External Meetings: Meeting with SIFMA AMG

On April 27, 2011 at 2:30 p.m. EDT, representatives of the CFTC and the SEC (via dial-in) met with asset managers and representatives of SIFMA AMG.  Staff discussed issues raised in SIFMA AMG’s public comment letters relating to real-time reporting proposed rule (dated February 7, 2011) and the SEF proposed rule (dated March 8, 2011).  Specific issues discussed included block trades (need for data, phase-in of block trades, illiquid products, time delays), RFQ definition, requirement to “take into account” other resting bids and offers, 15-second delay, available to trade determination and allocation issues.
XVIII. Real Time Reporting

CFTC Staff
Riva Spear Adriance

Jane Croessmann

Anthony Hays

Carl Kennedy

Carlene Kim

Tom Leahy

Mauricio Melara

George Pullen

Steven Seitz

Jeffrey Steiner

Amir Zaidi
Nancy Sanow (SEC)

Tom Eady (SEC)

Michael Gaw (SEC)

David Liu (SEC)

Connie Kiggins (SEC)

Steve Varholik (SEC)

Michou Nguyen (SEC)

Jasmin Sethi (SEC)

Iliana Lundblad (SEC)

 Superna Vedbrat (BlackRock)

Dan Budofsky (Davis Polk)

Christine Ayotte-Brennan (Fidelity)

Alexander Marx (Fidelity)

Matt Nevins (Fidelity)

Arthur Leiz (Goldman Sachs)

Wendy Yun (Goldman Sachs)

Nevis Bregasi (MFS)

Bill DeLeon (PIMCO)

Tim Cameron (SIFMA AMG)

Peter Ryan (SIFMA AMG)

Bill Thum (Vanguard)

Ronald Reardon (Vanguard)

Charlie Mulhern (Wellington)
Securities and Exchange Commission (SEC)

Asset Management Group of the Securities Industry and Financial Markets Association (SIFMA AMG)


Davis Polk

Fidelity Investments (Fidelity)



Goldman Sachs

MFS Investment Management (MFS)

Wellington Capital Management (Wellington)