Trade tech usa 2010

The largest buy side gathering The Premier Global Event For Institutional Equity Traders And Technologists in the world! February 22 – 24, 2010 • New York Marriott Marquis Strategies for profitable trading in a recovering market Attend TradeTech Competitive Insight From 83+ Speakers, Including: Robert C. Doll Peter Kelso This Year To: Vice Chairman and Chief Investment Managing Director and Chief Information Officer Officer of Equities DB Advisors and Deutsche BlackRock Investment Management Americas • Navigate the fragmented Joe Lutkevich Keith Gertsen Senior Managing Director, Equity, Risk & Data Systems Global Head of Trading market and source non- State Street Global Advisors Viking Global Investors toxic pools of liquidity Andrew Silverman Dan Mathisson Managing Director, Global Co-Head Managing Director • Maximize returns in both Morgan Stanley Electronic Trading Credit Suisse AES low-touch and high-touch trading Prominent Guest Speakers • Increase efficiencies in connectivity and keep up to speed on electronic trading capabilities • Understand the regulatory impact on high frequency Charlie Rose Nassim N. Taleb trading, dark pools, short Executive Editor and Anchor Principal selling, and more, to align Charlie Rose Universa Investments your desk to thrive in 2010 Contributing Correspondent Author, The Black Swan 60 Minutes Shares insight into his NY Times Bestseller • TradeTech evolves with our Moderates a chief executive panel fast-moving industry. Topics on the future of capital markets will reflect the most crucial industry needs at the time John Person Arnie Wood President President & CEO of the event Nationalfutures.com Martingale Asset Management discloses secrets to profitable trading Examines behavioral finance and human decision making to increase trading profits Chairing Sponsor: Lead Sponsors: Core Sponsors: Organized By: REGISTER Call: 1.888.482.6012 or 1.646.200.7530 Fax: 1.646.200.7535 TODAY! Email: tradetech@wbresearch.com Web: www.TradeTechUSA.com

The Premier Global Event For Institutional Equity Traders And Technologists Don’t Miss These Daily Highlights! A Speaking Faculty of 83+ Industry Leaders, Including: Monday, February 22: One of the Robert C. Doll, Vice Chairman world’s largest 9:00am Improved Buy Side-Only Trading Summit: and Chief Investment Officer asset management - With buy side moderators at all tables to eliminate vendor pitching firms of Equities, BlackRock - Roundtable breakdown by market cap and trading strategy to ensure Peter Kelso, Managing Director and Chief solution-defining with traders facing the same challenges as you Information Officer, DB Advisors and Deutsche 4:00pm Closing Guest Speaker: Understanding Human Decision Making To Increase Profits Investment Management Americas Associated With Trading by Arnie Wood, President & CEO, Martingale Asset Nanette Buziak, SVP, Head of Equity Trading, ING Management and Faculty Advisor, Harvard University's John F. Kennedy School of Investment Management Government Study Joe Lutkevich, Senior Managing Director, Equity, Risk & Data Systems, State Street Global 4:45pm TradeTech Welcome Cocktail Reception Advisors Keith Gertsen, Global Head of Trading, Viking Global Investors Tuesday, February 23: Robert Shapiro, Executive Director of Trading and 8:05am Real Time Audience Polling throughout the day - with buy and sell side trader Execution Analysis, Morgan Stanley Investment compensation study Management Alexander Kuppler, European 11:45am Charlie Rose trader Executive Editor and Anchor, Charlie Rose Managing Director, insight Head of Trading, DWS Investments Contributing Correspondent, 60 Minutes Marc A. Rieffel, Chief Operations Officer, Chief Charlie Rose and the guests of his one-hour nightly interview program define the Technology Officer, WorldQuant global conversation. This dialogue has made Rose the cultural and intellectual Kevin D. Mahn, Portfolio Manager, SmartGrowth® custodian of our time, providing accessible profiles of the people who have Mutual Funds, Managing Director & Chief influenced our world. Here, Rose moderates a panel discussion with the chief Investment Officer, Hennion & Walsh Asset executives who are influencing the future of capital markets. Management 12:45pm Buy Side Head Trader Think Tank – back by popular demand! DJ Adams, Head Trader, Sands Capital Management 3:45pm Sell Side Workshop Session: Hear directly from 3 senior buy side as they uncover Steve Peterson, Equity Trader, NEW how they choose and what they look for in their broker! Texas Teachers Retirement System 5:00pm UBS Gala Cocktail Reception: Join us for the best party in New York with Ryan Larson, Head Equity Trader, Voyageur Asset the finest views of Time Square! The UBS Reception is always electric. Management High If you can’t make the event, make this party! Chris Bartlett, Director, Trading frequency trader and Trading Technology, Nobilis Capital Brad Desjarlais, Head Trader, LR Global Partners Wednesday, February 24: Matthew Gray, CEO and Managing Member, 11:50am Nassim N. Taleb offers insight into his NY Times Bestseller The Black Swan Simplex Investments Craig Jensen, Co-Head of Trading, Armstrong 4:30pm Closing Guest Speaker John Person shares techniques for using candlestick charts Shaw Associates and pivot point analysis for profitable trading The world’s Mohammad Ayach, largest healthcare Information Technology investment firm TradeTech Event Series Attendee Breakdown: Officer, Orbimed Advisors Mark R. Schlarbaum, Managing Director, Head Job Titles Firm Types Equity Trader, Portfolio Manager, Palliser Bay ■ 24% Heads of Trading ■ 49% Buy Side Capital Management ■ 27% Traders ■ 38% Sell Side Ray Judge, Head of Trading Operations, Royal ■ 24% IT/Systems Groups ■ 12% Other Oak Capital Management ■ 8% Managing Directors ■ 4% Prop. Trading Elliot Noma, Ph.D., Managing Director, Garrett ■ 7% CEOs/Presidents Firms Asset Management ■ 10% Others Ben Batory, Head Trader, Brightpoint Capital Brian Deitelzweig, VP and Head Trader, Palisade Table of Contents: Capital Jason B. McLean, Director of Trading, Iridian Buy Side-Only Trading Summit ...................3 About Our Sponsors ....................................9 Asset Management Conference Agenda Day One......................4 About Our Media Partners ........................10 Michael Caffi, VP and Manager, Global TCA Services, Equity Trading, State Street Global Buy Side-Only Head Trader Think Tank ......5 Conference Pricing and Team Discounts ..11 Advisors Sell Side Workshop ......................................6 Venue Information.....................................11 And many more! Conference Agenda Day Two......................7 Registration Form ......................................12 Please visit www.tradetechusa.com for biographical information of our speakers. 2 REGISTER TODAY! Call: 1.888.482.6012 or 1.646.200.7530 Fax: 1.646.200.7535 Email: tradetech@wbresearch.com Web: www.TradeTechUSA.com

