KENNETH E. BENTSEN, JR. President and CEO SIFMA
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1 TUESDAY, NOVEMBER 10 7:00 AM 5:00 PM REGISTRATION HOURS Event Lobby 7:00 AM 8:15 AM BREAKFAST The Ritz-Carlton Ballroom Foyer HOSTED BY McGraw Hill Financial 7:30 AM 7:45 AM WELCOME The Ritz-Carlton Ballroom, Salons I & II KENNETH E. BENTSEN, JR. President and CEO SIFMA WILLIAM A. JOHNSTONE Executive Chairman D.A. Davidson Companies Former Chairman SIFMA Board of Directors 7:45 AM 8:20 AM ONE-ON-ONE WITH The Ritz-Carlton Ballroom, Salons I & II TREASURY SECRETARY JACOB J. LEW JOHN F. W. ROGERS Executive Vice President, Chief of Staff and Secretary to the Board Goldman, Sachs & Co. Chairman SIFMA Board of Directors JACOB J. LEW Secretary of the Treasury United States Treasury 8:20 AM 8:50 AM ONE-ON-ONE WITH The Ritz-Carlton Ballroom, Salons I & II SEC CHAIR MARY JO WHITE EVAN PEREZ Justice Reporter CNN MARY JO WHITE Chair U.S. Securities and Exchange Commission (SEC) 8:50 AM 9:15 AM NETWORKING BREAK The Ritz-Carlton Ballroom Foyer HOSTED BY Tradeweb SIFMA ANNUAL MEETING
2 9:15 AM 10:00 AM GENERAL SESSION PANEL: The Ritz-Carlton Ballroom, Salons I & II THE VIEW FROM THE STATES JACOB SCHLESINGER Editor, Financial Regulation The Wall Street Journal GOVERNOR ASA HUTCHINSON 46 th Governor of Arkansas GOVERNOR TERRY MCAULIFFE 72 nd Governor of Virginia 10:00 AM 10:25 AM ONE-ON-ONE WITH The Ritz-Carlton Ballroom, Salons I & II RAYMOND JAMES CEO PAUL REILLY MARY THOMPSON Reporter CNBC PAUL REILLY Chief Executive Officer Raymond James Financial 10:25 AM 10:50 AM ONE-ON-ONE WITH WELLS FARGO The Ritz-Carlton Ballroom, Salons I & II ADVISORS PRESIDENT MARY T. MACK MARY THOMPSON Reporter CNBC MARY T. MACK President and Head Wells Fargo Advisors, LLC 12 SIFMA ANNUAL MEETING 2015
3 11:00 AM 12:00 PM THOUGHT LEADER SESSION: The Ritz-Carlton Ballroom, Salon III B CYBERSECURITY TODAY AND IN THE FUTURE - PERSPECTIVES FROM THE FRONT LINES KARL SCHIMMECK Managing Director, Financial Services Operations SIFMA MATTHEW CHUNG Managing Director and Chief Information Officer of Technology & Information Risk Morgan Stanley SHAWN HENRY President & Chief Security Officer CrowdStrike Services MELODY HILDEBRANDT Director of Cybersecurity Palantir Technologies DR. GREGORY J. RATTRAY Director of Global Cyber Partnerships & Government Strategy JP Morgan Chase SIFMA ANNUAL MEETING
4 11:00 AM 12:00 PM THOUGHT LEADER SESSION: The Plaza Ballroom VIEWS FROM REGULATORS AROUND THE GLOBE DOUGLAS J. ELLIOTT Fellow, Economic Studies, Initiative on Business and Public Policy Brookings Institution ASHLEY IAN ALDER Chief Executive Officer Securities and Futures Commission (HK) CHARLES ROXBURGH Director General, Financial Services HM Treasury (UK) ALMORO RUBIN DE CERVIN Head of Unit, Financial Services Policy and International Affairs European Commission DAVID WRIGHT Secretary General International Organization of Securities Commissions (IOSCO) 14 SIFMA ANNUAL MEETING 2015
5 11:00 AM 12:00 PM THOUGHT LEADER SESSION: The Ritz-Carlton Ballroom, Salon III A CHIEF ECONOMIST ROUNDTABLE - WHERE DO WE GO FROM HERE? ETHAN S. HARRIS Co-Head of Global Economics Research Bank of America Merrill Lynch BETH ANN BOVINO U.S. Chief Economist, Global Economics and Research Standard & Poor s Rating Services STUART G. HOFFMAN Senior Vice President and Chief Economist The PNC Financial Services Group BRUCE C. KASMAN Managing Director, Chief Economist, Global Head of Economic Research JPMorgan Chase & Co. 12:00 PM 1:10 PM LUNCHEON The Ritz-Carlton Ballroom, Salons I & II HOSTED BY Broadridge Financial Solutions, Inc. 12:25 PM 12:35 PM SPECIAL PRESENTATION: The Ritz-Carlton Ballroom, Salons I & II IOSCO SECRETARY GENERAL DAVID WRIGHT DAVID WRIGHT Secretary General International Organization of Securities Commissions (IOSCO) SIFMA ANNUAL MEETING
