Font Size: AAA // Print // Bookmark

External Meetings: CFTC/SEC consultation with MFA

When:
8/20/2010 3:00 PM
Rulemaking(s):
III. Business Conduct Standards w/ Counterparties
CFTC Staff:
Todd Prono

Peter Sanchez

Phyllis Cela

Katherine Driscoll

Ted Kneller

Barry McCarty

Michael Solinsky
Visitor(s):
Kim Rozman (HBK)

Jim Eastman (SEC)

David Dimitrious (SEC)

Lourdes Gonzalez (SEC)

Caite McGuire (SEC)

Joanne Rutkowski (SEC)

Christine Sibille (SEC)

Cindy Oh (SEC)
Organization(s):
MFA

HBK
  • The consultation was conducted via teleconference. 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 nature the managed investment funds' use of swaps and their business relationships with swaps dealers in the context of business conduct standards.

See Also:

OpenGov Logo

CFTC's Commitment to Open Government

Gavel and Book

Follow the Status of Enforcement Actions