August 2, 2012

CFTC Staff to Host a Public Roundtable to Discuss Additional Customer Protections

Washington, DC —Commodity Futures Trading Commission (CFTC) today announced that staff will hold a public roundtable on Thursday, August 9, 2012, from 9:30 a.m. to 5:00 p.m., to discuss customer protection requirements for futures commission merchants (FCMs). The objective of the roundtable is to gather public input on a variety of ideas to further protect customers.

Specifically, the discussion will focus on Self-Regulatory Organization (SRO) requirements for examinations of FCMs and CFTC oversight of SRO examination programs, the role of the independent CPA in the examination process, and protection requirements for FCMs, including proposals from the CFTC’s staff and various proposed alternatives to the current system for segregating customer funds.

Agenda for the Public Roundtable Discussion:

9:30 a.m.

First Session – SRO requirements for the examination of FCMs

10:30 a.m.

Morning Break

10:45 a.m.

First Session (continued) – CFTC oversight of SRO examination and the role of the CPA

12:45 p.m.

Lunch Break

1:30 p.m.

Second Session – CFTC Staff’s Customer Protection Proposals

3:30 p.m.

Third Session– Alternative Models for Segregation

5:00 p.m.

Roundtable Concludes

The roundtable will be held in the Conference Center at the CFTC’s Headquarters at Three Lafayette Centre, 1155 21st Street, NW, Washington, DC, 20581. The discussion will be open to the public. Members of the public may also listen by telephone and should be prepared to provide their first name, last name, and affiliation.

Listening information:

US Toll-Free Number: 866-844-9416

International Toll Numbers: See Related Document

Passcode: CFTC

A transcript of the roundtable discussion will be published on the CFTC’s website at:

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 and following the instructions for submitting comments through the CFTC’s website.

All comments must be identified by RIN number: 3038-AD87.

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: August 2, 2012