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External Meetings: CFTC/SEC consultation with NFA
  
    



  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 NFA members and the different business conduct standards that NFA applies depending on the type of customer and product.  In addition, the participants discussed potential areas that would necessitate additional rule writing.
      
  When
              08/04/2010

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

  CFTC Staff
              Phyllis CelaVivek JainMichael SolinskyTed KnellerTodd PronoBarry McCartyPeter SanchezKatherine DriscollYousuf SiddiquiStephanie Horne

  Visitor(s)
              Dan Driscoll (NFA)Regina Thoele (NFA)Cynthia Cain (NFA)Lourdes Gonzalez (SEC)Joanne Rutkowski (SEC)

  Organization(s)
              NFA

  Related Links
          Business Conduct Rules
          National Futures Association's Business Conduct Rules  RELATED LINKS
    

      Business Conduct Rules
          National Futures Association's Business Conduct Rules


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