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External Meetings: Meeting with NFA & MSRB

7/22/2011 10:00 AM
III. Business Conduct Standards w/ Counterparties

CFTC Staff:
Ananda Radhakrishnan

Phyllis Cela

Barry McCarty

Peter Sanchez

Christopher Cummings
Lourdes Gonzalez (SEC)

Joanne Rutkowski (SEC)

Cindy Oh (SEC)

Mary Simpkins (SEC)

Dave Sanchez (SEC)

Tory Crane (SEC)


Regina Thoele (NFA)

Tom Sexton (NFA)

Dan Driscoll (NFA)

Lauren Brinati (NFA)

Carol Wooding (NFA)

Ernesto Lanza (MSRB)

Peg Henry (MSRB)

Karen Du Brul (MSRB)
National Futures Association (NFA)

Municipal Securities Rulemaking Board (MSRB)
  • The attendees from the MSRB expressed the view that CFTC’s proposed pay-to-play rules for Swap Dealers should be harmonized with the MSRB’s pay-to-play rule.~ ~NFA and MSRB attendees discussed potential registration and testing regimes for persons acting as an independent representative to a Special Entity under §4s(h) of the CEA.