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Ex Parte Meeting for Proposed Rule 76 FR 1214

  • Title:
    Meeting with GFI

    Ex Parte No: 581
    Date: 2/16/2012

    Meeting Date:

    Thursday, February 16, 2012

    CFTC Staff:

    David Van Wagner, Bella Rozenberg, Sebastian Pujol Schott, Nadia Zakir, Amir Zaidi

    Organization(s):

    GFI, Patton Boggs

    External Attendees:

    Michael Cosgrove (GFI), Colin Heffron (GFI), Richard Giles (GFI), James Higgins (GFI), Dan Glatter (GFI), Abe Zucker (GFI), Lauren Burd (GFI), Scott Pintoff (GFI), Chris Giancarlo (GFI), Bill Shields (GFI), Micah Green (Patton Boggs)

    Additional Information:

    Participants discussed SEF execution methods, whether hybrid and/or voice brokerage operations are permissible under the Dodd-Frank Act, voice brokerage trading protocols (e.g., work-ups and right of first refusals), and SEF compliance issues. The CFTC staff were given a tour of GFI's operations.

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