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External Meetings: Meeting with FINRA

When:
10/5/2010 8:30 AM
Rulemaking(s):
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
Visitor(s):
Richard G. Ketchum (FINRA)

Stephen Luparello (FINRA)

Howard Schloss (FINRA)

Steven Joachim (FINRA)

Julie Bauer (FINRA)
Organization(s):
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