FINRA’s 360° Review 15 264 - Security Traders Association · Chicago Stock Exchange* Deutsche Borse Group ICE IEX Trading* Johannesburg Stock Exchange MIAX Options Nasdaq* Nasdaq

Diverse Audience of Industry Professionals

2017 Market Structure Conference

Session Highlights

SEC Commissioner Michael S. Piwowar Opened the conference to standing room only crowd

FINRA President & CEO Robert CookCommented on findings from FINRA’s 360° Review

U.S. Congressman Bill HuizengaEngaging Fireside with Patomak CEO Paul Atkins

2nd Annual STA Women in Finance SymposiumKeynote address by OpenDoor Trading CEO Susan Estes

Dictum Meum Pactum AwardPresented to Andy Brooks of T. Rowe Price

Friday’s Fireside FinishesSenior-level thought leaders discussed pertinent industry issues

For more information on STA and the STA Market Structure Conference, including sponsorship opportunities, contact STA at [email protected] or 646.699.5996.

Attendance Growth Attendees Got Connected

Effectively used conference app to educate attendees• Prep for panel sessions • Pose questions directly to presenters• Peruse end-of-day Williams &

Jensen notes2017: 6622012: 415

Growth Rate: 60% 336, or 51% of conference attendees downloaded the app

91%rated the app as useful or very useful

Save The Date

October 3-5, 201885th Annual Market Structure ConferenceJW Marriott Washington DC

68 Sell Side

Law Firms/ Consultants

18

16 Principal Trading Firms

Gov’t/ Regulator SRO

9

12 Retail Order

Entry

Press

12

15 Exchanges

11 ATS

Vendors

39

Buy Side

51

Firms Attended

264

83% Firm

Retention Rate

51 New Firms

ATSBIDS Trading*CODA Markets*Delaware Board of TradeITG*ITG CanadaLeveL ATS*LiquidnetLuminex Trading & AnalyticsMATCHNowOmega SecuritiesOTC Markets Group*

BUY-SIDEAkuna CapitalAllianz Global InvestorsBirch Bay CapitalBlackRockBMO Global Asset ManagementCalPERSCapital GroupCapital Research & Management CompanyCharles Schwab Investment ManagementClearBridge InvestmentsClearwater CapitalConnor Clark & Lunn Investment ManagementCortinaEaton VanceFidelity InvestmentsFifth Third BankFranklin TempletonGeneva Capital ManagementHerndon Capital ManagementHodges Capital Management*InvescoJ.P. Morgan Asset ManagementJanus HendersonKavout Asset Management/ Kavout SecuritiesLampost CapitalMan GLGManulife Asset ManagementMarshall WaceMarsico CapitalNextSharesNuance InvestmentsOBXOFI SteelPath Inc.Oppenheimer FundsPineBridge InvestmentsPoint72ProSharesQuantlab FinancialRainier Investment ManagementRiverbridge PartnersState Street Global AdvisorsT. Rowe PriceTBD TradingTD Asset ManagementTexas TeachersUS TrustVanguardVoya Investment ManagementWaddell & ReedWestern Southern FinancialWisdomTree

CONSULTANTAplomb Strategies* Burton-Taylor International ConsultingDeloitteDJM AdvisorsElinphant*Financial Information ForumGreenwich AssociatesJordan & JordanJory Global ConsultingMulry ConsultingPatomak Global Partners

TABB GroupUSAM GroupViableMkts

CORRESPONDENT/ PRIME CLEARINGABN AMRO Clearing Bank NVABN AMRO Clearing ChicagoBank of America Merrill Lynch*COR ClearingETCEXCHANGEAequitas NEO ExchangeBats Global Markets a CBOE Company*BOX Options ExchangeCanadian Securities ExchangeCBOEChicago Stock Exchange*Deutsche Borse GroupICEIEX Trading*Johannesburg Stock ExchangeMIAX OptionsNasdaq*Nasdaq CanadaNYSE*TMX Group*

