Fixed Income Market Structure Advisory Committee — Corporate Bond Transparency Subcommittee

Summary Minutes of April 3, 2019 Call

The Corporate Bond Transparency Subcommittee held a call on April 3, 2019.

The call convened at approximately 1 p.m. via telephone. The following Subcommittee Members were on the call:

  • Gilbert Garcia
  • Tom Gira
  • Scott Krohn
  • Amar Kuchinad
  • Rick McVey
  • Sonali Theisen
  • Mihir Worah
  • Michael Heaney

    • The following staff from the Division of Trading and Markets were on the call:

  • Ben Bernstein
  • David Dimitrious
  • Tom Eady
  • Patrick Norton
  • Ted Uliassi

    • The following staff from the Office of Municipal Securities were also on the call:

  • Ahmed A. Abonamah

    • The following staff from the Division of Economic and Risk Analysis were also on the call:

  • Abby Kim

    • The following staff from the Division of Corporation Finance were also on the call:

  • Amy Starr
  • David Walz

    • The Subcommittee discussed investor education and awareness regarding retail notes, including the specific information and disclosures that are provided to retail customers who purchase these products through retail brokers.

    The call concluded at approximately 2:00 pm.