading
  • Paul Russo, Global Co-COO – Equities, Goldman Sachs
  • Thomas Wittman, EVP for Global Equities & CEO, NASDAQ/PHLX/ISE/BX Exchanges

11:30 a.m.       Lunch

12:30 p.m.       Trading Venues Regulation Subcommittee Presentation on Regulatory Centralization and Preliminary Recommendations Relating to SRO Rule-Based Limitations of Liability

12:40 p.m.       Discussion of Regulatory Centralization and Preliminary Recommendations

  • Anthony Albanese, Chief Regulatory Officer, NYSE
  •  Lev Bagramian, Senior Securities Policy Advisor, Better Markets, Inc.
  •  Thomas Gira, EVP, Market Regulation & Transparency Services, FINRA
  • John Kerin, CEO & President, Chicago Stock Exchange
  •  Brett Redfearn, Global Head of Equity Market Structure Strategy, JP Morgan Securities

2:00 p.m.         Break

2:15 p.m.         Market Quality Subcommittee Status Report to the Committee

2:45 p.m.         Customer Issues Subcommittee Status Report to the Committee

3:15 p.m.         Discussion of Next Steps / Adjournment 

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