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External Meetings: CFTC/SEC consultation with Swap Financial Group
  
    



  Consultation held at the SEC'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 role of a swap advisor to particular end users that may be designated as Special Entities under the Dodd-Frank Act.  In addition, the participants discussed common concerns and problems that Special Entities have historically had in the OTC derivatives marketplace.
      
  When
              08/09/2010

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

  CFTC Staff
              Phyllis CelaTed KnellerTodd PronoBarry McCarty

  Visitor(s)
              Peter Shapiro (Swap Financial Group)Christine Sibille (SEC)Martha Haines (SEC)Lori Schock (SEC)Joanne Rutkowski (SEC)Rich Ferlauto (SEC)Lourdes Gonzalez (SEC)Caite McGuire (SEC)Cindy Oh (SEC)

  Organization(s)
              Swap Financial Group


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