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External Meetings: CFTC/SEC consultation with ICE

When:
8/5/2010 11:00 AM
Rulemaking(s):
III. Business Conduct Standards w/ Counterparties
CFTC Staff:
Phyllis Cela

Michael Solinsky

Katie Driscoll

Ted Kneller

Barry McCarty

Russ Battaglia

Stephanie Horne
Visitor(s):
Peter Barsoom (ICE)

Audrey Hirschfeld (ICE)

Christine Sibille (SEC)

Joanne Rutkowski (SEC)

Rich Ferlauto (SEC)

Lourdes Gonzalez (SEC)

Mike Beedivh (SEC)
Organization(s):
Intercontinental Exchange (ICE)
  • 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 business conduct rules that currently apply to ICE members and the different business conduct standards that ICE applies depending on the type of customer and product. In addition, the participants discussed considerations and approaches to rulewriting in this context.

See Also:

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CFTC's Commitment to Open Government

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Follow the Status of Enforcement Actions