Event: Roundtable


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..


Thursday, March 1, 2012, 9:30 am


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


Customer Collateral Protections

Listening Information:


Domestic Toll-Free Number: (866) 844-9416
International Toll Numbers:
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



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: October 3, 2014