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SEC Announces Panelists for Market Technology Roundtable on October 2


Washington, D.C., Sept. 28, 2012 —

The Securities and Exchange Commission today announced the panelists who will participate in the agency’s October 2 market technology roundtable that will discuss the relationship between the operational stability and integrity of the securities markets and the ways that market participants design, implement, and manage complex and interconnected trading technologies.

The morning portion of the event will focus on the prevention of errors, including discussion about current best practices and the practical constraints for creating, deploying, and operating systems used to automatically generate and route orders, match trades, confirm transactions, and disseminate data. The afternoon panel discussion will focus on error response, with experts discussing how the market might employ independent filters, objective tests, and other real-time processes or crisis-management procedures to detect, limit, and stop erroneous market activities when they occur.

The roundtable will begin at 10 a.m. in the multi-purpose room at the SEC’s Washington D.C. headquarters located at 100 F Street N.E. Public is invited to attend and observe the discussion with seating available on a first-come, first-served basis. The event also will be webcast live on the SEC website and archived for later viewing.

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Agenda and Panelists for Market Technology Roundtable

10 a.m. — Opening Statements

10:15 a.m. — Panel 1: Preventing Errors through Robust System Design, Deployment, and Operation

12:15 p.m. — Break

2 p.m. — Panel 2: Responding to Errors and Malfunctions and Managing Crises in Real-Time

  • David Bloom, Head of Group Technology - Americas
  • Chad Cook, Chief Technology Officer, Lime Brokerage LLC
  • Anna Ewing, Executive Vice President and Chief Information Officer, NASDAQ OMX
  • Albert Gambale, Managing Director and Chief Development Officer, Depository Trust and Clearing Corp.
  • Saro Jahani, Chief Information Officer, Direct Edge
  • Dr. M. Lynne Markus, Professor of Information and Process Management, Bentley University
  • Lou Steinberg, Chief Technology Officer, TD Ameritrade (statement)

4 p.m. — Roundtable Concludes


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