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SEC Announces Agenda and Panelists for Roundtable on Mutual Recognition
FOR IMMEDIATE RELEASE
2007-111
Washington, D.C., June 8, 2007 - The Securities and Exchange Commission today announced the final agenda and participants for the upcoming roundtable on mutual recognition scheduled for June 12, 2007.
The roundtable will examine how retail and institutional investors, U.S. and non-U.S. exchanges, global and regional broker-dealers, and others may be impacted by a selective mutual recognition regulatory regime. In addition, a separate panel will consider the issue of how the SEC can best assess regulatory comparability and convergence.
The roundtable will begin at 9:00 a.m. ET, with opening remarks by SEC Chairman Christopher Cox. The agenda and participants are as follows:
9:15 a.m.
The Impact on U.S. Market Participants of Increased Foreign Market Access
| Moderators: |
Erik Sirri, Director, Division of Market Regulation |
| John White, Director, Division of Corporation Finance |
- Stephen E. Bepler, Capital Research and Management Company
- Duane Kelly, Vanguard Group
- Catherine R. Kinney, NYSE Euronext
- Chris Concannon, The NASDAQ Stock Market, Inc.
- Meyer S. Frucher, Philadelphia Stock Exchange
- Jonathan Howell, London Stock Exchange
- Roberta Karmel, Brooklyn Law School
11:15 a.m.
The Impact on U.S. Market Participants of Increased Foreign Broker-Dealer Access to U.S. Investors
| Moderators: |
Erik Sirri, Director, Division of Market Regulation |
| Ethiopis Tafara, Director, Office of International Affairs |
- Harold Evensky, Evensky & Katz
- Edward F. Greene, Citigroup
- David Grayson, Auerbach Grayson & Co.
- Christopher Amato, E* Trade
- James R. Allen, Hilliard Lyons
- David Aufhauser, UBS Investment Bank
2:00 p.m.
Defining and Measuring the Comparability of Regulatory Regimes
| Moderators: |
Ethiopis Tafara, Director, Office of International Affairs |
| Erik Sirri, Director, Division of Market Regulation |
- Harvey L. Pitt, Kalorama Partners, LLC
- Alan L. Beller, Cleary Gottlieb
- Richard G. Ketchum, NYSE Regulation Inc.
- Allen Ferrell, Harvard Law School
- David Ruder, Northwestern University School of Law
The roundtable will take place in the Auditorium at the Commission's headquarters at 100 F Street, N.E., Washington D.C. The roundtable will be open to the public with seating on a first-come, first-served basis. Doors will open at 8:30 a.m. and visitors will be subject to security checks.
Real time and archived audio webcasts will be accessible at http://www.sec.gov. Materials related to the roundtable including the day's agenda, the list of panelists, and the comments that have been received by the Commission will be accessible at www.sec.gov/spotlight/mutualrecognition.htm.
For additional information, contact Kelly Riley: (202) 551-6772.
http://www.sec.gov/news/press/2007/2007-111.htm
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