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External Meetings: CFTC/SEC consultation with MSRB

8/5/2010 10:00 AM
III. Business Conduct Standards w/ Counterparties
CFTC Staff:
Phyllis Cela

Michael Solinsky

Ted Kneller

Barry McCarty

Russell Battaglia

Katie Driscoll

Stephanie Horne
Peg Henry (MSRB)

Ernesto Lanza (MSRB)

Amy Starr (SEC)

Mike Reedich (SEC)

Lourdes Gonzalez (SEC)

Rich Ferlauto (SEC)

Tamara Brightwell (SEC)

Martha Haines (SEC)

Joanne Rutkowski (SEC)

Matt Goldin (SEC)

Christine Sibille (SEC)
Municipal Securities Rulemaking Board (MSRB)
  • Consultation held at the SEC'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 Dodd-Frank Act amendments to ?15B of the Securities Exchange Act of 1934, including MSRB's new rulewriting authority under ?15B.