External Meetings: Meeting with FINRA

When:

10/5/2010 8:30 AM

Rulemaking(s):

XIII. SEF Registration

XVIII. Real Time Reporting

XXIV. Disruptive Trading Practices

CFTC Staff:

Gary Gensler

Riva Adriance

Tom Leahy

John Riley

Steve Sherrod

Jeff Steiner

Mauricio Melara

Visitor(s):

Richard G. Ketchum (FINRA)

Stephen Luparello (FINRA)

Howard Schloss (FINRA)

Steven Joachim (FINRA)

Julie Bauer (FINRA)

Organization(s):

Financial Industry Regulatory Authority (FINRA)

Participants discussed: (i) swap execution facilities and pre-trade transparency; (ii) real-time reporting, block trades and post-trade transparency; and (iii) disruptive trading practices.