External Meetings: CFTC/SEC consultation with FINRA
Consultation held at the CFTC's Washington, DC office. The participants reviewed the statutory language regarding business conduct, including ?4s(h) and ?4c(a)(7) of the Commodity Exchange Act and ?15F(h) of the Securities Exchange Act of 1934. The participants also discussed the business conduct rules that currently apply to FINRA members and the different business conduct standards that FINRA applies depending on the type of customer and product. In addition, the participants discussed areas that may require additional rules or revised rules based on the statutory language.
When
Rulemaking(s)
III. Business Conduct Standards w/ Counterparties
CFTC Staff
Phyllis Cela
Ted Kneller
Peter Sanchez
Barry McCarty
Michael Solinsky
Katherine Driscoll
Vivek Jain
Stephanie Horne
Ted Kneller
Peter Sanchez
Barry McCarty
Michael Solinsky
Katherine Driscoll
Vivek Jain
Stephanie Horne
Visitor(s)
Daniel M. Sibears (FINRA)
Gary Goldshelle (FINRA)
Patricia Albrecht (FINRA)
Lourdes Gonzalez (SEC)
Cindy Oh (SEC)
Joanne Rutkowski (SEC)
Gary Goldshelle (FINRA)
Patricia Albrecht (FINRA)
Lourdes Gonzalez (SEC)
Cindy Oh (SEC)
Joanne Rutkowski (SEC)
Organization(s)
FINRA