Conference on Financial Market Regulation

7th Annual Conference on Financial Market Regulation 

May 14 - 15, 2020*
Securities and Exchange Commission, Washington DC


The SEC’s Division of Economic and Risk Analysis (DERA), Lehigh University’s Center for Financial Services Studies, the University of Maryland’s Center for Financial Policy and CFA Institute will jointly host the Seventh Annual Conference on Financial Market Regulation. The goal of the conference is to bring together participants from academia and the SEC for an exchange of views on topics of relevance to the Commission.

Two papers will be selected in each of four broad topic areas: corporate finance, market microstructure, financial intermediation, and asset management. Possible topics include, but are not limited to:

  • Corporate Finance: corporate disclosures, initial public offerings, seasoned equity offerings, corporate mergers and acquisitions, fintech, corporate governance and voting, corporate and municipal debt offerings, and disclosures related to asset-backed securities.
  • Market Microstructure: the structure, transparency, fairness, efficiency, and liquidity of secondary market trading in the equity, ETP, bond, option, security-based swap, and securities lending markets.
  • Financial Intermediaries: broker-dealers, financial institutions, analysts affiliated with broker- dealers or financial institutions, clearing agencies, central counterparties, credit ratings, and National Recognized Statistical Rating Organizations (NRSROs).
  • Asset Management: investment advisers, ETPs and liquidity, investment companies, hedge funds, and other institutional investors, and custody.

The selection committee will focus on high quality paper submissions whose topics directly relate to the mission of the SEC.

The deadline for paper submissions is November 15, 2019 with a submission fee of $40. Papers can be submitted through ConfTool. Authors of accepted papers will be notified by the beginning of March. Travel reimbursement will be offered to presenters of accepted papers.

Conference organizers: Kathleen Weiss Hanley (Lehigh University), Amy Edwards (SEC), Vlad Ivanov (SEC), Russ Wermers (University of Maryland) and Jim Allen (CFA Institute).

*The conference will take place in the afternoon of Thursday, May 14 and all day on Friday, May 15, 2020.