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External Meetings: CFTC/SEC consultation with NFA

8/4/2010 10:00 AM
III. Business Conduct Standards w/ Counterparties
CFTC Staff:
Phyllis Cela

Vivek Jain

Michael Solinsky

Ted Kneller

Todd Prono

Barry McCarty

Peter Sanchez

Katherine Driscoll

Yousuf Siddiqui

Stephanie Horne
Dan Driscoll (NFA)

Regina Thoele (NFA)

Cynthia Cain (NFA)

Lourdes Gonzalez (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 NFA members and the different business conduct standards that NFA applies depending on the type of customer and product. In addition, the participants discussed potential areas that would necessitate additional rule writing.