External Meetings: Meeting with Securities Industry and Financial Markets Association (SIFMA)
External Meetings: Meeting with Securities Industry and Financial Markets Association (SIFMA)
Participants discussed entities rule.
External Meetings: Call w/Mark Young
External Meetings: Call w/Mark Young
Discussed Travelers comment letter regarding the test of insurance in the product definitions proposed rules and interpretive guidance.
External Meetings: Call re Proposed 1.35(a) Amendment
External Meetings: Call re Proposed 1.35(a) Amendment
Discussion about the feasibility and cost of complying with the proposed voice recording requirement of Regulation 1.35(a)
External Meetings: Call with Larry Fink (BlackRock)
External Meetings: Call with Larry Fink (BlackRock)
Mr. Fink called to speak with the Chairman regarding segregation for cleared swaps - specifically, his support for the LSOC model.
External Meetings: Meeting with Calpers and other pension plan representatives
External Meetings: Meeting with Calpers and other pension plan representatives
Participants discussed their views on collateral segregation for cleared swaps and external business conduct standards.
External Meetings: Meeting with ABC/CIEBA
External Meetings: Meeting with ABC/CIEBA
Representatives for ABC and CIEBA further discussed the views expressed in their February 22, June 3, and August 29 comment letters.
External Meetings: Telephone Call on Segregation & Bankruptcy Rule
External Meetings: Telephone Call on Segregation & Bankruptcy Rule
Participants discussed the adequacy of customer protection under segregations models being considered by the Commission, particularly the Legal Segregation Operationally Commingled (LSOC) model. Mr. Raisler and Mr.
External Meetings: Meeting with Pension Group
External Meetings: Meeting with Pension Group
Discuss business conduct standards as it relates to Dodd-Frank.
External Meetings: Meeting with employee benefits group
External Meetings: Meeting with employee benefits group
Participants discussed fiduciary issues, independent representatives, advisor, suitability, collective investment vehicle and relationship documentation or transactional documentation in regards to Dodd-Frank.