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External Meetings: Meeting with ICAP
XIII. SEF Registration
Rick Shilts, David Van Wagner, Bella Rozenberg, Sebastian Pujol Schott, Nadia Zakir, Amir Zaidi
Stuart Wexler (ICAP), Lisa Desimone (ICAP), Caroline Arnold (ICAP), Chris Ferreri (ICAP), Dan Cleaves (ICAP), Ed Brown (ICAP), Pat McCarty (ICAP), Steve Cooper (ICAP), Sean Murphy (ICAP), Arthur D'Arcy (ICAP), John Nixon (ICAP), Micah Green (Patton Boggs)
ICAP, Patton Boggs
Participants discussed SEF execution methods, whether hybrid and/or voice brokerage operations are permissible under the Dodd-Frank Act, voice brokerage trading protocols (e.g., work-ups and right of first refusals), and SEF compliance issues. The CFTC staff were given a tour of ICAP's operations.