CFTC-SEC Joint Advisory Committee (Inactive)

The joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues was established in 2010 by the CFTC and SEC to develop recommendations on emerging and ongoing issues relating to both agencies. The formation of the joint advisory committee was one of the 20 recommendations included in the agencies' harmonization report issued in 2009. Subjects the joint advisory committee was created to address included the identification of emerging regulatory risks, assessment and quantification of the impact of such risks and their implications for investors and market participants, and the agencies' efforts on regulatory harmonization. The joint advisory committee has been inactive since 2014.

Committee Charter (PDF)

Staff Findings Regarding the Market Events of May 6, 2010 (PDF)
The CFTC and SEC issued a joint report presenting their findings regarding the market events of May 6, 2010
Released: October 1, 2010

Recommendations Regarding Regulatory Responses to the Market Events of May 6, 2010 (PDF)
The Joint CFTC-SEC Advisory Committee issued a report presenting their recommendations regarding regulatory responses to the market events of May 6, 2010.
Released: February 18, 2011

Meetings

Date Meeting Details

Meeting to discuss recommendations regarding the market events of May 6, 2010, and other matters relating to the ongoing work of the committee. Full details here.

Meeting to receive a summary from the staffs of the CFTC and SEC on the report issued September 30, 2010, hear a report from the subcommittee on cross-market linkages, hear a report from the subcommittee on pre-trade risk management, and discuss potential recommendations and responses. Full details here.

Meeting to continue the examination of the unusual market events of May 6, 2010, focusing on investor perspectives. Full details, including minutes and agenda, here.

Meeting to review the unusual market events that occurred on May 6, 2010, focusing on exchanges and significant market participants perspectives. Full details, including minutes and agenda, here.

Meeting to discuss the preliminary findings of the staffs of the CFTC and SEC related to the unusual market events of May 6, 2010. Full details here.