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Comment for Proposed Rule 76 FR 8068

  • From: Ex Parte Communication

    Comment No: 31838
    Date: 3/1/2011

    Comment Text:

    Meeting with NFA, SEC, FINRA

    Tuesday, March 01, 2011

    Memo from
    Konar II, Daniel S.

    CFTC Staff :
    Daniel S. Konar II

    External Attendees :
    Timothy McHenry, Director of Information Systems (NFA)
    Dave Kammerer, Director of Information Systems (NFA)
    Patricia Finnegan, Manager of Information Systems (NFA)
    Andrea Torres, Senior Developer Information Systems (NFA)
    Maria McHenry, Senior Manager, Compliance (NFA)
    Tracey Hunt, Senior Manager, Compliance (NFA)
    Vince Tabor, Manager, Information Systems (NFA)
    David Bartels (SEC)
    Keith Kanyan (SEC)
    Susan Dominowski (FINRA)
    Jerry Jerod (FINRA)

    Additional Information :
    The meeting participants discussed coordinating data formats for reporting by advisers registered with the CFTC and SEC.

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