NEWS BRIEFS JUNE 2006
NYSE Regulation Announces Second Annual Securities Conference
NYSE Regulation, Inc., the not-for-profit regulatory arm of NYSE Group, Inc. (NYX), will hold its second annual conference June 19—20 at the Grand Hyatt New York. The conference will provide a forum for senior executives of NYSE Regulation, industry representatives, government officials and other experts to discuss critical legal and compliance issues of the day. Last year’s inaugural event attracted close to 600 securities-industry professionals.

“We want to share with representatives of our member organizations and other interested parties best practices, trends and new ideas,” said Richard G. Ketchum, CEO of NYSE Regulation. “I’m glad to invite back last year’s attendees and welcome new participants.”

Mr. Ketchum formally opens the conference on Monday morning with an update on NYSE Regulation, detailing recent progress and mapping out priorities and expectations for the future. A discussion with NYSE Regulation’s senior officials immediately follows. Mr. Ketchum will be joined by Robert A. Marchman, executive vice president of Market Surveillance; Susan L. Merrill, chief of Enforcement; and Grace B. Vogel, executive vice president of Member Firm Regulation. NYSE Group CEO John A. Thain will give a luncheon presentation titled “Leadership in Today’s Global Capital Markets.”

Dr. Shirley Ann Jackson, chairman of NYSE Regulation, will give welcoming remarks on Tuesday, June 20. Mr. Ketchum will then moderate a panel exploring how leaders in electronic trading are reshaping the securities world and how industry personnel and regulators must respond to new compliance challenges. Lori Richards, director of the SEC’s Office of Compliance Inspections and Examinations, will speak Tuesday morning. At lunch, SEC Commissioner Annette L. Nazareth will be the featured speaker.

Like last year’s event, there also will be a dozen workshops covering multiple aspects of market regulation and oversight, including one on the surveillance of the NYSE Hybrid Market. In addition to the 12 workshops, four general sessions and the guest speakers, there will be a Hybrid Market demonstration trading session on Tuesday morning.

For more information about NYSE Regulation and the 2006 conference, please visit www.nyseregulation.com.

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