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External Meetings: CFTC/SEC consultation with Labor/Consumer groups

8/9/2010 3:00 PM
III. Business Conduct Standards w/ Counterparties
CFTC Staff:
Phyllis Cela

Katherine Driscoll

Ted Kneller

Barry McCarty

Todd Prono

Peter Sanchez
Barb Roper (CFA)

Lisa Lindsley (AFSCME)

Leslie Kvavnerih (AFR)

Craig Mehall (Public Citizen)

Josh Nissar (SEIU)

Sumanta Ray (SEIU)

Heather Slavkon (AFL-CIO)

Rich Ferlauto (SEC)

Mike Fiorbello (SEC)

Lourdes Gonzalez (SEC)

Caite McGuire (SEC)

Joanne Rutkowski (SEC)

Christine Sibille (SEC)

Amy Starr (SEC)
Consumer Federation of America (CFA)

American Federation of State, County and Municipal Employees (AFSCME)

Service Employees International Union (SEIU)

American Federation of Labor and Congress of Industrial Organizations (AFL-CIO)
  • 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 particular concerns that governmental entities and pensions plans have regarding business conduct standards in the swaps marketplace and how the new rules could address those concerns.