U.S. SEC Releases Detailed Agenda of 2019 FinTech Forum on May 31st

U.S. SEC Releases Detailed Agenda of 2019 FinTech Forum on May 31st

The U.S. Securities and Exchange Commission (SEC) has provided an agenda for its upcoming 2019 FinTech Forum. Hosted in Washington, D.C. and open to the public, the forum will feature four panel discussions centering upon the integration of Distributed Ledger Technology (DLT) and the capital markets industry.

The SEC’s 2019 FinTech Forum Agenda and Plans Explained

The SEC has officially announced its agenda for its upcoming public forum on May 31st.

The 2019 FinTech Forum will be hosted by the SEC’s strategic hub for innovation and financial technology, FinHub.

The forum will feature four panels, titled as follows: Capital Formation Considerations, Trading and Markets Consideration, Investment Management Considerations, and Distributed Ledger Technology Innovations: Industry Trends and Specific Use Cases for Financial Markets.

While the speaking will commence at 9:30am EST, doors will open at 8am. The SEC has urged guests to plan for screening measures which will require photo identification.

No registration is required for the event, and it will be open to the public.

A live webcast will be streamed by the SEC, and the video will be archived on the FinHub page for later viewing.

The forum’s discussion is highly anticipated by the security token industry.

SEC Chairman Jay Clayton has publicly stated how nearly every Initial Coin Offering (ICO) he has seen constitutes a securities offering. As a result, the majority of digital assets must abide by the commission’s existing securities laws. The one clear exception has been Ethereum.

Many securities watchdogs across the globe have adopted the same view, emphasizing the influence of the U.S. SEC.

The SEC’s 2019 FinTech Forum Agenda

The forum’s agenda is as follows:

Agenda and Panelists

(All times Eastern, Panelists listed are scheduled to appear)

8 a.m.        Doors open

— Morning Session —

9:30 a.m.   Opening Remarks by Valerie Szczepanik, Head, FinHub

Remarks by William Hinman, Director, Division of Corporation Finance

Panel 1: Capital Formation Considerations

Moderator: Jonathan Ingram, Chief Legal Advisor, FinHub, Division of Corporation Finance


  • Paul Brody – Ernst & Young
  • Joshua Ashley Klayman – Klayman LLC
  • Aaron Wright – Cardozo Law School

Remarks by Brett Redfearn, Director, Division of Trading and Markets

Panel 2: Trading and Markets Considerations

Moderator:  Elizabeth Baird, Deputy Director, Division of Trading and Markets


  • David Forman – Fidelity Brokerage Services
  • Mark Wetjen – DTCC
  • Neha Narula – MIT Media Lab

Lunch Break – 75 minutes

— Afternoon Session —

Remarks by Dalia Blass, Director, Division of Investment Management

Panel 3: Investment Management Considerations

Moderator: Jennifer McHugh, Senior Special Counsel, Division of Investment Management


  • Jay Baris – Shearman & Sterling LLP
  • John D’Agostino – DMS
  • Amy Steele – Deloitte

Remarks by Peter Driscoll, Director, Office of Compliance Inspections and Examinations

Panel 4: Distributed Ledger Technology Innovations: Industry Trends and Specific Use Cases for Financial Markets

Moderator: Scott Walker, Special Counsel, FinHub


  • Christopher Ferris – IBM
  • Todd McDonald – R3
  • Kevin Werbach – Wharton School, University of Pennsylvania

5:30 p.m.        FinTech Forum concludes

What do you think of the 2019 FinTech Forum? What are the most important topics to be discussed and, what will come from such forums? We’re curious to know what you think in the comments section below.

Image courtesy of SEC.gov.