Buy Side-Only Trading Summit Monday, February 22 ,2010 You don't have to make strategic decisions that impact the performance and profitability of your trading desk alone. The Buy-Side Only Trading Summit gives you the unique experience to work through your most pressing trading challenges with your buy side peers. No sell side, vendors, or media are permitted to take part in the discussions. Learn what really works for the buy side from the buy side – and just as importantly, what strategies don't work – without being heavily pitched to. This summit will sell out – reserve your space immediately. What’s new and improved at the Buy Side-Only Trading Summit this year? • Buy Side Moderators – To eliminate pitching the roundtable sponsors will be joined by a buy side representative who will moderate the discussion • Market Cap and Trading Strategy Audience Breakdown – You will be seated with buy side peers trading a similar style to ensure you find solutions to your most relevant, critical trading challenges from those that can relate Sponsored By: 8:15 Summit Registration & Breakfast 2:40 Roundtable Wrap Up How it works: 9:00 Welcoming Remarks The roundtable sponsors wrap up all the sessions by sharing the most Sara Mueller useful solutions identified by each of the six discussion groups so you Executive Director can be sure you don’t miss a single trading strategy to boost the TradeTech North America performance of your desk. 9:05 Chairperson’s Opening Address 3:10 Afternoon Refreshment Break & Opportunity To Network 9:15 Opening Keynote Economic Address 3:25 Exploring The Most Recent And Proposed Regulatory Maury Harris Managing Director and Chief U.S. Economist Changes To Determine Its Impact To The Buy Side UBS Investment Bank Trading Desk Joseph Engelhard 9:55 Interactive Roundtable: Topic #1 Senior Vice President Capital Alpha Partners How it works: You’ll be seated at a table with your buy side peers trading the same • Discussing the likelihood of various financial regulatory reform market cap as you. Throughout the day, participate in six different initiatives, including bills that address systemic risk, resolution discussions covering six different topics. The roundtable sponsors will authority, derivatives take ONLY five to ten minutes to present research on the topic your • Addressing possible regulatory changes that may affect broker- table is discussing, then a buy side moderator will lead you and your dealers and banks such as new capital requirements; how will this buy side peers through constructive, strategy-defining dialogue. ultimately impact the buy side? • Examining potential restrictions on high frequency trading, dark Discussion Topics: pools, and short selling **Subject to change based on the most critical industry needs at the time of the conference.** 4:00 Closing Guest Speaker: Understanding Human Decision • Exploring The Role Of Targeted Buy Side To Buy Side IOIs In Making To Increase Profits Associated With Trading Search Of Natural Block Liquidity hosted by Bloomberg Tradebook Arnie Wood • News & Data: The Impact Structured News And Data Have On President & CEO, Martingale Asset Management and Faculty The Trading Environment hosted by Dow Jones Advisor • Dark Pools And Sourcing Liquidity hosted by ITG Harvard University's John F. Kennedy School of • Innovations In Smart Order Routing hosted by RBC Capital Government Study Markets • Alpha Generation Via Cash And Derivatives Products - When a trade goes bad, who do you blame? Have you ever put the Minimizing Underlying Implementation Costs hosted by Société blame on what you had for lunch, the weather, or your unconscious Générale emotions? There’s a whole field of psychology called neurofinance • Strategies For Profitable Equity Trading In An Evolving that studies financial decision making and behaviors such as these. Market host to be determined Whether you’re a trader, portfolio manager, systems analyst, or sales executive, you’ll be a smarter – and more profitable – decision 10:30 Interactive Roundtable: Topic #2 maker after hearing this presentation by Arnie Wood, who is a Faculty Advisor to Harvard University's John F. Kennedy School of 11:05 Morning Refreshment Break & Opportunity To Network Government Study on behavioral finance and decision-making. 11:20 Interactive Roundtable: Topic #3 4:40 Chairperson’s Closing Address 11:55 Interactive Roundtable: Topic #4 4:45 TradeTech Welcome Cocktail Reception 12:30 Interactive Roundtable: Topic #5 You've spent the day debating strategies for generating 1:05 Lunch alpha and solutions to overcome liquidity and regulatory challenges; now its time to relax, have fun, and strengthen 2:05 Interactive Roundtable: Topic #6 relationships with your buy side colleagues. 5:45 Buy Side-Only Trading Summit Concludes Chairing Sponsor: Lead Sponsors: 3

Main Conference Day One Tuesday, February 23, 2010 Sponsored by Real Time Audience Polling Throughout the presentations on February 23, participate in live, anonymous polling – right from your own conference chair. Find out how you really compare to your competitors on everything from broker selection to technology adoption. You’ll see the results on screen in real time. Plus we’ll send you the final full results report following the conference so you can share this invaluable information with the rest of your team to effectively benchmark your firm. 7:00 Registration And Breakfast In The Solutions Zone 10:20 PANEL: Adding Alpha To The Trading Process With Better Pre- And Post-Trade Analytics 8:00 Welcoming Remarks Robert Shapiro Sara Mueller Executive Director of Trading and Execution Analysis Executive Director Morgan Stanley Investment Management TradeTech North America Merrell Hora Director, Market Microstructure Analyst 8:05 Chairperson’s Opening Address Barclays Capital Andrew Silverman Ruth Colagiuri Managing Director, Global Co-Head Head of Execution Services Products Morgan Stanley Electronic Trading Bank of America Merrill Lynch 8:20 PANEL: Gaining A Deeper Understanding Of Broker Ian Domowitz Algorithm Make-Up To Maximize The Effectiveness Of Chief Executive Officer Your Trading Strategy ITG Solutions Network David Margulies Owain Self Head of Sales Managing Director, Head of Algorithmic Trading, Americas and EMEA Pragma UBS Investment Bank Steve Peterson • Extracting additional valuable information from post-trade analytics Equity Trader (beyond just measuring due diligence) to determine where trading Texas Teachers Retirement System can add alpha • Using post-trade analytics and quantitative evaluation to identify the Dan Mathisson best performance for each trading strategy; adding this into your Managing Director pre-trade analytics Credit Suisse AES • Analyzing your portfolio manager’s strategy and trader’s trading Jeff Brown style to develop a more profitable trading strategy SVP of Electronic Brokerage Services • Having enough tools and analytics in place to monitor and evaluate Fidelity Capital Markets basket trades as well as single names • Uncovering the routing and priority characteristics of various broker 11:05 Keynote Presentation algorithms; what are each algos’ preferences to dark pools with IOIs or IOCs? Brian Fagen • Using TCA, communication with your broker, and other means to Managing Director, Co-Head of Liquid Market Sales Americas evaluate the effectiveness of each algo’s routing capabilities Barclays Capital • Determining which order routing preferences lead to increased information leakage and risk; adjusting your trading strategy to 11:45 The Future Of Capital Markets – An Executive Panel respond to this information Moderated By Charlie Rose • Simplifying algo lingo to determine which front end systems best Moderated by: support algo implementation and integration Charlie Rose Executive Editor and Anchor, Charlie Rose 9:00 PANEL: Finding A Single Solution For Global Connectivity Contributing Correspondent, 60 Minutes Mohammad Ayach It’s been a challenging time for the finance industry, to say the least, Information Technology Officer and changes in regulation, employment trends, risk assessment, Orbimed Advisors innovation, the use of financial instruments, corporate policy, and Mark Casey more are imminent. During this session, renowned interviewer Charlie President Rose will moderate a panel discussion with the chief executives leading CFN Services, Incorporated the investment banking and asset management industry back to Roy Saadon health. This will be a truly remarkable discussion with the top minds in Co-Founder, General Manager Harmony finance, and will paint a picture of the future of global capital markets. Traiana Investment banking executive panelists to be confirmed. Check • Identifying the advantages and costs of having a single point of www.TradeTechUSA.com often for agenda updates. entry to global exchanges and trading venues • Uncovering vendors that provide access to all market exchanges; "[Charlie Rose] is not simply a talented interviewer but he what offerings must you evaluate as you compare vendors solutions? has emerged as the major cultural and intellectual historian • Optimizing your current DMA or OMS systems for greater global of recent times and he has done so by causing a paradigm connectivity shift in how we learn—of how we acquire new knowledge • Reviewing global connectivity systems trends among buy side, sell of what is happening in the world around us." side, and prop trading firms – Dr. Eric Kandel, recipient of the 2000 Nobel Prize in Medicine 9:40 Morning Refreshment Break & Opportunity To Network In The Solutions Zone 12:45 Lunch 4 REGISTER TODAY! Call: 1.888.482.6012 or 1.646.200.7530 Fax: 1.646.200.7535 Email: tradetech@wbresearch.com Web: www.TradeTechUSA.com

