Swing and a Miss: The SEC’s Swing Pricing Proposal Is a Strikeout for Investors

Register

Event Description

Join the Chamber’s Center for Capital Markets Competitiveness (CCMC) in person at 9:00am ET on July 20 for a discussion on the proposal from the Securities and Exchange Commission to require the mandatory use of swing pricing by open-end funds. CCMC will unveil the results of a research study analyzing the impact on retirement plan participants of implementing swing pricing with a 4pm hard close on transactions.

The event will feature our keynote speaker, Commissioner Hester M. Peirce, as well as a panel of industry experts who will discuss the challenges associated with the proposal and key take-aways from the research, focusing on the implications for retirement plans and retirement savers.

Details

Thursday, July 20, 2023
9:00 AM - 10:30 AM (UTC-04:00) Eastern Time (US & Canada)

U.S. Chamber of Commerce

1615 H St NW

Washington, DC 20062

Agenda

9:00am: Networking 

9:13am: Welcome 

  • Tom Quaadman, Executive Vice President, CCMC 

9:15am – 9:45am: Fireside Chat 

  • Hester M. Peirce, Commissioner, U.S. Securities and Exchange Commission In Conversation with Tom Quaadman, Executive Vice President, CCMC  

9:45am – 9:55am: Audience Q&A 

9:55am – 10:25am: Panel Discussion: Stakeholders Assess the Research 

  • Sandy Hauser, Senior Director, Custody Oversight & Product Support, Edward Jones  
  • Chris Wiley, FINRA Compliance Manager, Paychex 
  • Ryan C. Larrenaga, Vice President and Chief Counsel, Asset Management, Ameriprise Financial 

Moderated by Kristen Malinconico, Director, CCMC 

10:25am – 10:29am: Audience Q&A 

10:29am – 10:30am: Closing Remarks