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External Meetings: CFTC/SEC consultation with Groom Law & Employee Benefit Plans

8/30/2010 12:00 PM
III. Business Conduct Standards w/ Counterparties
CFTC Staff:
Phyllis Cela

John Dolan

Vivek Jain

Barry McCarty

Michael Solinsky

Katie Driscoll

Ted Kneller
Richard Matta (Groom Law Group)

Jeanine Markoe Raymond (Director of Federal Relations, NASRA)

Leigh Snell (Federal Relations Director, National Council on Teacher Retirement)

Jane Hamlett (SWIB)

Ian Lanoff (Groom Law Group)

Rick Dahl (Mosier's)

Doug Scheidt (SEC)

Christine Sibille (SEC)

Lourdes Gonzalez (SEC)

Joanne Rutkowski (SEC)

Cindy Oh (SEC)

Rich Ferlauto (SEC)
Groom Law Group

National Association of State Retirement Administrations, NASRA

National Council on Teacher Retirement


State Workforce Investment Board (SWIB)
  • 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 and use of swaps in the public pension plan industry and concerns regarding business conduct in the swaps market place.