Event: Other Events

Joint Meeting on Harmonization of Regulation at SEC Headquarters on
September 3, 2009

CFTC/SEC Announce Participants for Joint Meetings on Regulation Harmonization

First meeting to take place at the CFTC on September 2, 2009 and the second meeting to take place at the SEC on September 3, 2009

The Commodity Futures Trading Commission (CFTC) and the Securities & Exchange Commission (SEC) today announced the participants for the two agencies’ joint meetings to seek input from the public on harmonization of market regulation. The CFTC and the SEC expect these meetings will provide the agencies valuable insight on any recommendations for changes to their statutes and regulations that would eliminate regulatory differences with respect to similar types of financial instruments.

The meetings will be open to the public and will be webcast via the internet. In addition, audio of the September 2, 2009, meeting will be available via a listen-only conference call. The record will remain open for public comment until September 14, 2009.

What:

CFTC/SEC joint meetings on harmonization of market regulation

Dates:

Wednesday, September 2, 2009, and Thursday, September 3, 2009

Times:

September 2, 9:00 a.m. EDT – 5:00 p.m. EDT and September 3, 9:00 a.m. EDT – 12:30 p.m. EDT

Locations:

September 2nd meeting

CFTC Headquarters, Lobby-level Hearing Room, 1155 21st Street, NW, Washington, DC.

September 3rd meeting

SEC Headquarters, Lower-level Auditorium, 100 F Street, NE

Viewing/Listening Information:

The CFTC and the SEC will make available the following options to access the meeting:

1.

Watch a live broadcast of the September 2nd meeting via webcast on www.cftc.gov. Watch a live broadcast of the September 3rd meeting on www.sec.gov.

2.

Listen to the September 2nd meeting via a toll-free telephone line to connect to a live audio feed.

Call-in participants should be prepared to provide their first name, last name and affiliation. Conference call I information is listed below:

Domestic/Canada Toll-Free: (888) 691-4252

International Toll: (404) 537-3379

The conference ID: 27943671

Call leader name: CFTC

View archived webcast.

Opening Statement:

• Chairman Gary Gensler

Panel One – Enforcement:

• Daniel Roth, National Futures Association

• David Downey, OneChicago

• Kenneth Raisler, Sullivan & Cromwell

• William R. McLucas, Wilmer Cutler Pickering Hale and Dorr

• Damon Silvers, AFL-CIO

• Richard Owens, Latham & Watkins

15 Minute Break

Panel Two – Investment Funds:

• Professor John Coffee, Columbia Law School

• Richard Baker, Managed Funds Association

• Sharon Brown-Hruska, NERA Economic Consulting

• Kathleen Moriarty, Katten Muchin Rosenman

• Michael Butowsky, Mayer Brown

• Michael Connolly, Association for Financial Professionals

Break for the Day

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 


Last Updated: April 14, 2011