12:45 Buy Side-Only Head Trader Think Tank Sponsored by: - 2:15 Chairperson: How it works: Lee Morakis The Think Tank moderators will determine the discussion Managing Director, Head of Execution Services Sales topics approximately two weeks before the event to ensure Bank of America Merrill Lynch the most timely, critical trading topics are addressed. (If you’d Think Tank Moderators: like to nominate topics to be discussed, please join our Brian Deitelzweig LinkedIn group, follow us on Twitter, or email VP and Head Trader sara.mueller@wbresearch.com.) Palisade Capital During the Think Tank you will join a table with a moderator Jason B. McLean trading a similar market cap as you so your challenges and Director of Trading solutions will be most relevant to your trading desk. Your Iridian Asset Management table will work your way through three topics, then come Nanette Buziak together as a large group to share the most valuable SVP, Head of Equity Trading strategies defined. ING Investment Management **Lunch will be served during the Think Tank; participants The Think Tank is cited as most head traders’ favorite part of TradeTech! can join Track A or B after the Think Tank. Take part in shockingly open and honest debate and discussion with How to get invited: your fellow senior-level buy side traders in an environment free of vendors or media. This exclusive event is invitation-only. To request your invitation to this unique event, please contact Rob Golen at 416-597-4771 or robert.golen@wbresearch.com. “The Buy Side Head Trader Think Tank went very well and the speakers added some good insight and value to the roundtable discussions. Overall, TradeTech was a worthwhile experience.” – Lynn Thomas Challenger, Director of Global Trading, Mellon Capital Management Track A: Trading Strategy Track B: Trading Technology & Connectivity 1:45 Chairperson’s Afternoon Address Chairperson’s Afternoon Address 1:55 PANEL: Becoming Familiar With ETFs And How They Trade PANEL: The Everlasting OMS/EMS Debate: Determining To Avoid Risky Executions The Latest Buy And Sell Side System Preferences For Jon Greene Optimum Functionality Head Trader DJ Adams CEROS Financial Services Head Trader Elliot Noma Ph.D. Sands Capital Management Managing Director Tim Decker Garrett Asset Management Product Manager, Head of Electronic Trading & Connectivity Kevin D. Mahn Advent Software Portfolio Manager, SmartGrowth® Mutual Funds, Managing Vikas Parikh Director & Chief Investment Officer IT Director - Trading Operations & VMO Hennion & Walsh Asset Management GE Asset Management • Determining what has accounted for the drastic rise in volume of ETF Spiros Giannaros trading in the United States Vice President, Sales, America • Understanding the make-up of leveraged, reverse, and other ETFs; how Charles River Development are they affecting the way the underlying instrument is being traded? • Uncovering recent OMS/EMS trends amongst buy and sell side firms to • Describing how ETF trading is different than single stock trading achieve maximum system performance • Comparing the benefits and risks of leverage, reverse, and other ETFs to • Debating if you truly need an EMS, or if you can trade out of an OMS determine which ETFs fit best into your trading strategy and risk controls • Carrying out a buy/build analysis to determine if you should build • What sort of limits should you place on ETF market orders? What are from scratch; how did you come to a decision? the ramifications if you exceed certain limits? • Examining cross-asset functionality and which platforms interface best with FIX 2:35 PANEL: Dissecting Dark Pools To Access The Greatest PANEL: Uncovering The Most Recent FIX Processing And Amount Of Liquidity At The Lowest Cost Connectivity Solutions To Achieve Optimum System Joseph Wald Performance Managing Director Mohammad Ayach Knight Equity Markets Information Technology Officer Kevin Foley Orbimed Advisors President and CEO AQUA Additional panelists to be determined James Ross • Examining recent developments in FIX messaging to ensure you are Vice President up-to-speed on industry standards NYSE MatchPoint • Establishing a plan to guarantee your systems are processing FIX messaging correctly as your systems evolve Amit Manwani • Overcoming OMS issues regarding FIX connectivity Head of Algorithmic Development and Analytics • Determining which vendors provide the highest performance FIX Nomura connectivity solutions between algorithmic trading systems and the • Identifying solutions to better quantify the costs of trading in dark equities markets pools and achieve greater transparency into dark pool make-up • Determining if the aggregator tool you use is routing your order to the greatest liquidity Chairing Sponsor: Lead Sponsors: 5

• Establishing how a trader can avoid information leakage and gaming in dark pools • The lightening of dark pools: Is this a trend that is going to continue, and is it better or worse for the buy and sell side trader? • Analyzing the impact of impending regulations on the dark pool trading environment • Forecasting the future of dark pool structure and ATS consolidation to align your desk for long-term profitable trading 3:15 Afternoon Refreshment Break & Opportunity To Network In The Solutions Zone Concurrent Sessions – Choose One Track A Continued Track B Continued Track C: Sell Side Workshop 3:45 PANEL: Examining The Increased Use PANEL: Exploring The Future Use Of SELL SIDE WORKSHOP: Moving Of Equity Options Amongst Long- TCA As It Becomes More Heavily In Forward In 2010: Uncovering What Only Asset Managers Demand The Buy Side Needs From Their Andrew Baehr Brokers Michael Caffi Managing Director in Global Equities VP and Manager, Global TCA Services, and Commodity Derivatives Moderator’s Address On The Equity Trading BNP Paribas Changing Buy Side/Sell Side State Street Global Advisors Relationship Additional panelists to be determined Nitin Gambhir Our moderator shares cutting-edge research on CEO the shifting buy side needs and where the sell • Understanding why historically long-only shops Tethys Technology, Inc. side is currently falling short. The relationship used equity options to enhance alpha and adapt to market changes over the past few dynamic of the future will be exposed. Mark R. Schlarbaum years Managing Director, Head Equity Trader, • Identifying how long-only shops are Portfolio Manager successfully changing their charters to Palliser Bay PANEL: The Buy Side’s Perspective include equity options to add alpha Our buy side panelists openly and honestly Capital Management • Describing how the buy side is typically using describe what they want from their brokers. Jamie Bogen These panelists also lend insight into the equity options within their trading strategies Application Specialist changing buy side trading landscape so the • Working with clients, legal, and back office Bloomberg Tradebook sell side can be sure to adapt their services and to successfully get through charter change requirements and the implementation of • Discussing how fund boards, portfolio offerings to meet a changing market’s needs. equity options trading managers, and the SEC are viewing TCA and Brad Desjarlais why it is taking more priority; which buy side Head Trader firms are using TCA to offer them a LR Global Partners competitive edge? Bill Skutch • Debating which TCA benchmarks to use and Head Trader the differences between displayed and non- “TradeTech was worth the time displayed execution costs Scopus Asset Management off my desk” • Integrating TCA into the entire portfolio • How is the buy side adapting to the current – Melissa Hinmon, Principal, Senior Equity management and trading process to achieve marketplace changes? Where does the buy Trader, Turner Investment Partners best execution side need their brokers to evolve with them? • Predicting the future use of TCA to align • Debating what proper electronic sales your systems to effectively gather and trading coverage is and if it is differentiated measure critical TCA dat on the street • Determining what is “good” high touch coverage 4:25 Closing Keynote: Analyzing The PANEL: Processing Market Data More • Establishing today’s research needs for the Global Recession And Economic Efficiently – Doing More With Less buy side trader and how they want their Recovery Joe Lutkevich broker to communicate with them Kevin D. Mahn Senior Managing Director, Alpha Portfolio Manager, SmartGrowth® Generation, Portfolio Construction, Mutual Funds, Managing Director & Risk, and Data Systems Interactive Q&A: Making The Sell Chief Investment Officer State Street Global Advisors Side Business Model Relevant For Hennion & Walsh 2010 And Beyond Adam Honoré Sell side traders pose questions to our buy side Asset Management Research Director panelists in an interactive discussion. We’ve seen the markets go up and down and Aite Group economic news shift quickly from positive to Who should attend this workshop? • Analyzing current data flow to detect areas negative. What will the future hold? Kevin Sell Side Traders: Learn directly from the buy of inefficiencies Mahn, named one of the Rising Stars In side what they want from their brokers’ services • How can data solutions like visualization Mutual Funds for 2009 by Institutional and offerings. How are buy sides’ needs software and other applications increase Investor, shares his projections for the coming changing? What can you do to stay relevant efficiencies? year and its impact on your trading desk. and gain more market share? Gain strategic • Debating the effectiveness of proprietary • Debating the potential for a V, W, or U- data management solutions built in house insight into where your competitors are failing shaped economic recovery vs. a vendor-offered solution; which is more and you can add value. • Determining whether the recent stock worth the investment? market rallies have been for real; what is • Determining where your data management Buy Side Traders: Find out how your buy side expected in the near future for stocks, solutions can offer efficiencies amongst peers are taking advantage of the services and commodities, the housing market and more? other areas in the trading process: offerings from the sell side as the market • Assessing the impact financial market reform - Risk analytics evolves. Also learn how the sell side is will have on the economic recovery - Algo trading monitoring responding to buy side traders’ changing needs. • Comparing the global vs. US recovery to - Economic forecasting better align your investment outlook - Portfolio management 6 REGISTER TODAY! Call: 1.888.482.6012 or 1.646.200.7530 Fax: 1.646.200.7535 Email: tradetech@wbresearch.com Web: www.TradeTechUSA.com

