TFOG Monday 7/23/12 CFTC Public Meeting on Tech + SEC Rule

TFOG 7/23/12 CFTC Meeting and SEC Rule:


CFTC: Meeting notice Technology Advisory Committee 7/26/12 - Public Meeting on Tech

SEC: Commission Guidance Regarding Definitions of Mortgage Related Security and Small Business Related Security - Interp and Comments.

1. CFTC:

[Federal Register Volume 77, Number 141 (Monday, July 23, 2012)]
[Notices]
[Page 43064]
[FR Doc No: 2012-17856]

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COMMODITY FUTURES TRADING COMMISSION


Meeting; Technology Advisory Committee

AGENCY: Commodity Futures Trading Commission (CFTC).

ACTION: Notice of emergency meeting of technology advisory committee.

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SUMMARY: The CFTC announces that on Thursday, July 26, 2012, the CFTC's
Technology Advisory Committee (``TAC'') will hold an emergency public
meeting at the CFTC's Washington, DC headquarters, from 10:00 a.m. to
4:00 p.m. The TAC will focus on possible technology solutions to, among
other things, enable futures commission merchant customers, self-
regulatory organizations and the CFTC to verify in near real-time the
accuracy of the amount of funds held in customer segregated accounts.

DATES: The meeting will be held on July 26, 2012, from 10:00 a.m. to
4:00 p.m. Members of the public who wish to submit written statements
in connection with the meeting should submit them by July 19, 2012.

ADDRESSES: The meeting will take place in the Conference Center at the
CFTC's headquarters, Three Lafayette Centre, 1155 21st Street NW.,
Washington, DC 20581. Written statements should be submitted to:
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581, attention: Office of the Secretary.
Please use the title ``Technology Advisory Committee'' in any written
statement you may submit. Any statements submitted in connection with
the committee meeting will be made available to the public.

FOR FURTHER INFORMATION CONTACT: Laura Gardy, Commodity Futures Trading
Commission, Three Lafayette Centre, 1155 21st Street NW., Washington,
DC 20581, (202) 418-5354.

SUPPLEMENTARY INFORMATION: This emergency meeting of the TAC is being
held in response to the Commission's July 10, 2012 complaint against
Peregrine Financial Group Inc. (PFG), a registered futures commission
merchant (FCM), and its owner, Russell R. Wasendorf, Sr., alleging
fraud by misappropriating customer funds, violations of customer fund
segregation laws, and making false statements in financial statements
filed with the Commission. The filing of the complaint was triggered by
a National Futures Association (NFA) audit conducted earlier this month
which revealed that despite PFG's representations that it held in
excess of $220 million of customer funds, in fact, PFG held
approximately $5.1 million.
    This meeting will focus on technological solutions to providing the
CFTC, self-regulatory organizations, and futures commission merchant
customers direct access to customer segregated account information in
order to help eliminate the possibility of theft and misappropriation
of customer funds. The TAC will explore related technological and legal
issues through panel presentations and open discussion. The meeting
will be open to the public with seating on a first-come, first-served
basis. Members of the public who wish to listen to the meeting by
telephone may do so by calling a toll-free telephone line to contact to
a live, listen-only audio feed. Call-in participants should be prepared
to provide their first name, last name and affiliation. Additionally, a
video recording of the meeting will be published through a link on the
CFTC's Web site.
    All written submissions provided to the CFTC in any form will also
be published on the Web site of the CFTC.
    Domestic Toll Free: 1-866-844-9416.
    International Toll: Under Related Documents to be posted on
www.cftc.gov.
    Conference ID: 8311506.
    Call Leader Name: Michael Jones.
    Pass Code/Pin Code: CFTC.

 Authority: 5 U.S.C. app. 2 Sec.  10(a)(2)

 By the Commodity Futures Trading Commission.
 Dated: July 17, 2012.
Sauntia S. Warfield,
Assistant Secretary of the Commission.
[FR Doc. 2012-17856 Filed 7-20-12; 8:45 am]

SEC: 2012-17763



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