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External Meetings: Meeting with FINRA

10/5/2010 8:30 AM
XIII. SEF Registration

XVIII. Real Time Reporting

XXIV. Disruptive Trading Practices

CFTC Staff:
Gary Gensler

Riva Adriance

Tom Leahy

John Riley

Steve Sherrod

Jeff Steiner

Mauricio Melara
Richard G. Ketchum (FINRA)

Stephen Luparello (FINRA)

Howard Schloss (FINRA)

Steven Joachim (FINRA)

Julie Bauer (FINRA)
Financial Industry Regulatory Authority (FINRA)
  • Participants discussed: (i) swap execution facilities and pre-trade transparency; (ii) real-time reporting, block trades and post-trade transparency; and (iii) disruptive trading practices.

See Also:

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CFTC's Commitment to Open Government

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Follow the Status of Enforcement Actions