5:00 UBS Cocktail Gala Reception After a day filled with constructive debate and information sharing, unwind with your new network of colleagues and friends at the UBS Cocktail Gala. Relax, have fun, and bring your business cards! Embrace this opportunity to forge new business partnerships and uncover additional equity trading and technology strategies in an informal atmosphere. 6:30 TradeTech Day One Concludes Main Conference Day Two Wednesday, February 24, 2010 8:15 Breakfast In The Solutions Zone Alexander Kuppler Managing Director, Head of Trading 9:00 Chairperson’s Opening Address DWS Investments Andrew Silverman Timothy W. Reilly Managing Director, Global Co-Head Managing Director, Head of Electronic Execution Sales, Morgan Stanley Electronic Trading The Americas Citi 9:15 KEYNOTE: Looking Ahead In 2010 To Identify The Best Rob Flatley Opportunities In Global Equities Global Head of Autobahn Equity Robert C. Doll Deutsche Bank Vice Chairman and Chief Investment Officer of Equities • Optimizing clock management and staffing of your global traders BlackRock by comparing trends in buy and sell side firms • Examining the present state of the global economy; what sort of • Reviewing local exchange and regulation requirements to ensure recovery can the U.S. expect? you are playing by the rules • Analyzing the current condition of the financial markets and its • Establishing a disciplined, balance approach to currency impact on global equities management to increase profit and reduce opportunity loss • 2010 Outlook: Predicting where the best investment opportunities • Examining costs associated with trading globally to ensure you will be in the next 3, 6, and 9 months achieve maximum profitability in your trading 9:55 PANEL: Tapping Into The Minds Of Today’s CTOs/CIOs As 11:50 Guest Speaker: The Black Swan And How To Be Its They Adapt To The Evolving, Innovative Financial Markets Friend Peter Kelso Nassim N. Taleb Managing Director and Chief Information Officer Principal, Universa Investments and Author DB Advisors and Deutsche Investment Management The Black Swan Americas About Our Guest Speaker: Marc A. Rieffel Nassim N. Taleb is combination of a scholar of risk and model error, Chief Operations Officer/Chief Technology Officer literary essayist, and derivatives trader. He is known for a WorldQuant multidisciplinary approach to the role of the high-impact rare event – across economics, philosophy, finance, engineering, and history. He is Hunter Smith also known for putting his ideas in practice with his “Black Swan” Chief Technology Officer investment strategy. His current program is to design ways to live in a Acadian Asset Management world we don't quite understand and help "robustify" the world • As asset managers and investment banks recover from the financial against the Black Swan. crisis, how are technology projects and budgets being prioritized? • Identifying trends in global connectivity solutions and equity trading Taleb is, among other books and research papers, the author of the systems NYT Bestseller The Black Swan: The Impact of the Highly • Establishing the necessary skill set of your technology and Improbable which was voted by The Times as one of the 12 infrastructure team most influential books since WW-II. His books have more than two • Forecasting the future of capital markets technology in the United States and a half million copies in print in 31 languages, making him one the most read and most translated essayists. 10:35 Morning Refreshment Break & Opportunity To Network In The Solutions Zone Taleb is currently Distinguished Professor in Risk Engineering at New York University Polytechnic Institute and Principal at Universa 11:10 PANEL: Trading Global Markets In 2010: Boosting The Investments. He has an MBA from Wharton and a PhD from the Performance Of Your Global Equity Trading Desk University of Paris. Keith Gertsen 12:50 Lunch Global Head of Trading Viking Global Investors Thanks for putting together a very good conference. I found TradeTech very useful to address my current trading challenges – Kevin Chapman, Head of Trading, Nicholas Applegate Capital Management Chairing Sponsor: Lead Sponsors: 7

Concurrent Sessions – Choose One Track A: Achieving Best Execution Track B: High Frequency Trading 1:50 Chairperson’s Afternoon Address Chairperson’s Afternoon Address 2:00 PANEL: Analyzing Execution Quality To Achieve Best PANEL: The Growth Of Prop Trading Firms: Examining Its Effect Execution In A Fragmented Market On Market Structure And Your Profit Making Opportunities Jatin Suryawanshi Matthew Gray Managing Director, Head of Global Quant Strategy CEO and Managing Member Jefferies & Company Inc. Simplex Investments Steve Peterson Andy Kershner Equity Trader CEO Texas Teachers Retirement System Kershner Trading Group • Examining pre- and post-trade analysis to ensure you are achieving • Determining what has accounted for the rapid growth of prop trading best execution and attaining alpha firms in the US and abroad • How are the various interlinkages between exchanges and dark pools • Are prop shops the next place to make big money? Discussing typical impacting execution quality? compensation and recruitment plans within proprietary trading firms • Measuring algorithmic performance - are historic benchmarks any • How are prop shops set up? Examining trading operations and good in today's markets? bleeding-edge technology used by leading prop trading firms • Detecting gaming and other predatory behavior during an execution • Understanding how prop trading firms are impacting market structure and competing with traditional asset management firms 2:40 PANEL: Optimizing Commission Management And CSAs In PANEL: Aligning Your Trading Strategies To Profit As HFT A Global, Low Touch Environment Expands Ben Batory Effi Zakry Head Trader Algorithmic Strategist Brightpoint Capital PFTC Trading Additional panelists to be determined Matt Samelson • Examining current CCA/CSA trends; how are CSAs being used Principal differently today than as they were originally intended? Woodbine Associates • Uncovering how low touch trading is changing the way the buy side is • Examining the evolution of High Frequency Trading (HFT) in the U.S. managing commissions and CSAs/CCAs and abroad; what’s accounted for the growth in this trading strategy? • Managing commissions and research for global desks • Determining the effect HFT has on daily liquidity and volatility levels - What are the best ways to determine the vote? • Addressing recent regulatory changes impacting HFT; how can your - How can you create effective communication amongst all global desk compete amongst these changes? offices? • Identifying different ways to trade that can help you profit in a world of HFT 3:20 Afternoon Refreshment Break & Opportunity To Network In The Solutions Zone 3:50 PANEL: Balancing The Use Of Human Intervention And PANEL: Real, Hard Numbers: Analyzing Low Latency Electronic Trading Tools To Become The Most Profitable Technology To Develop The Fastest High Frequency Equity Trader Trading Desk Ryan Larson Chris Bartlett Head Equity Trader Director, Trading and Trading Technology Voyageur Asset Management Nobilis Capital Craig Jensen Emil van Essen Co-Head of Trading President, Van Essen Managed Futures and President Armstrong Shaw Associates Abacus Global Fund Management Joseph Wald Brett Kotch Managing Director Research & Development Knight Equity Markets Liquidnet Ray Judge • Examining technology developments of the past six months to stay up Head of Trading Operations to speed in this innovative, fast-moving marketplace Royal Oak Capital Management • Throwing real, hard numbers at latency: What are your latency levels • Identifying risks, such as gaming and missed liquidity, that can result and how are you achieving it? from overly relying on electronic trading tools in your trading strategy • Analyzing tech issues with your current HFT systems; what solutions • What risks do HFT and/or quant firms face with little human intervention can help you overcome these issues? in their trading; how does this impact the market as a whole? • Building in house vs. buying off the shelf: which solution is right for you? • Determining when it is in your best interest to use an electronic trading tool and how best to use that tool • When must human judgment be exerted? Can human traders better react to news announcements than an algo? • Uncovering which trading, human or electronic, leaves a bigger imprint on the market or price movement in specific circumstances 4:30 Closing Guest Speaker: Trading Triggers - The Secrets to why you should rely on price rather than indicators Profitable Trading • Discussing how to find certain setups and explaining what triggers a call to trading action John Person • Walking you through the various types of stop orders, including CTA, President when and where to place them Nationalfutures.com • Illustrating how back testing your methods can help uncover the • Examining the methodology of pivot point analysis and how it can strengths and weaknesses of your system be applied to different markets • Showing you what to look for when reading candlestick charts and 5:10 TradeTech Concludes 8 REGISTER TODAY! Call: 1.888.482.6012 or 1.646.200.7530 Fax: 1.646.200.7535 Email: tradetech@wbresearch.com Web: www.TradeTechUSA.com

