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External Meetings: CFTC/SEC consultation with D.E. Shaw
  
    



  The consultation was conducted via teleconference.  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 nature the managed investment funds' use of swaps and their business relationships with swaps dealers in the context of business conduct standards.
      
  When
              08/23/2010

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

  CFTC Staff
              Phyllis CelaKatie DriscollTed KnellerTodd PronoVivek JainBarry McCartyMike SolinskyJohn DolanStephanie Horne

  Visitor(s)
              Jonathan Goldberg (Legal, D.E. Shaw)Jonathan Ching (Legal, D.E. Shaw)Neil Schwartz (Compliance, D.E Shaw)David Moss (Legal, D.E. Shaw)Peter Curly (SEC)Joanne Rutkowski (SEC)Tom Eady (SEC)Christine Sibille (SEC)Rich Ferlauto (SEC)Caite McGuire (SEC)Juanita Hamlett (SEC)Lourdes Gonzalez (SEC)David Dimitrious (SEC)Mike Reedich (SEC)Mike Fioribello (SEC)

  Organization(s)
              D.E. Shaw


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