Meeting Date:
Monday, November 17, 2014
CFTC Staff:
Comm J. Christopher Giancarlo
Jason Goggins
Marcia Blase
Amir Zaidi
Organization(s):
Members of SIFMA's General Counsel Committee
External Attendees:
1. Andrew Alter, Managing Director, Head of Capital Markets Legal, Americas
BNP Paribas Securities Corp.
2. James Ballowe, General Counsel, Brokerage
E*TRADE Financial Corp.
3. Ken Bentsen Chief Executive Officer & President SIFMA
4. David Bergers, Managing Director & General Counsel
LPL Financial LLC
5. Kyle Brandon, Managing Director, Director of Research
SIFMA
6. William Caccamise, General Counsel & Managing Director
Bank of America Merrill Lynch
7. Carrie Chelko, Vice President & Chief Counsel
Lincoln Financial Distributors, Inc.
8. Michael Crowl, Group Managing Director, General Counsel
UBS AG
9. Gary Distell, Chief Compliance Officer
Cantor Fitzgerald & Co.
10. Stephen Dolmatch, Chief Legal Officer
Lloyds Securities Inc.
11. Bradley Edgell, Managing Director
SIFMA
12. Stacey Friedman, General Counsel
J.P. Morgan Securities LLC
13. David Garfield, General Counsel & Executive Vice President
The Charles Schwab Corporation
14. John Geelan, General Counsel & Secretary
Piper Jaffray & Co.
15. Ira Hammerman, Executive Vice President & General Counsel
SIFMA
16. Steven Heineman, General Counsel
ConvergEx Execution Solutions LLC
17. Douglas Kelly, Assistant General Counsel
Wells Fargo & Company
18. Ellen Koplow, Executive Vice President & General Counsel
TD Ameritrade Holding Corporation
19. Melissa MacGregor, Managing Director & Associate General Counsel
SIFMA
20. Chris McMillan, Deputy General Counsel
COR Clearing LLC
21. Dennis McNamara, Executive Vice President, General Counsel
Oppenheimer & Co. Inc.
22. Gregory McShea, Senior Vice President & General Counsel
Janney Montgomery Scott LLC
23. Stephen Merkel, Executive Managing Director, General Counsel, Secretary & Director
Cantor Fitzgerald & Co.
24. Achilles Perry, General Counsel (US)
CIBC World Markets Corp.
25. Aseel Rabie, Managing Director & Associate General Counsel
SIFMA
26. Joe Salama, Director and Associate General Counsel Deutsche Bank
27. Mark Steffensen, Managing Director & General Counsel
HSBC Securities (USA) Inc.
28. Paul Stevelman, Co-General Counsel
RBS Securities Inc.
29. Sandra Treusdell, Vice President
Mitsubishi UFJ Securities (USA), Inc.
30. H. Lake Wise, Deputy President & Chief Legal Officer
Daiwa Capital Markets America Inc.
Additional Information:
Discussed Position Limits & Margin on Uncleared Swaps.