About Our Sponsors Advent Software has been providing reliable, trusted solutions to investment global provider of financial solutions for demanding clients creating exceptional value for its management organizations of all sizes and strategies for 25 years. With more than 4,500 shareholders and people. Global Markets’ equity business, Global Markets Equity, is a market leading client firms, Advent has established itself as a leading provider of mission-critical provider of equity and equity-linked products to institutional, corporate and retail clients globally. The applications to meet the demands of investment management operations around the award-winning platform offers scalability and flexibility in its design, providing a global network of world. Advent’s Moxy® is the #1 trade order management system and sets the standard for execution services and financial engineering expertise. streamlining trading workflow. Moxy’s intuitive views of critical data expedite investment processes by providing a single, centralized location for order management decision-making and execution. Dow Jones Solutions for Algorithmic & Quantitative Trading offers cutting- edge real-time information solutions that help institutional professionals create AQUA aggregates micro, small and mid-cap block liquidity from over 150 regional opportunities and act with first-to-know confidence. Whether it’s providing ultra-low-latency news mid-tier and specialty brokerage firms delivering firm, live orders direct to buy-side feeds to facilitate trading off the news, better monitoring of event streams to detect opportunity in trading desktops. AQUA’s unique technology eliminates the possibility of pre-trade information event patterns, or looking for ways to improve commoditized black-box algorithms, Dow Jones has a leakage for the buy-side, creating the safest, most efficient, and fastest tool available for electronic solution. Designed for direct integration into quantitative analysis models and computer trading block trading between the sell-side and the buy-side. www.aquaequities.com programs, the Dow Jones Elementized News Feed delivers news data in precisely tagged XML- formatted fields - thus rendering the news machine readable. Combining real-time and archival Bank of America Merrill Lynch Execution Services offers a complete suite of news for quantitative analysis, the Dow Jones News & Archives for Algorithmic Applications can be premier equity trading services, including capital commitment and block trading, used to create algorithms for a range of applications such as risk management, arbitrage, and pre- portfolio trading and analytics and ML X-ACTsm, the firm’s powerful proprietary and post-trade analysis. And Dow Jones News Analytics, co-developed with RavenPack, a leading algorithmic trading platform. Merrill Lynch is one of the world’s leading wealth management, capital provider of advanced mathematical and linguistic models for financial markets, transforms news into markets and advisory companies with offices in 40 countries and territories. As an investment bank, actionable data such as sentiment, novelty and relevance. To learn more about any of these it is a leading global trader and underwriter of securities and derivatives across a broad range of asset algorithmic and trading solutions, contact us at algo@dowjones.com. classes and serves as a strategic advisor to corporations, governments, institutions and individuals worldwide. The firm’s experts deliver smart solutions to clients, capitalizing on its vast global Fidelity Capital Markets (FCM) is the institutional trading arm of Fidelity Investments resources, product innovation and leading scale position in the capital markets. To learn more, visit providing trading, products and services to a wide array of clients and Fidelity businesses. www.ml.com. Merrill Lynch was acquired by Bank of America on January 1, 2009. FCM executes domestic and international equity securities including block and portfolio trading, listed options, foreign exchange, securities lending, and commission and transition Barclays Capital is the investment banking division of Barclays Bank PLC. With a management. Fidelity Capital Markets trades fixed-income principally in a wide range of taxable and distinctive business model, Barclays Capital provides large corporate, government tax-exempt securities and underwrites municipal and government agency debt. FCM has its own and institutional clients with a full spectrum of solutions to their strategic distribution channel, Fidelity Prime Services, focused on servicing hedge funds and a full suite of advisory, financing and risk management needs. Barclays Capital has offices around the world, Electronic Brokerage Trading Products, including proprietary algorithms and our own crossing employs 20,000 people and has the global reach, advisory services and distribution power to meet network, CrossStream®. FCM offers all of our clients’ conflict-free trading, execution excellence and the needs of issuers and investors worldwide. For further information about Barclays Capital, please personal service. For more information about Fidelity Capital Markets please visit visit our website www.barclayscapital.com. www.fidelitycapitalmarkets.com. BLOOMBERG TRADEBOOK® is a leading global agency broker used by GBM, Grupo Bursátil Mexicano, a brokerage house with a strong presence in the institutional traders, broker-dealers, hedge fund managers, market-makers and Mexican market, has stood out since it was established in 1978 for its successful portfolio managers worldwide providing them with a comprehensive front-to- and consistent management of the investment instruments it offers its clients. back execution, clearing and settlement solution for equities, futures, options and FX instruments. Moreover, it has remained in the vanguard regarding the continuous development of financial Founded in 1996, BLOOMBERG TRADEBOOK® has quickly established itself as a leading electronic products. GBM’s hallmark has been the quality of the service it provides when advising its clients. It consolidator of global liquidity. BLOOMBERG TRADEBOOK® now offers its global customer base offers a wide range of products and services that meet the financial needs of both its national and trading solutions in over 60 global markets via nine offices on five continents. Many leading buy-side foreign individual and institutional clients alike. The portfolios managed by GBM show a consistent institutions and broker-dealers have come to rely on BLOOMBERG TRADEBOOK®’s commitment to history of returns, ranking among the most competitive in the categories to which they belong. GBM customer service and unique blend of innovative trading algorithms and algorithmic trading is remarkable for its technical, fundamental, and economic research, as well as for its coverage of strategies to help them seek best execution on one integrated platform. public companies. Its main goal is to provide its clients with in-depth and complete information to aid them in their investment decisions. BNP Paribas (www.bnpparibas.com) is one of the 6 strongest banks in the world according to Standard & Poor's. With a presence in 85 J.P. Morgan is the investment banking arm of JPMorgan Chase & Co. (NYSE: countries and more than 205,000 employees, 165,200 of which in Europe, BNP Paribas is a global- JPM), a leading global financial services firm with assets of $2.0 trillion and scale European leader in financial services. It holds key positions in its three activities: Retail banking, operations in more than 60 countries. The firm is a leader in investment Investment Solutions and Corporate & Investment Banking. The Group benefits from its four banking, financial services for consumers, small business and commercial banking, financial domestic markets: Belgium, France, Italy and Luxembourg. BNP Paribas also has a significant transaction processing, asset management, and private equity. A component of the Dow Jones presence in the United States and strong positions in Asia and the emerging markets. Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world’s most prominent corporate, institutional and government clients under its J.P. CFN Services, the Low Latency Leader, is a managed telecom infrastructure services Morgan, Chase, and Washington Mutual brands. J.P. Morgan’s Electronic Client Solutions (ECS) company providing network services for the Enterprise, Public Sector and Carrier team provides a full suite of electronic products to clients, including sophisticated algorithms which Markets, specializing in network design, planning, deployment, and managed dynamically adjust trading profiles to minimize slippage and market impact, global direct market services, for Low Latency Exchange Connectivity. CFN Services specializes in Network and Data access and analytics. This offering is bolstered by a robust infrastructure, experienced support teams Center optimization ensuring the long haul network enhances the Enterprise distributed network and superior client service. Visit jpmorgan.com/ecs. strategy. CFN Services leverages FiberSource®, a global knowledge-based platform that can view all available dark and lit fiber, collocation, and lit buildings; providing the ability to quickly identify and Investment Technology Group, Inc. (NYSE:ITG), is a specialized agency brokerage design ultra low latency networks. To learn more about how CFN Services can ensure you are and technology firm that partners with clients globally to provide innovative solutions Optimizing the Power of your Network contact info@cfnservices.com or 703-788-6633. spanning the entire investment process. A pioneer in electronic trading, ITG has a unique approach that combines pre-trade analysis, order management, trade Charles River Development is a front-/middle-office software solutions provider to over execution, and post-trade evaluation to provide clients with continuous improvements in trading and 300 investment firms in the institutional, wealth management/trust, alternative, mutual cost efficiency. The firm is headquartered in New York with offices in North America, Europe and the funds, insurance, pension fund and fund administration/custody markets in 30 countries. Asia Pacific regions. Founded in 1987, ITG was one of the first firms to recognize the potential of The Charles River Investment Management System, a comprehensive front-/middle-office software electronic trading and continues to help clients trade more efficiently and reduce transaction costs suite for all asset classes, includes Charles River Manager – decision support/portfolio through a combination of technology and client service. ITG has focused on helping clients better management/modeling; Charles River Compliance - real-time pre-trade/in-trade/post-execution/end- navigate an increasingly complex marketplace, starting with the launch of POSIT®, an electronic of-day compliance management; Charles River Trader - order management/electronic system for low-cost, confidential crossing. Recognizing a need in the marketplace for integrated trading/execution management; Charles River Post-Trade - centralized management of trade solutions, ITG added pre- and post-trade analytics and multi-asset class order management to its matching/confirmation/settlement workflow; Charles River Performance - daily performance product offering. Nearly 20 years later, ITG remains committed to providing clients with the same measurement/attribution. It is fully integrated with the broker-neutral Charles River FIX Network. high standard of service and innovation. For more information on ITG, please visit www.itg.com. Citi, the leading global financial services company, has some 200 million customer Knight is a global capital markets firm that provides market access and trade accounts and does business in more than 100 countries, providing consumers, execution services across multiple asset classes to buy- and sell-side firms. Knight's corporations, governments and institutions with a broad range of financial products and hybrid market model features complementary electronic and voice trade execution services, including consumer banking and credit, corporate and investment banking, securities services in global equities and fixed income as well as foreign exchange, futures and brokerage, and wealth management. Citi's major brand names include Citibank, CitiFinancial, options. The firm is a leading source of off-exchange liquidity in U.S. equities. Knight also provides Primerica, Citi Smith Barney, Banamex and Nikko. Additional information may be found at capital markets services to corporate issuers. Our Corporate Access team offers an unbiased service www.citigroup.com or www.citi.com. that provides corporate issuers with introductions to leading institutional investors. Knight is based in the U.S. and has a growing global presence across North America, Europe and the Asia-Pacific region. Advanced Execution Services® (AES) is Credit Suisse's award- For more information please visit www.knight.com. winning suite of algorithmic trading strategies, tools, and analytics for global trading across equities, options, futures, and foreign exchange. With AES’s tools, traders Liquidnet is the world’s institutional marketplace, facilitating equities trading can work orders on multiple liquidity pools, increase productivity by automating trading and for asset management firms in 29 equity markets across five continents. By improve execution performance. AES helps more than a thousand institutions and hedge funds accessing liquidity from multiple sources, Liquidnet’s unique trading model consolidates and delivers reduce market impact, improve performance versus benchmarks, and add consistency to their the institutional equities marketplace directly to the desktops of our buy-side trading firms. These firms trading processes. The AES team is dedicated to a philosophy of constant improvement and use Liquidnet to efficiently execute their large orders, realize exceptional trading performance, gain innovation. The platform has been consistently ranked as the leader in global industry surveys. price improvement for their trades, and, ultimately, lower overall transaction costs. Launched in 2001, For more information: http://www.credit-suisse.com/ib/en/equities/aes.html or contact the AES Liquidnet is headquartered in New York with offices in London, Toronto, Tokyo, Hong Kong, Sydney, sales desk on 212 325-5300. and Singapore. Additional company information is available online at www.liquidnet.com. Deutsche Bank is a leading global investment bank with a strong and Morgan Stanley has earned a worldwide reputation for excellence in profitable private clients franchise. A leader in Germany and Europe, the financial advice and market execution. With more than 1,200 offices in 37 bank is continuously growing in North America, Asia and key emerging countries, the people of Morgan Stanley are dedicated to providing our clients the finest thinking, markets. With Euro 1,733 billion in assets and 78,896 employees in 72 countries, Deutsche Bank products and services to help them achieve even their most challenging goals. Morgan Stanley offers unparalleled financial services throughout the world. The bank competes to be the leading Electronic Trading (MSET) provides a complete spectrum of services from pre-trade analytics and execution to post-trade execution performance analysis and commission management. We offer a Chairing Sponsor: Lead Sponsors: 9

