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External Meetings: CFTC/SEC consultation with Groom Law & Employee Benefit Plans
  
    



  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 and use of swaps in the public pension plan industry and concerns regarding business conduct in the swaps market place.
      
  When
              08/30/2010

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

  CFTC Staff
              Phyllis CelaJohn DolanVivek JainBarry McCartyMichael SolinskyKatie DriscollTed Kneller

  Visitor(s)
              Richard Matta (Groom Law Group)Jeanine Markoe Raymond (Director of Federal Relations, NASRA)Leigh Snell (Federal Relations Director, National Council on Teacher Retirement)Jane Hamlett (SWIB)Ian Lanoff (Groom Law Group)Rick Dahl (Mosier's)Doug Scheidt (SEC)Christine Sibille (SEC)Lourdes Gonzalez (SEC)Joanne Rutkowski (SEC)Cindy Oh (SEC)Rich Ferlauto (SEC)

  Organization(s)
              Groom Law GroupNational Association of State Retirement Administrations, NASRANational Council on Teacher RetirementMosier'sState Workforce Investment Board (SWIB)

  Related Links
          ERISA for Securities Professionals
          Dodd-Frank Meets ERISA? The Impact of Wall Street Reform on Plan Investments - ...
          1996 letter from DOL to the OCC re fiduciary standards for investing in derivat...
          Email from Richard Matta of Groom Law Group
          Partial list of DOL individual exemptions  RELATED LINKS
    

      ERISA for Securities Professionals
          Dodd-Frank Meets ERISA? The Impact of Wall Street Reform on Plan Investments - Pension & Benefits Reporter
          1996 letter from DOL to the OCC re fiduciary standards for investing in derivatives
          Email from Richard Matta of Groom Law Group
          Partial list of DOL individual exemptions


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