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Comment for Proposed Rule 75 FR 75728

  • From: Ex Parte Communication
    Organization(s):
    U.S. Chamber of Commerce

    Comment No: 30867
    Date: 3/1/2011

    Comment Text:

    External Meeting with U.S. Chamber of Commerce

    Tuesday, March 01, 2011

    Memo from
    Riccobene, Edward J.

    CFTC Staff :
    Gary Gensler, Chairman
    Timothy Karpoff, Legal Assistant to Chairman
    David Meister, Director, Division of Enforcement
    Vincent McGonagle, Sr. Deputy, Director, Division of Enforcement
    Joan Manley, Deputy Director, Division of Enforcement
    Edward Riccobene, Chief, Office of Policy & Review, Division of Enforcement
    Leslie Randolph, Assistant General Counsel, Office of General Counsel

    External Attendees :
    Tom Quaadman, Vice President, Center for Capital Markets Competitiveness
    Alice Joe, Senior Director, Center for Capital Markets Competitiveness
    Frank Zarb, Partner, Proskauer Rose LLP

    Additional Information :
    Attendees discussed U.S. Chamber of Commerce comment letter.  Topics raised were: simultaneous reporting by whistleblower to CFTC and company and importance of notice to company; company internal reporting obligations; time periods for reporting by company and whistleblower to CFTC; and award eligibility of culpable whistleblowers.

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