MEMORANDUM
To: | File No. S7-16-01 and File No. S7-17-01 |
From: | Bonnie Gauch |
Date: | November 30, 2001 |
RE: Meeting with the FIA/SIA Joint Steering Committee on Securities Futures Regarding the Proposed Single Stock Future Margin and Customer Protection Rules (Exchange Act Release Nos. 44853 and 44854, respectively)
On November 19, 2001 the Staff attended a meeting at the Washington, DC offices of the Securities Industry Association with the FIA/SIA Joint Steering Committee on Securities Futures and representatives from the Commodity Futures Trading Commission. A list of attendees is attached hereto as Exhibit A.
Various issues were raised and discussed by the attendees regarding the proposed margin rules relating to single stock futures. In addition, the attendees briefly discussed the proposed rules relating to the CFTC and Commission customer protection, segregation, and bankruptcy rules.
Meeting between SEC, CFTC, and the FIA/SIA Joint Steering Committee on Securities Futures
List of Attendees
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Dennis Murray | JP Morgan Chase |
Al Scrivanich | Prudential Securities |
Barbara Wierzynski | FIA |
Elizabeth Fox | CFTC/OGC |
John Mielke | CFTC/DEA |
John Lawton | CFTC/T&M |
Larry Patent | CFTC/T&M |
Phyllis Dietz | CFTC/T&M |
Mike Macchiaroli` | SEC |
Elizabeth King | SEC |
T.R. Lazo | SEC |
Tom McGowan | SEC |
Luke Farber | Merrill Lynch |
Bob Litzenberger | Goldman Sachs |
Mark Holloway | Goldman Sachs |
Bonnie Gauch | SEC |
Tony Leitner | Goldman Sachs |
Bob Klein | Salomon Smith Barney |
Georgia Bullitt | Morgan Stanley |
John P. Davidson | Morgan Stanley |
Jonathan Barton | Morgan Stanley |
Ed Rosen | Cleary Gottlieb |
Mike Alix | Bear Stearns |
Eileen Flaherty (via conference call) | Aubrey Lanston |
Peter Auwarter (via conference call) | Goldman Sachs |
Jerry Quinn | SIA |
Scott Kursman (via conference call) | SIA |
Hong Anh Tran | SEC |
Onnig Dombalagian | SEC |
Jennifer Colihan | SEC |
Lisa Jones | SEC |
John Fenton | CFTC/DEA |