Meeting Date:
Friday, July 22, 2011
CFTC Staff:
Ananda Radhakrishnan
Phyllis Cela
Barry McCarty
Peter Sanchez
Christopher Cummings
Organization(s):
National Futures Association (NFA)
Municipal Securities Rulemaking Board (MSRB)
External Attendees:
Lourdes Gonzalez (SEC)
Joanne Rutkowski (SEC)
Cindy Oh (SEC)
Mary Simpkins (SEC)
Dave Sanchez (SEC)
Tory Crane (SEC)
Regina Thoele (NFA)
Tom Sexton (NFA)
Dan Driscoll (NFA)
Lauren Brinati (NFA)
Carol Wooding (NFA)
Ernesto Lanza (MSRB)
Peg Henry (MSRB)
Karen Du Brul (MSRB)
Additional Information:
The attendees from the MSRB expressed the view that CFTC’s proposed pay-to-play rules for Swap Dealers should be harmonized with the MSRB’s pay-to-play rule.
NFA and MSRB attendees discussed potential registration and testing regimes for persons acting as an independent representative to a Special Entity under §4s(h) of the CEA.
