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External Meetings: Meeting w/ the General Counsels Committee of the Securities Industry and Financial Markets Association

11/2/2011 11:00 AM

CFTC Staff:
Bart Chilton

Elizabeth Ritter
Bradley Edgell (SIFMA)

Richard Chase (RBC Capital Markets Corporation)

Raymond J. Dorado (The Bank of New York Mellon)

Andrew Alter (BNP Paribas Securities Corp)

James E. Ballowe, Jr (E*TRADE Financial Corporation)

William C. Caccamise (Bank of America Merrill Lynch)

James L. Chosy (Piper Jaffray Companies)

Michael Crowl (Barclays Capital)

Carrie E. Dwyer (Charles Schwab & Co., Inc)

John Faulkner (Morgan Stanley)

Jon Feigelson (TIAA-CREF)

Marc Gary (Fidelity Investments)

Steven P. Heineman (Societe Generale)

John Ivan (Janney Montgomery Scott Inc)

John Junek (Ameriprise Financial, Inc)

Karen Kirchen (Citi Global Markets Inc)

Ellen L.S. Koplow (TD AMERITRADE Holding Corporation)

John M. Liftin (D. E. Shaw & Co., L.P)

Paul Matecki (Raymond James Financial, Inc)

Joe Mendola (M.R. Beal & Company)

Gregory K. Palm (Goldman, Sachs & Co)

Achilles M. Perry (CIBC)

Joseph Polizzotto (Deutsche Bank)

Neil Radey (Credit Suisse)

Jonathan Schwartz (JPMorgan)

Melvin A. Schwarz (Guy Carpenter & Company, LLC)

Mike Sharp (Jefferies & Company, Inc)

Mark Shelton (UBS AG)

Alexander Sheers (Mitsubishi UFJ Securities (USA), Inc)

Arthur J. Simon (William Blair & Company, L.L.C.)

Mark A. Steffensen (HSBC Securities USA Inc.)

James Tricarico (Edward Jones)

Richard H. Walker (Deutsche Bank AG)

Richard L. West (Pipeline Trading Systems LLC)

Louise Guarneri (Credit Suisse Securities (USA) LLC)
  • Dodd Frank implementation issues, CFTC priorities, and cost-benefit analysis

See Also:

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CFTC's Commitment to Open Government

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Follow the Status of Enforcement Actions