Skip to main content    

Company Filings

U.S. Securities and Exchange Commission

                        -  About                            -  Careers 
                          -  Commissioners 
                          -  Contact 
                          -  Reports and Publications 
                          -  Securities Laws 
                          -  Mission 
                          -  Commission Votes 
                        -  Divisions & Offices                            -  Corporation Finance 
                          -  Enforcement 
                          -  Investment Management 
                          -  Economic and Risk Analysis 
                          -  Trading and Markets 
                          -  Office of Administrative Law Judges 
                          -  Examinations 
                        -  Enforcement                            -  Litigation Releases 
                          -  Administrative Proceedings 
                          -  Opinions and Adjudicatory Orders 
                          -  Accounting and Auditing 
                          -  Trading Suspensions 
                          -  How Investigations Work 
                          -  Receiverships 
                          -  Information for Harmed Investors 
                        -  Regulation                            -  Rulemaking Activity 
                          -  Proposed Rules 
                          -  Final Rules 
                          -  Interim Final Temporary Rules 
                          -  Other Orders and Notices 
                          -  Self-Regulatory Organizations 
                          -  Staff Interpretations 
                        -  Education                            -  Investor Education 
                          -  Glossaries 
                          -  Small Business Capital Raising 
                        -  Filings                            -  EDGAR – Search & Access 
                          -  EDGAR – Information for Filers 
                          -  Company Filing Search 
                          -  How to Search EDGAR 
                          -  Forms List 
                          -  About EDGAR 
                        -  News                            -  Press Releases 
                          -  Speeches and Statements 
                          -  Securities Topics 
                          -  Upcoming Events 
                          -  Webcasts 
                          -  SEC Videos 
                          -  Media Gallery 

                -  U.S. Securities and Exchange Commission                    -  Divisions & Offices 
                  -  Enforcement 
                  -  Regulation 
                  -  Education 
                  -  Filings 
                  -  Newsroom 
                -  Newsroom                    -  Press Releases 
                  -  Testimony 
                -  RSS Feeds                    -  Press Releases 
                  -  Public Statements 
                  -  Speeches 
                  -  Testimony 

## Newsroom Left Nav

-  Newsroom 
-  Press Releases 
-  Speeches and Statements 
-  SEC Stories  
-  Securities Topics 
-  Media Kit 
-  Press Contacts 
-  Events 
-  Webcasts 
-  Media Gallery 
-  RSS Feeds    -  Press Releases 
  -  Speeches and Statements 
  -  Litigation Releases 
  -  Investor Alerts 
  -  More RSS Feeds 
-  Social Media    -  @SECGov 
  -  SEC Channel 
  -  View All Social Media 

## Newsroom Left Nav

-  Newsroom 
-  Press Releases 
-  Speeches and Statements 
-  SEC Stories  
-  Securities Topics 
-  Media Kit 
-  Press Contacts 
-  Events 
-  Webcasts 
-  Media Gallery 
-  RSS Feeds    -  Press Releases 
  -  Speeches and Statements 
  -  Litigation Releases 
  -  Investor Alerts 
  -  More RSS Feeds 
-  Social Media    -  @SECGov 
  -  SEC Channel 
  -  View All Social Media 

#               Press Release            

# SEC Announces Panelists for Market Technology Roundtable on October 2

FOR IMMEDIATE RELEASE          2012-202        

          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.

* * *

## 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*
                              - Sudhanshu Arya , Managing Director, ITG   
                              - Chris Isaacson , Chief Operating Officer, BATS Exchange ( statement )   
                              - Dave Lauer , Market Structure and HFT Consultant, Better Markets, Inc. ( statement )   
                              - Dr. Nancy Leveson, Professor of Aeronautics and Astronautics and Engineering Systems, MIT   
                              - Jamil Nazarali , Head of Citadel Execution Services, Citadel ( statement )   
                              - Lou Pastina, Executive Vice President — NYSE Operations, NYSE    
                              - Christopher Rigg , Partner — Financial Services Industry, IBM   
                              - Jonathan Ross , Chief Technology Officer, GETCO LLC ( statement )

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

###

SOCIAL MEDIA1Twitter 2Facebook2Instagram3RSS4YouTube6LinkedIn8Email Updates

## About The SEC

-  Budget & Performance 
-  Careers 
-  Commission Votes 
-  Contact 
-  Contracts 
-  Data Resources 

## Transparency

-  Accessibility & Disability 
-  FOIA 
-  Inspector General 
-  No FEAR Act & EEO Data 
-  Ombuds 
-  Whistleblower Protection 

## Websites

-  Investor.gov 
-  Related Sites 
-  USA.gov 

## Site Information

-  Plain Writing 
-  Privacy & Security 
-  Site Map 

**Return to Top