External Meetings: CFTC/SEC Consultation with Morgan Stanley
The consultation was conducted at the SECs Washington, DC office. CFTC staff participated by teleconference.
The participants reviewed the statutory language regarding business conduct, including §4s(h) of the Commodity Exchange Act and §15F(h) of the Securities Exchange Act of 1934. The participants also discussed the nature and activities of the swaps dealing business and dealers interactions with counterparties.
The participants reviewed the statutory language regarding business conduct, including §4s(h) of the Commodity Exchange Act and §15F(h) of the Securities Exchange Act of 1934. The participants also discussed the nature and activities of the swaps dealing business and dealers interactions with counterparties.
When
Rulemaking(s)
III. Business Conduct Standards w/ Counterparties
CFTC Staff
Phyllis Cela
Katherine Driscoll
Ted Kneller
Barry McCarty
Todd Prono
Peter Sanchez
Michael Solinsky
John Dolan
Katherine Driscoll
Ted Kneller
Barry McCarty
Todd Prono
Peter Sanchez
Michael Solinsky
John Dolan
Visitor(s)
Anthony Cicia (Morgan Stanley)
Soo-Mi Lee (Morgan Stanley)
Richard Ostrander (Morgan Stanley)
Mary Lou Peters (Morgan Stanley)
RoseAnne Richter (Morgan Stanley)
Peter Curley (SEC)
Lourdes Gonzalez (SEC)
Jack Habert (SEC)
Cindy Oh (SEC)
Joanne Rutkowski (SEC)
Dave Sanchez (SEC)
Elizabeth Sandoe (SEC)
Christine Sibille (SEC)
James Sinnott (SEC)
Katrina Wilson (SEC)
Soo-Mi Lee (Morgan Stanley)
Richard Ostrander (Morgan Stanley)
Mary Lou Peters (Morgan Stanley)
RoseAnne Richter (Morgan Stanley)
Peter Curley (SEC)
Lourdes Gonzalez (SEC)
Jack Habert (SEC)
Cindy Oh (SEC)
Joanne Rutkowski (SEC)
Dave Sanchez (SEC)
Elizabeth Sandoe (SEC)
Christine Sibille (SEC)
James Sinnott (SEC)
Katrina Wilson (SEC)
Organization(s)
Morgan Stanley