comprehensive algorithmic trading suite and various direct market access (DMA) strategies, including RBC Capital Markets is the corporate and investment banking arm of RBC our smart order routing technology and our dark liquidity pool aggregator. Whether you are and is active globally in debt origination, sales and trading, foreign exchange, connecting to us via a third-party order management system or using our Morgan Stanley Passport infrastructure finance, structured products, metals and mining, and energy. Its execution management system, our global product offering provides seamless access to trade North American platform includes leading equity, underwriting, sales, trading and research portfolios, single stocks, ETFs, options, futures, swaps, and foreign exchange. Our team is committed businesses and a significant U.S. investment banking franchise. Bloomberg ranks the firm as one of to providing stellar trading solutions for the most demanding specifications. For more information the Top 20 investment banks globally. contact: Morgan Stanley Electronic Trading (MSET), 1585 Broadway, 6th Floor, New York, N.Y. 10036, Tel: (877) 761-MSET, E-mail: msetna@morganstanley.com SG Americas Securities, LLC delivers the full suite of Société Générale Corporate & Investment Banking's services to U.S. clients. Nomura Group is a leading financial services firm with worldwide reach. The firm is a member of the NYSE, the NASD and other regional U.S. Founded in 1925, Nomura employs more than 26,000 people globally with exchanges and employs more than 320 of Société Générale Corprate & Investment Banking's 2,200 regional headquarters in New York, London and Hong Kong and global headquarters in Tokyo. U.S. professionals. SGAS provides capital markets, securities, underwriting, M&A, derivatives and Nomura’s global equity offering is client focused and includes program and electronic trading program trading services in sectors such as Financial Institutions, Oil & Gas, Utilities, Sports Advisory, platforms that provide clients with access to venues in over 35 countries. Expert sales and service Gaming & Lodging, Media & Telecom, Aerospace & Defense, as well as large US multinationals. teams and a strong focus on technology drive execution quality. Platforms are supported by Additionally, the broker-dealer has responsibility for all clearing, settlement and custodial services for ModelEx, Nomura’s suite of market-leading algorithmic trading strategies, TradeSpex, Nomura’s Société Générale in the US. portfolio and trading analytics applications, and NX, Nomura’s dark crossing platform. Nomura also provides consultative services and integration assistance. Tethys Technology, Inc. is a leading broker-neutral provider of Execution Management, Algorithmic Trading and Transaction Cost Analysis (TCA) solutions. NYSE Euronext (NYX) is a leading global operator of financial markets and Our EMS solution, Execta™, utilizes a Complex Event Processing engine and a provider of innovative trading technologies. The company's exchanges in high performance messaging layer within an n-scalable architecture to facilitate Europe and the United States trade equities, futures, options, fixed-income and exchange-traded strategy simulation, optimal trade execution, trade opportunity detection and risk management. products. With more than 8,000 listed issues, NYSE Euronext's equities markets -- the New York Execta™ supports trading of global equities, futures, options and FX, all augmented by our Stock Exchange, NYSE Euronext, NYSE Amex and NYSE Alternext as well as NYSE Arca – represent sophisticated smart order routing and algorithmic execution suite. Tethys’ clients include traditional nearly 40 percent of the world's equities trading, the most liquidity of any global exchange group. “long only” investment managers, CTA’s, hedge funds, and broker dealers. Our TCA offering, NYSE Euronext also operates NYSE Liffe, the leading European derivatives business and the world's TotalTCA™ offers comprehensive pre-trade, real-time and post-trade analysis along with best second-largest derivatives business by value of trading. The company offers comprehensive algorithm choice functionality. commercial technology, connectivity and market data products and services through NYSE Technologies. NYSE Euronext is in the S&P 500 index, and is the only exchange operator in the S&P Founded in 2000, Traiana operates the industry- standard platform for 100 index and Fortune 500. For more information, please visit:http://www.nyx.com electronically processing over-the-counter foreign exchange trades. Traiana’s flagship offering, the Traiana Harmony Network, is the leading platform for connecting all FX market As the only wholly independent execution and order management trading participants to automate post-trade processes, reducing the risk and cost of trade processing. Today, systems provider, Portware supplies traders with true broker-neutral solutions Traiana is connected to over 500 firms. The network includes all major FX market participants to facilitate best execution. The company’s suite of products includes a trading platform which including prime brokers, executing banks, retail platforms, buy-side firms and execution venues. supports FX, Single Stock, Portfolio, Program, Pairs and Index trading coupled with a powerful black- Traiana has offices in New York, Chicago, London and Tel Aviv. Traiana is owned by ICAP plc. – the box Algorithmic Engine. On top of this architecture, Portware offers an extensible feature set tailored world’s largest interdealer broker. for different asset classes and trade styles, as well as tools for TCA, risk management, real time reporting and a combination of pre-packaged and third-party algorithms UBS is a global firm, providing services to private, corporate and institutional clients through its wealth management and Swiss banking Founded in 2003, Pragma is a New York-based financial services firm and an businesses alongside its global expertise in investment banking and asset established provider of sophisticated and innovative trading solutions. A management. In Switzerland, UBS is the market leader in retail and commercial banking. UBS is pioneer of both quantitative and tactical execution tools, Pragma’s suite of products includes the present in all major financial centers and has offices in over 50 countries. UBS Direct Execution is award-winning ONEPIPE, LIFEGUARD’s advanced order protection logic, ONECROSS - unique the firm’s global institutional electronic trading business. Direct Execution offers ultra-low benchmark crosses, PEAK™ solution for brokers, and a full suite of sophisticated adaptive single latency Direct Market Access (DMA), a suite of award-winning advanced Algorithmic Trading stock and portfolio execution strategies. Pragma is dedicated to consistently meeting the goals of its strategies, a state-of-the-art analytics platform -- offering Real-Time TCA -- called UBS Fusion, diverse client base by providing top quality execution, proven technology and exceptional support and a multi-asset international execution management system called UBS Pinpoint. and service. For additional information, please contact us at 866-399-9411, email: sales@pragmatrading.com or visit: www.pragmatrading.com About Our Media Partners Supporting Publications: Total Alternatives combines a daily email and online news service with an in- Investor's Business Daily is a leading financial news and research depth weekly print edition to be the first to bring you usable, bankable business organization recognized for proprietary stock screens, exclusive stock ratings leads in the world of hedge funds and other alternative investments—which institutional investors and a record of identifying stock leaders as they emerge. IBD’s website, Investors.com, offers are hiring and firing hedge funds? Which hedge funds are hiring and firing service providers and powerful stock tools, personalized features and research for investors of every level. personnel? Which hedge funds are opening and closing offices?...and more. www.iialternatives.com THE TRADE (www.thetrade.ltd.uk) is a quarterly publication focused on institutional In Association With: global securities trading. With a worldwide circulation of 8,000+, THE TRADE is sent TABB Group is the financial markets industry’s only research and strategic advisory firm to named buy-side traders and operational heads of buy-side institutions and their sell-side focused exclusively on capital markets. Founded in 2003 and based on the proven counterparts. THE TRADE contains proprietary data on transaction measurement, including broker interview-based research methodology of “first-person knowledge” developed by rankings and reports on key development areas from crossing and DMA to algorithmic trading and founder Larry Tabb, TABB Group analyzes and quantifies the investing value chain from the fiduciary, innovation in OMS. Contact: francoise@thetrade.ltd.uk or Tel: +44 20 7400 7100 – Visit investment manager, broker, exchange and custodian, helping senior business leaders gain a truer www.thetradenews.com for our daily online news service. understanding of financial markets issues. For more information, visit www.tabbgroup.com. Get expert advice on how to achieve best execution and control transaction costs from ® The not-for-profit association’s objective is to educate the investment community and The Journal of Trading. Read about the latest practice in pre- and post-trade analysis, MTA members in technical analysis. The MTA, incorporated in 1973, is the global algorithmic trading, and liquidity issues. From the editor of The Journal of Portfolio organization of market analysis professionals. The MTA has grown into the leading Management, The Journal of Trading gives you critical knowledge and in-depth analysis of the latest association for technical analysis with a total membership of over 3,000, with members located in 61 strategies and trends in institutional trading. www.iijot.com countries. Members include technical analysts, portfolio managers, traders, investment advisors, market letter writers and others involved in the technical aspects of equities, futures, options, fixed The Journal of Portfolio Management is the definitive source of thought-provoking income securities, currencies, international markets, derivatives, and other vehicles. The CMT analysis and practical techniques in institutional investing. It offers cutting-edge designation is the culmination of a certification process in which candidates are required to research on asset allocation, performance measurement, market trends, risk demonstrate proficiency in a broad range of technical analysis of the financial markets. The MTA is management, portfolio optimization, and more. Each quarterly issue of JPM features responsible for the creation, oversight, administration and regulation of the CMT designation. The articles by the most renowned researchers and practitioners—including Nobel laureates—whose CMT is the only technical analysis designation recognized by the Financial Industry Regulatory works define modern portfolio theory. Authority (FINRA) as a “Series 86” exemption upon passing levels 1 and 2 of the CMT exam. Global Investment Technology provides business and technology The Wall Street Technology Association (WSTA), focuses on educational and intelligence to institutional investors, pension plan sponsors, banks and networking opportunities for technology and financial industry professionals. Keep on securities firms which serve the money management community. Editorial coverage focuses on top of leading edge technology, business and operational challenges and solutions by strategic business interests of top-level decision makers as well as their systems and operations visiting www.wsta.org. professionals. For further information, please call (212) 370-3700, fax (212) 370-4606, e-mail info@globalinv.com or visit us atwww.globalinv.com. Aite Group is a leading independent research and advisory firm focused on business, technology and regulatory issues and their impact on the financial services industry. Wall Street Letter (WSL) serves as your window to the Street. It is the only Through research and consulting services, it seeks to become a true partner, advisor, and catalyst, publication that keeps Wall Street informed of what's happening inside their ensuring that its clients always stay one step ahead of the competition. community—trading firms, exchanges, and every corner of the market including research, securities, dealers, retail brokerages, and regulators. In addition, WSL now includes extended coverage from Supporting Online News Providers Operations Management, featuring back-office issues of broker/dealers, investment adviser firms and Bobsguide, an AFP company, is your one source for financial technology solutions. custodian banks. This increased coverage dovetails with the increasing emphasis on harmonizing and Bobsguide.com currently lists nearly 2,000 companies from over 165 countries that streamlining a firm’s securities processing business, from the front to back office, and a greater promote more than 5,300 products and services in the financial arena, including hardware and emphasis on clearing and technology businesses among exchanges. www.wallstreetletter.com services related to asset management, corporate treasury, banking, trading, insurance and risk management. Basic entries on the guide are complimentary and enhanced packages include access Derivatives Week Online is the only publication dedicated to breaking to RFIs and visitor details. To receive a daily newsletter that reaches over 26,000 members or to add news on the over-the counter derivatives market worldwide. Every week, its your company and products/services to bobsguide, visit www.bobsguide.com reporters in New York, London and Hong Kong dig up must-read intelligence on swaps and options on credit, equities, interest rates, currencies and commodities Public Relations Provided by: before it appears anywhere else. They reveal who is using derivatives, who is planning to do so and why. Coverage includes development of new derivative instruments, regulatory changes, firm Founded in 1999, with offices in London, New York and California, and clients across reorganizations, market trends and risk management. Please visit: http://www.iiderivatives.com/ every time zone, Cognito is a full service, results focused communications agency working exclusively for finance and financial technology companies. Whether delivering retained PR or innovative design and marketing projects, Cognito's clients benefit from creative and strategic thinking, professional delivery and a commitment to exceeding expectations. 10 REGISTER TODAY! Call: 1.888.482.6012 or 1.646.200.7530 Fax: 1.646.200.7535 Email: tradetech@wbresearch.com Web: www.TradeTechUSA.com

