Ex Parte Meeting for Proposed Rule 75 FR 80638
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Title:
Teleconference with Tennesee Office of the Comptroller of the Treasury
Ex Parte No:
363
Date:
8/29/2011
Meeting Date:
Monday, August 29, 2011
CFTC Staff:
Phyllis Cela
Erik Remmler
Ted Kneller
Organization(s):
Tennessee Office of the Comptroller of the Treasury (TOCT)
External Attendees:
Mary Simpkins (SEC)
Dave Sanchez (SEC)
Jack McWilliams (SEC)
Lourdes Gonzalez (SEC)
Joanne Rutkowski (SEC)
Cindy Oh (SEC)
Mary-Margaret Collier (TOCT)
Additional Information:
The external attendees discussed industry practices for municipal issuers that transact in swaps with respect to the following: (1) conflicts of interest (2) policies and procedures for selecting a financial advisor; (3) independence standards; and (4) request for proposal processes.
