SEC Schedules Conference on “The State of Our Securities Markets”

The US Securities and Exchange Commission (SEC) has scheduled a conference tackling the topic of “The State of Our Securities Markets.” The event, which is open to the public, will take place on December 4th, 2019 at SEC HQ on F Street in Washington, DC. The SEC is currently accepting registrations here.

The precise agenda will be published at a later date but the Commission has posted a list of participants including SEC Chairman Jay Clayton, Risk Analysis Director S.P. Kothari, and Division of Investment Management Director Dalia Blass.

The “outside experts” include:

  • Tobias Adrian, Financial Counsellor and Director, Monetary and Capital Markets Department, International Monetary Fund
  • Gary Cohn, former Director of the National Economic Council
  • Nate Goldstein, Assistant Chief, Economic Analysis Group, Antitrust Division, U.S. Department of Justice
  • Glenn Hutchins, Co-founder, Silver Lake Partners
  • Marko Kolanovic, Global Head of Macro Quantitative and Derivatives Research, J.P. Morgan
  • Jennifer Marietta-Westberg, Principal, Cornerstone Research
  • Tara Muller, Head of Off-Exchange Liquidity, Virtu Financial
  • Craig Phillips, former Counselor to the Secretary of the U.S. Department of the Treasury
  • Justin Schack, Managing Director and Partner, Rosenblatt Securities
  • Howard Shelanski, Partner, Davis Polk & Wardwell LLP; Professor of Law, Georgetown University; former Administrator of the White House Office of Information and Regulatory Affairs; former Director, Bureau of Economics, Federal Trade Commission
  • Gillian Tett, Chair of Editorial Board and Editor-at-large, Financial Times

In recent years, private markets have boomed while public markets have bounced along. Some industry followers describe initial public offerings more of an exit opportunity than a point when retail investors can join along. Examples such as the Wework debacle do not help the narrative.

Meanwhile, Fintech and digitization of all financial services have fueled a boom in innovation. This includes online capital formation.

The SEC is currently reviewing the exemption ecosystem, as described by a concept release, and considering potential changes to current rules. Expect some of the discourse to tackle the concept release topics.

The event will also be live-streamed on the SEC website.

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