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External Meetings: Teleconference with WMBAA

When:
1/31/2011 1:00 PM
Rulemaking(s):
XIII. SEF Registration

CFTC Staff:
Richard Shilts

Riva Spear Adriance

Mauricio Melara

Amir Zaidi
Visitor(s):
Andrew Wels (BGC Cantor)

Stephen Merkel (BGC Cantor)

Christopher Giancarlo (GFI)

William Shields (GFI)

Scott Pintoff (GFI)

Michael Cosgrove (GFI)

Paul Puchot (GFI)

Christopher Ferreri (ICAP)

Stuart Wexler (ICAP)

Julian Harding (Tradition)

Shawn Bernardo (Tullet Prebon)

Stephen Goulet (Tullet Prebon)

Micah Green (Patton Boggs)

Matthew Kulkin (Patton Boggs)
Organization(s):
Wholesale Markets Brokers' Association Americas (WMBAA)
  • On January 31, 2011, CFTC Staff participated in a conference call with representatives of WMBAA.  WMBAA asked Staff several questions and requested clarification related to the language of the proposed SEF rule.  WMBAA also noted that the Chief Compliance Officer requirements in Core Principle 15 could be burdensome.  Staff noted that the related proposed regulations are consistent with the statute and suggested that WMBAA provide details regarding its concerns in a comment letter.

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