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RELEASE: agenda091510

  • Agenda for Joint SEC-CFTC Roundtable to Discuss Swap Execution Facilities and Security-Based Swap Execution Facilities
    Three Lafayette Centre
    1155 21st Street, NW
    Washington, DC 20581

    September 15, 2010

    9:00 a.m.

    Opening Statements by SEC and CFTC Staff


      • Robert Cook, Director, Division of Trading and Markets, SEC

      Richard Shilts, Director, Division of Market Oversight, CFTC

    9:15 a.m.

    Panel One – Swap Execution Facilities (“SEFs”) and Security-based Swap Execution Facilities (“SB SEFs”)


      • Definition and scope of SEFs/SB SEFs

      Scope of exception from mandatory trading requirement

    10:45-11:00 a.m.


    11:00 a.m.

    Panel Two – Compliance with Core Principles for SEFs and SB SEFs


      • Block trades

      • Surveillance, investigation, and enforcement of SEF/SB SEF rules

      • Cross-market issues

      Obligation of SEFs /SB SEFs to provide impartial access

    12:00 p.m.

    Roundtable concludes

    Last Updated: September 9, 2010