Registration Information Exclusive complimentary buy side passes are available until 12/31/09. Please contact Amol Tembe at 646-200-7442 or atembe@wbresearch.com. Conference Pricing and Team Discounts BUY SIDE By 12/31/09 By 01/30/10 On Site SELL SIDE By 12/31/09 By 01/30/10 On Site Buy Side Summit Two Day Main Conference February 22, 2010 $599 $699 $799 February 23-24, 2010 $1999 $2099 $2199 Two Day Main Conference CD ROM ONLY February 23-24, 2010 $899 $999 $1099 (Gain access to select audio $580 presentations for this event) Two Day Main Conference + Buy Side Only Summit $1499 $1599 $1699 VIP Package (Select any package above and for an additional $250 gain access February 22-24, 2010 to select audio presentations from this event) CD ROM ONLY UBS Gala Reception (UBS Reception is included with any of the above packages) $50 (Gain access to select audio $580 presentations for this event) OTHER Full Price VIP Package (Select any package above and for an additional $250 gain access Two Day Main Conference February 23-24, 2010 $2999 to select audio presentations from this event) VIP Package (Select any package above and for an additional $250 gain access UBS Gala Reception (UBS Reception is included with any of the above packages) $50 to select audio presentations from this event) UBS Gala Reception (UBS Reception is included with any of the above packages) $50 Group Discounts are available for those companies wanting to send multiple TEAM DISCOUNTS (Buy and Sell Side only) representatives to TradeTech: To secure space for your team, contact Bill Penney at 1-866-691-7771 or email Bpenney@wbresearch.com Before Dec 31 Before Jan 30, 2010 From Jan 31 through Feb 24 *Please note: Buy side institutions include any and all financial institutions exclusively engaged in $350 off $250 off $150 off managing funds of money on behalf of their client base e.g. a pension or insurance fund. listed price above listed price above listed price above Proprietary Trading Firms are firms that trade exclusively for their own accounts and do not trade for outside investors or provide execution services/technology to the buy side. For team discounts, please contact Bill Penney at 866-691-7771 or Proprietary trading desks of investment banks are not eligible for buy side pricing. bpenney@wbresearch.com. Proprietary Trading Firms are not eligible for complimentary passes. Sell Side Institutions include those institutions engaged in investment banking and brokerage operations, as well as direct trading services to buy side institutions. Sell side traders and others are not eligible to attend the Buy Side Summit taking place on Monday, February 22, 2010. Join WBR reserves the right to enforce pricing on the basis of company type. Discounts are Sponsorship and exhibiting opportunities are extremely limited so applied to the full price rate. No two discounts can be combined. Payment is due in full contact Seth Weisleder at 646-200-7493 at the time of registration, your registration will not be confirmed until payment is received and may be subject to cancellation. or sweisleder@wbresearch.com. 250+ buy side traders and technologists. 500+ industry Venue Information practitioners. Trillions in assets under management. Can you afford not to be at TradeTech? Only the world’s leading technology New York Marriott Marquis providers and sell side firms need apply. Putting your company’s Times Square 1535 Broadway brand in front of the TradeTech USA audience is the smartest, yet New York, NY 10036 • Tel: 212-398-1900 simplest, decision to make this year. Sponsorship and exhibiting http://www.nymarriottmarquis.com opportunities are extremely limited so contact Seth Weisleder Sleeping Room Rate: $299 Single Occupancy at 646-200-7493or sweisleder@wbresearch.com. Offer Cut-Off Date: Wednesday, January 27, 2010 WBR has procured a special conference rate of $299 per night (plus tax). To book your reservations, call the New York Marriott Marquis Hotel at 212.398.1900 or For every registration received for toll free at 800-843-4898 and identify yourself as a TradeTech attendee. Rooms TradeTech, WBR will donate a portion of are limited and are on a first come, first served basis, so make your reservations as the registration fee to Smile Train. For soon as possible. After the cut off date of January 27, rooms may still be more information about WBR’s available, so inquire with the hotel if you have missed the cut-off date. involvement with Smile Train, please visit www.TradeTechUSA.com. Delegate Substitutions and Cancellations Policy • You may substitute delegates at any time by providing reasonable advance notice to WBR. • Except as specified above, no credits will be issued for cancellations. There are no refunds given under • Any cancellations received in writing not less than eight (8) days prior to the conference, you any circumstances. will receive a 90% credit to be used at another WBR conference which must occur within one • WBR is not responsible for any loss or damage as a result of a substitution, alteration or year from the date of issuance of such credit. An administration fee of 10% of the contract cancellation/postponement of an event. WBR shall assume no liability whatsoever in the event this fee will be retained by WBR for all permitted cancellations. No credit will be issued for any conference is cancelled, rescheduled or postponed due to a fortuitous event, Act of God, unforeseen cancellations occurring within seven (7) days (inclusive) of the conference. Attendees occurrence or any other event that renders performance of this conference impracticable, illegal or registered for complimentary passes who fail to show for the conference are liable to a impossible. For purposes of this clause, a fortuitous event shall include, but not be limited to: war, fire, cancellation fee equivalent to the main conference. labor strike, extreme weather or other emergency. • In the event that WBR cancels an event for any reason, you will receive a credit for 100% of the • Please note that while speakers and topics were confirmed at the time of publishing, circumstances contract fee paid. You may use this credit for another WBR event to be mutually agreed with WBR, beyond the control of the organizers may necessitate substitutions, alterations or cancellations of the which must occur within one year from the date of cancellation. speakers and/or topics. As such, WBR reserves the right to alter or modify the advertised speakers • In the event that WBR postpones an event for any reason and the delegate is unable or unwilling to and/or topics if necessary without any liability to you whatsoever. Any substitutions or alterations will be attend in on the rescheduled date, you will receive a credit for 100% of the contract fee paid. You may updated on our web page as soon as possible. use this credit for another WBR event to be mutually agreed with WBR, which must occur within one year from the date of postponement. Chairing Sponsor: Lead Sponsors: 11

