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External Meetings: Meeting with NFA and the SEC

When:
9/1/2010 11:30 AM
Rulemaking(s):
XXVII. Investment Adviser Reporting

CFTC Staff:
Kevin Walek

Amanda Olear

Daniel S. Konar II
Visitor(s):
Michael Crowley (NFA)

Regina Thoele (NFA)

Ken Hasse (NFA)

Gregory Prusik (NFA)

Dave Kammerer (NFA)

Keith Kanyan (SEC)

Tram Nguyen (SEC)

David Vaughan (SEC)

Jim Reese (SEC)

Daniele Marchesani (SEC)
Organization(s):
National Futures Association (NFA)

U.S. Securities and Exchange Commission (SEC)
  • Telephone conference discussing access to NFA's database and ORS.  NFA provided additional information regarding its PQR.

See Also:

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CFTC's Commitment to Open Government

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Follow the Status of Enforcement Actions