The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) are set to convene a significant joint roundtable on September 29, focusing on regulatory harmonization efforts that aim to streamline regulations across the two agencies. The event will take place at the SEC’s headquarters located at 100 F Street, N.E., Washington, D.C., from 1 p.m. to 5:30 p.m. It is designed to be a public forum, with a live webcast available on the SEC’s website. Attendees interested in participating in person are encouraged to register in advance, while those opting for online attendance will not need to register.
The roundtable’s agenda is packed with discussions involving key figures in the financial regulatory space. Opening remarks will be delivered by notable leaders including SEC Chairman Paul Atkins, CFTC Acting Chairman Caroline Pham, and SEC Commissioner Caroline Crenshaw.
The first panel, titled “How We Got Here,” will commence at 1:20 p.m. Moderated by J. Christopher Giancarlo, the former Chairman of the CFTC, the panel will delve into the historical interplay between the SEC and CFTC. A diverse group of experts will offer insights, including Kenneth Bentsen Jr., from the Securities Industry and Financial Markets Association (SIFMA), and Craig Lewis from Vanderbilt University.
Following a short break, the second panel, “Platforms,” will begin at 2:10 p.m. This session aims to explore how harmonization can unlock economic value for platforms while ensuring investor protection. Moderated by former CFTC Commissioner Jill Sommers and SEC Division of Trading and Markets Director Jamie Selway, participants will include representatives from major financial entities such as Nasdaq, CME Group, and Kraken.
At 3:25 p.m., SEC Commissioner Mark Uyeda will provide remarks before the session breaks again at 3:30 p.m. The final panel, “Participants,” will kick off at 4 p.m. and will examine how harmonization could enhance choices for market participants and reduce costs for investors. This session will be moderated by J. Christopher Giancarlo and former SEC Commissioner Troy Paredes, featuring panelists from major firms like Citadel, J.P. Morgan, and Robinhood Markets.
The roundtable will conclude with closing remarks from SEC Commissioner Hester Peirce at 5:20 p.m. Throughout the event, discussions are expected to highlight the urgency and importance of fostering a cohesive regulatory environment that benefits both market participants and investors alike.
