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EVENT: Roundtable Mar 1, 2012


  • Transcript

    Day 2: CFTC Staff Public Roundtable to Discuss Additional Customer Collateral Protections


    Staff of the Commodity Futures Trading Commission (CFTC) will hold a two-day public roundtable to discuss additional customer collateral protection. The roundtable is to gather public input on a variety of ideas to further protect customers.

    Day two of the two-day session will focus primarily on the protection of customer funds deposited with FCMs for trading on foreign futures markets; particular issues associated with entities dually registered with the CFTC as FCMs and the U.S. Securities and Exchange Commission as broker-dealers (BDs); and enhancing the self-regulatory structure..

    When

    Thursday, March 1, 2012, 9:30 am

    Where:

    CFTC’s Conference Center, 1155 21st, NW, Washington DC

    Topic:

    Customer Collateral Protections

    Listening Information:

     

    Domestic Toll-Free Number: (866) 844-9416
    International Toll Numbers:
    203-369-5026
    Passcode: CFTC

    The meeting will be open to the public on a first come, first served basis.

    Agenda for Day 2:

    9:30 a.m.

    First Session – Enhancing Protections for Customers Trading Through an FCM on Foreign Futures Markets – Part 30

    12:00 noon

    Lunch Break

    1:00 p.m.

    Second Session – Issues Particular to Dually Registered FCMs and BDs

    2:30 p.m.

    Afternoon Break

    2:45 p.m.

    Third Session – Self-Regulatory Organizations and Self-Regulatory Oversight

    4:15 p.m.

    Roundtable Concludes

    CFTC Press Release 6188-12

    Panelists: March 1, 2012 Public Roundtable on Customer Protection

    View Roundtable Video

    Transcript

    Note:

    Members of the public wishing to submit their views on the topics addressed at the roundtable may do so via:

      • Paper submission to David Stawick, Secretary, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581; or

      • Electronic submission by visiting Comment Online and following the instructions for submitting comments through the CFTC’s website.

    All comments on the Day 2 discussions must be identified by RIN number 3038-AD71.

    All submissions provided to the CFTC in any electronic form or on paper may be published on the Commission’s website, without review and without removal of personally identifying information.


    Last Updated: May 21, 2012

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