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External Meetings: CFTC/SEC consultation with FINRA
  
    



  Consultation held at the CFTC's Washington, DC office. The participants reviewed the statutory language regarding business conduct, including ?4s(h) and ?4c(a)(7) of the Commodity Exchange Act and ?15F(h) of the Securities Exchange Act of 1934.  The participants also discussed the business conduct rules that currently apply to FINRA members and the different business conduct standards that FINRA applies depending on the type of customer and product.  In addition, the participants discussed areas that may require additional rules or revised rules based on the statutory language.
      
  When
              08/03/2010

  Rulemaking(s)
              III. Business Conduct Standards w/ Counterparties

  CFTC Staff
              Phyllis CelaTed KnellerPeter SanchezBarry McCartyMichael SolinskyKatherine DriscollVivek JainStephanie Horne

  Visitor(s)
              Daniel M. Sibears (FINRA)Gary Goldshelle (FINRA)Patricia Albrecht (FINRA)Lourdes Gonzalez (SEC)Cindy Oh (SEC)Joanne Rutkowski (SEC)

  Organization(s)
              FINRA


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