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External Meetings: CFTC/SEC consultation with FINRA

8/3/2010 4:00 PM
III. Business Conduct Standards w/ Counterparties
CFTC Staff:
Phyllis Cela

Ted Kneller

Peter Sanchez

Barry McCarty

Michael Solinsky

Katherine Driscoll

Vivek Jain

Stephanie Horne
Daniel M. Sibears (FINRA)

Gary Goldshelle (FINRA)

Patricia Albrecht (FINRA)

Lourdes Gonzalez (SEC)

Cindy Oh (SEC)

Joanne Rutkowski (SEC)
  • Consultation held at the CFTC's Washington, DC office. The participants reviewed the statutory language regarding business conduct, including ?4s(h) and ?4c(a)(7) of the Commodity Exchange Act and ?15F(h) of the Securities Exchange Act of 1934. The participants also discussed the business conduct rules that currently apply to FINRA members and the different business conduct standards that FINRA applies depending on the type of customer and product. In addition, the participants discussed areas that may require additional rules or revised rules based on the statutory language.