Font Size: AAA // Print // Bookmark

External Meetings: Meeting with SIFMA AMG

When:
4/27/2011 2:30 PM
Rulemaking(s):
XVIII. Real Time Reporting

CFTC Staff:
Riva Spear Adriance

Jane Croessmann

Anthony Hays

Carl Kennedy

Carlene Kim

Tom Leahy

Mauricio Melara

George Pullen

Steven Seitz

Jeffrey Steiner

Amir Zaidi
Visitor(s):
Nancy Sanow (SEC)

Tom Eady (SEC)

Michael Gaw (SEC)

David Liu (SEC)

Connie Kiggins (SEC)

Steve Varholik (SEC)

Michou Nguyen (SEC)

Jasmin Sethi (SEC)

Iliana Lundblad (SEC)

 Superna Vedbrat (BlackRock)

Dan Budofsky (Davis Polk)

Christine Ayotte-Brennan (Fidelity)

Alexander Marx (Fidelity)

Matt Nevins (Fidelity)

Arthur Leiz (Goldman Sachs)

Wendy Yun (Goldman Sachs)

Nevis Bregasi (MFS)

Bill DeLeon (PIMCO)

Tim Cameron (SIFMA AMG)

Peter Ryan (SIFMA AMG)

Bill Thum (Vanguard)

Ronald Reardon (Vanguard)

Charlie Mulhern (Wellington)
Organization(s):
Securities and Exchange Commission (SEC)

Asset Management Group of the Securities Industry and Financial Markets Association (SIFMA AMG)

BlackRock

Davis Polk

Fidelity Investments (Fidelity)

PIMCO

Vanguard

Goldman Sachs

MFS Investment Management (MFS)

Wellington Capital Management (Wellington)
  • On April 27, 2011 at 2:30 p.m. EDT, representatives of the CFTC and the SEC (via dial-in) met with asset managers and representatives of SIFMA AMG.  Staff discussed issues raised in SIFMA AMG’s public comment letters relating to real-time reporting proposed rule (dated February 7, 2011) and the SEF proposed rule (dated March 8, 2011).  Specific issues discussed included block trades (need for data, phase-in of block trades, illiquid products, time delays), RFQ definition, requirement to “take into account” other resting bids and offers, 15-second delay, available to trade determination and allocation issues.

See Also:

OpenGov Logo

CFTC's Commitment to Open Government

Gavel and Book

Follow the Status of Enforcement Actions