FOUNDATION/ACADEMICFoundation for Women WarriorsGeorgetown University

GOVERNMENT/ REGULATOR/SROCommodity Futures Trading CommissionDTCC*Embassy of CanadaFINRAHouse Committee on Financial ServicesIIROCOptions Clearing CorporationSecurities and Exchange CommissionU.S. Department of the Treasury

INSURANCELiberty Mutual

LAW FIRMBradley Arant Boult CummingsMurphy & McGonigle*Sidley Austin*Williams & Jensen

PRESSBloomberg BNABloomberg NewsCuratiaJapanese Fund Management MagazineJohn Lothian NewsMarkets MediaMLex Market InsightNasdaqPoliticoS&P Global Market IntelligenceThe Wall Street JournalTraders Magazine

PRINCIPAL TRADING FIRMChicago Trading Company*Flow TradersGroup One Trading*Hudson River TradingIMC*Jane Street*Jump TradingOptiver US*RGM SecuritiesSun Trading*

Security Traders Association, Inc. 1115 Broadway | NYC 10010 646.699.5996 www.securitytraders.org

Tower Research CapitalVirtu Financial*Walleye TradingWolverine SecuritiesXR Trading*XTX Markets (Americas)

RETAIL ORDER ENTRYAmeriprise FinancialCetera Financial GroupCharles Schwab & Co.E*TRADEEdward Jones*Fidelity Capital Markets*RBC Wealth ManagementScottrade*TD AmeritradeTradeStation SecuritiesWells Fargo*Wells Fargo Advisors

SELL-SIDEBank of America Merrill Lynch*Barclays*BernsteinBloombergBloomberg TradebookBMO Capital MarketsBNY Mellon*Canaccord GenuityCantor Fitzgerald*CAPIS*CIBC Capital MarketsCIBC World MarketsCitadel Securities*Citi*CLSA AmericasCowen & Co.Credit Suisse*Deutsche Bank*Drexel Hamilton*Engineers Gate*Euro Pacific CapitalEvercore ISIFBR* Fidelity Capital Markets*G1X-SusquehannaGlobal Execution BrokersGlobal Liquidity PartnersGoldman Sachs*Guggenheim PartnersGuzman & Company*HSBCHyannis Port ResearchInstinet*Instinet CanadaINTL FCStone*J.P. Morgan*Jefferies*JonesTrading*KeyBanc*Lime Brokerage*Macquarie CapitalMacquarie GroupMizuho Securities USAMorgan Stanley*National Bank FinancialNeedham & Co.OneChronosOpenDoor TradingOppenheimer & Co.*Piper JaffrayPotamus TradingRBC Capital Markets*Robert W. Baird & Co.*Rosenblatt SecuritiesScotiabankSiebert Cisneros Shank & Co.Stifel*Susquehanna International Group*TD Securities*The PrivateBank and Trust Company

Themis TradingTwo Sigma Securities*UBS*Virtu Financial*Wedbush FuturesWeeden & Co.*Williams Capital GroupWolverine Execution Services*

TRADE ASSOCIATIONBoston STA*Canadian Security Traders Association*Carolina STA*Dallas STA*Georgia Securities Association*Kansas City Securities Association*Minnesota Security Dealers Association* Modern Markets InitiativeOhio STA* Security Traders AssociationSIFMASTA Chicago*STA Connecticut*STA Los Angeles*STA St. Louis*STA Wisconsin* STANY

VENDORBestXStats*Bloomberg Open Symbology/ FIGIBWS FinancialCapgeminiCapital Markets GatewayClearpool Group*Colt TechnologiesDash Financial Technologies*Deep ValueETF GlobalEventus SystemsExegyFidessa*Fidessa CanadaFinmax TechFIS - Fox RiverFlexTrade SystemsHanweck*IHS Markit*Kx Systems*NewsedgePragma*Rival SystemsS&P Dow Jones IndicesS3*SILEXX OEMSSmart TrakkerSoftekSolixSpeedRouteSterling Trading TechThesys CATThesys TechnologiesThomson Reuters*Trade InformaticsTRAFiXTrillium*Vela*Velocity Trade Capital

2017 Attending Firms (by firm type)

86 *Sponsors