WBR February 22 – 24, 2010 535 Fifth Avenue, 8th Floor New York Marriott Marquis New York, NY 10017 The Premier Global Event For Institutional Equity Traders And Technologists I would like registration package: (please see pricing on page 11) Buy Side Options: Other Options: Five Easy Ways To Register ❑ Buy Side Summit + 2 Day Conference ❑ 2 Day Main Conference ONLINE www.TradeTechUSA.com ❑ 2 Day Main Conference ❑ Please add audio cd rom of presentations ❑ Buy Side Summit Only EMAIL tradetech@wbresearch.com to my package Sell Side Options: ❑ UBS Gala Reception (UBS Reception is FAX This form to 1-646-200-7535 ❑ 2 Day Main Conference included with any of the above packages) - You will be contacted for payment details. MAIL Your registration form and payment details to: Delegate Details Please photocopy this form for additional registrations. Worldwide Business Research (Mr./Ms./Dr.) First Name ______________________________________________________________ 535 5th Avenue, 8th Floor, New York, NY 10017 Last Name _________________________________________________________________________ Title _______________________________________________________________________________ CALL 1-888-482-6012 or 1-646-200-7530 Department ___________________________ Organization _________________________________ Address ___________________________________________________________________________ City __________________________State _____Zip _______________________________________ Phone (_____) ____________________Fax (_____) ________________________________________ E-Mail_____________________________________________________________________________ Your priority booking code is: When registering please provide the code above. Payment Methods: ❑ Check enclosed for ______________ payable in U.S. $ to WBR ❑ EFT or WIRE TRANSFER PAYMENT DETAILS: HSBC Bank USA 452 Fifth Ave New York, NY 10018 Routing #: 021001088; SWIFT: MRMDUS33 Worldwide Business Research USA LLC: 619782161 Please reference code 10550.004 when registering ❑ Charge to my: ❑ AMEX ❑ Visa ❑ MasterCard ❑ Diners Club ❑ Discover Card Card # ________________________________________________________________________________ Sum of ___________________________ Exp Date: ____________________________________________ Cardholder’s Name_______________________________________________________________________ Attention Mailroom: If undeliverable to addressee, this time sensitive Signature _______________________________________________________________________________ information should be forwarded to the Head of Equity Trading Visit www.TradeTechUSA.com for cancellation information and frequently asked questions 10550.004/AT TODAY! Email: tradetech@wbresearch.com Web: www.TradeTechUSA.com REGISTER Call: 1.888.482.6012 or 1.646.200.7530 Fax: 1.646.200.7535 Chairing Sponsor: Sponsors: Core TradeTech Event Series Attendee Breakdown: Join sweisleder@wbresearch.com. 646-200-7493 or contact Seth Weisleder at opportunities are extremely limited so Sponsorship and exhibiting yet simplest, decision to make this year. TradeTech USA audience is the smartest, your company’s brand in front of the and sell side firms need apply. Putting world’s leading technology providers afford not to be at TradeTech? Only the assets under management. Can you 500+ industry practitioners. Trillions in 250+ buy side traders and technologists. sweisleder@wbresearch.com. 646-200-7493 or contact Seth Weisleder at opportunities are extremely limited so Sponsorship and exhibiting The Premier Global Event For Institutional Equity Traders And Technologists Job Titles ■ 24% IT/Systems Groups ■ 27% Traders ■ 24% Heades of Trading February 22 – 24, 2010 recovering market Strategies for profitable trading in a ■ 10% Others ■ 7% CEOs/Presidents ■ 8% Managing Directors Lead Sponsors: Speakers Prominent Guest Bestseller Shares insight into his NY Times Author, The Black Swan Principal, Universa Investments Nassim N. Taleb on the future of capital markets Moderates a chief executive panel 60 Minutes Contributing Correspondent Charlie Rose Executive Editor and Anchor Charlie Rose • New York Marriott Marquis in the world! The largest gathering Firm Types ■ 4% Prop. Trading Firms ■ 12% Other ■ 38% Sell Sides ■ 49% Buy Side buy side Organized By:

Trade tech usa 2010

by NaomiAlston on Nov 12, 2010

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