External Meetings: Joint SEC-CFTC Meeting with FIA and SIFMA representatives

IV. Business Conduct Standards – Internal

Sarah Josephson, Frank Fisanich, Claire Noakes, Katherine Driscoll, Charles McCarty

Barbara Wierzynski (FIA), James McHale (SIFMA), John Polanin, Jr. (UBS Financial Services Inc.), Tracey White (MF Global), Jill Ostergaard (Morgan Stanley), Gregory Johnson (JPMorgan Chase & Co.), Gary Johnson (Pershing), Chris Mahon (Alliance Bernstein), John Nicholas (Newedge USA), Lourdes Gonzalez (SEC), Cindy Oh (SEC), James Brigagliano (SEC), Jack Habert (SEC), Joseph Furey (SEC), Joanne Rutkowski (SEC), Burt Porter (SEC)