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Editor: Eric C. Chaffee
Univ. of Toledo College of Law

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Friday, June 8, 2007

Panelists for SEC Roundtable on Mutual Recognition

The SEC 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 a.m. 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

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.

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