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Ex Parte Meeting for Proposed Rule 81 FR 91252

  • Title:
    Meeting to discuss Proposed Capital Rule for SDs and MSPs

    Ex Parte No: 1229
    Date: 3/9/2017

    Meeting Date:

    Thursday, March 9, 2017

    CFTC Staff:

    Eileen Flaherty
    Tom Smith
    Jennifer Bauer
    Rafael Martinez
    Josh Beale
    Gerald Nudge
    Lihong McPhail
    Rajiv Sharma

    Organization(s):

    Jefferies LLC

    External Attendees:

    Jefferies LLC:

    Sonia Han, MD and General Counsel – Sales & Trading, Legal Department, Jefferies LLC
    Donald Levine, MD, Compliance Department, Jefferies LLC
    Kelvin Galvin, Senior VP, Controllers Department, Jefferies LLC
    Robert Matos, VP, Controllers Department, Jefferies LLC
    Anu Willoughby, Corporate Services, Jefferies LLC
    Matthew Smith, MD and CAO, Jefferies LLC
    Lauri Scoran, MD and CCO, Jefferies LLC
    Joseph D’Auria, MD, Controllers Department, Jefferies LLC
    Steve Lofchie, Partner, CWT

     

    Other:
    Alessandra Riccardi, Director of Capital and Risk, OTC Derivatives, NFA

     

    Additional Information:

    Meeting to discuss Proposed Capital Rule for SDs and MSPs.

AttachmentEdit
Jefferies LLC_030917.docx