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Ex Parte Meeting for Proposed Rule 83 FR 61571

  • Title:
    Ex Parte Communication

    Ex Parte No: 1340
    Date: 3/4/2019

    Meeting Date:

    Monday, March 4, 2019

    CFTC Staff:

    Nhan Nguyen

    Roger Smith

    Michael Penick



    AQR Capital Management

    Covington & Burling

    Goldman Sachs Asset Management



    SIFMA Asset Management Group


    Wellington Management

    Russell Investments


    D.E. Shaw

    External Attendees:

    Darcy Bradbury, D.E. Shaw (by phone)

    Lisa Cavalleri (Russell Investments) (by phone)

    Uttara Dukkipati (Covington & Burling)

    Bradley Edgell (SIFMA)

    Richard Grant (AQR Capital Management)

    Stephen Humenik (Covington & Burling)

    Arthur Leiz (Goldman Sachs Asset Management) (by phone)

    Todd Lurie (MetLife)

    Laura Martin (Wellington Management)

    Ankur Patel (Vanguard)

    Jonah Platt, Citadel (by phone)

    Andrew Ruggiero (SIFMA Asset Management Group)

    Jason Silverstein (SIFMA Asset Management Group)

    William Thum (Vanguard)

    Nadia Zakir (PIMCO) (by phone)

    Additional Information:

    Discussion of SEF rule proposal and Name Give-Up request for comment

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