6 12:35 PM 1:10 PM ONE-ON-ONE WITH The Ritz-Carlton Ballroom, Salons I & II CFTC CHAIR TIMOTHY MASSAD ERIK SCHATZKER Anchor & Editor-at-Large Bloomberg TV TIMOTHY G. MASSAD Chairman Commodity Futures Trading Commission (CFTC) 1:20 PM 2:20 PM THOUGHT LEADER SESSION: The Plaza Ballroom REVIEW OF THE RULEMAKING PROCESS AND WAYS TO IMPROVE IT HAL S. SCOTT President & Director Committee on Capital Markets Regulation (CCMR) Nomura Professor and Director of the Program on International Financial Systems (PIFS) Harvard Law School JAMES R. BURNS Partner Willkie Farr & Gallagher LLP Former Deputy Director, Division of Trading and Markets U.S. Securities and Exchange Commission (SEC) ROBERT L.D. COLBY Chief Legal Officer Financial Industry Regulatory Authority (FINRA) PHILIP K. HOWARD Senior Counsel Covington & Burling LLP Author The Rule of Nobody: Saving America from Dead Laws and Broken Government 16 SIFMA ANNUAL MEETING 2015
7 1:20 PM 2:20 PM THOUGHT LEADER SESSION: The Ritz-Carlton Ballroom, Salon III THE FINANCIAL ADVISOR - ADDRESSING MULTI-DIMENSIONAL INVESTOR NEEDS JOSEPH E. SWEENEY President, Advice & Wealth Management, Products and Services Delivery Ameriprise Financial, Inc. KEVIN R. ALM Principal, Client Strategies Group - Solutions Edward Jones RILEY ETHERIDGE, JR. Managing Director, Head of Client Segments and Advisor Development Merrill Lynch Wealth Management CHARYL GALPIN Executive Vice President and Managing Director, Head, Private Client Division BMO Nesbitt Burns LISA KIDD HUNT Executive Vice President, International Services and Special Business Development Charles Schwab & Co., Inc. JOHN VACCARO Chief Executive Officer Westport Resources 2:20 PM 2:35 PM NETWORKING BREAK The Ritz-Carlton Ballroom Foyer SIFMA ANNUAL MEETING
8 2:35 PM 3:15 PM GENERAL SESSION PANEL: The Ritz-Carlton Ballroom, Salons I & II POLITICS AND POLICY - THE VIEW FROM CONGRESS JOHN HARWOOD Chief Washington Correspondent CNBC CONGRESSMAN FRENCH HILL (R-AR) CONGRESSMAN DAVID SCOTT (D-GA) 3:15 PM 4:15 PM GENERAL SESSION PANEL: The Ritz-Carlton Ballroom, Salons I & II THE VIEW FROM THE BUY-SIDE ROBIN WIGGLESWORTH US Markets Editor Financial Times MARIE A. CHANDOHA President and Chief Executive Officer Charles Schwab Investment Management, Inc. PETER S. KRAUS Chairman of the Board and Chief Executive Officer AB F. WILLIAM MCNABB III Chairman and Chief Executive Officer Vanguard 18 SIFMA ANNUAL MEETING 2015
9 4:15 PM 5:15 PM GENERAL SESSION PANEL: The Ritz-Carlton Ballroom, Salons I & II THE NEW BUSINESS ENVIRONMENT - AN EXECUTIVE VIEW ROBIN WIGGLESWORTH US Markets Editor Financial Times RONALD J. KRUSZEWSKI Chairman and Chief Executive Officer Stifel Financial Corp. SANDRA O CONNOR Chief Regulatory Affairs Officer JPMorgan Chase & Co. JIM ROSENTHAL Chief Operating Officer Morgan Stanley 5:15 PM 5:20 PM CLOSING REMARKS The Ritz-Carlton Ballroom, Salons I & II KENNETH E. BENTSEN, JR. President and CEO SIFMA SIFMA ANNUAL MEETING
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