Comment Text:
Teleconference with WMBAA
Monday, January 31, 2011
Memo from
Zaidi, Amir
CFTC Staff :
Richard Shilts
Riva Spear Adriance
Mauricio Melara
Amir Zaidi
External Attendees :
Andrew Wels (BGC Cantor)
Stephen Merkel (BGC Cantor)
Christopher Giancarlo (GFI)
William Shields (GFI)
Scott Pintoff (GFI)
Michael Cosgrove (GFI)
Paul Puchot (GFI)
Christopher Ferreri (ICAP)
Stuart Wexler (ICAP)
Julian Harding (Tradition)
Shawn Bernardo (Tullet Prebon)
Stephen Goulet (Tullet Prebon)
Micah Green (Patton Boggs)
Matthew Kulkin (Patton Boggs)
Additional Information :
On January 31, 2011, CFTC Staff participated in a conference call with representatives of WMBAA. WMBAA asked Staff several questions and requested clarification related to the language of the proposed SEF rule. WMBAA also noted that the Chief Compliance Officer requirements in Core Principle 15 could be burdensome. Staff noted that the related proposed regulations are consistent with the statute and suggested that WMBAA provide details regarding its concerns in a comment letter.
