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From: Riley, John <JRiley@CFTC.

gov>
Sent: Friday, March 5,20104:25 PM
To: Katz, Deborah (Banking) <Deborah_Katz@banking.senate.gov>; Miller, Jonathan
(Banking) <Jonathan_Miller@banking.senate.gov>; Chon, Julie (Banking)
<Julie_Chon@banking.senate.gov>
Cc: Leslie, Douglass <dleslie@CFTC.gov>; Arbit, Terry <tarbit@CFTC.gov>;
Graham Rea, Lynsey (Banking) <Lynsey_GrahamRea@banking.senate.gov>;
Galicia, Catherine (Banking) <Catherine_Galicia@banking.senate.gov>
Subject: RE: CFTC Staff Technical Assistance Feb 21 Package 1-- CFPA

Yep. It's great. Thank you so much.

-----Original Message-----
From: Katz, Deborah (Banking) [mailto:Deborah Katz@banking.senate.gov]
Sent: Friday, March 05,2010 2:55 PM
To: Miller, Jonathan (Banking); Riley, John; Chon, Julie (Banking)
Cc: Leslie, Douglass; Arbit, Terry; Graham Rea, Lynsey (Banking); Galicia, Catherine (Banking)
Subject: RE: CFTC Staff Technical Assistance Feb 21 Package 1-- CFPA

Is this it?

"(21) PERSON REGULATED BY THE COMMODITY FUTURES TRADING COMMISSION.-The term "person
regulated by the Commodity Futures Trading Commission" means any person that is registered, or required by statute or
regulation to be registered, with the Commodity Futures Trading Commission, but only to the extent that such person's
activities are subject to the jurisdiction of the Commodity Futures Trading Commission under the Commodity Exchange
Act."

-----Original Message-----
From: Miller, Jonathan (Banking)
Sent: Friday, March 05,2010 2:52 PM
To: Katz, Deborah (Banking); 'JRiley@CFTC.gov'; Chon, Julie (Banking)
Cc: 'dleslie@CFTC.gov'; 'tarbit@CFTC.gov'; Graham Rea, Lynsey (Banking); Galicia, Catherine (Banking)
Subject: Re: CFTC Staff Technical Assistance Feb 21 Package 1-- CFPA

John -- pls send me the final version of the agreed-upon language. Thanks.

Jonathan
------Original Message------
From: Deborah Katz
To: Riley, John
To: Julie Chon
Cc: Leslie, Douglass
Cc: Arbit, Terry
Cc: Jonathan Miller
Cc: Lynsey Graham Rea
Cc: Catherine Galicia
Subject: RE: CFTC Staff Technical Assistance Feb 21 Package 1-- CFPA
Sent: Mar 5,2010 1:05 PM

CFTC-CREW-0231
This looks fine. I will recommend that your language be included and will let you know if there is any problem.
Thanks,
Deborah
From: Riley, John [mailto:JRiley@CFTC.gov] Sent: Friday, March 05,2010 12:28 PM To: Katz, Deborah (Banking); Chon,
Julie (Banking) Cc: Leslie, Douglass; Arbit, Terry; Miller, Jonathan (Banking); Graham Rea, Lynsey (Banking); Galicia,
Catherine (Banking) Subject: RE: CFTC Staff Technical Assistance Feb 21 Package 1-- CFPA

Deborah-

CFTC Staff technical advice is that the provision be worded as follows:

"any person that is registered or is required by statute or regulation to be registered ..."

The change to include "by statute" is to account for the fact (not made clear by us before), that the registration
requirement cited is implementation of a CEA requirement.

Once again, thanks so much for your willingness to consider CFTC staff advice on the matter.

John

John P. Riley
Director of Legislative Affairs
Office of the Chairman
U.S. Commodity Futures Trading Commission
1155 21st St., NW
Washington, DC 20581
(202) 418-5383
JRiley@CFTC.gov

From: Katz, Deborah (Banking) [ill~ltQJ2~!:2QXillLKqt?@!:2~j!J.K_~_~nqt~\gQY] Sent: Thursday, March 04, 2010 7: 10 PM To:
Riley, John; Chon, Julie (Banking) Cc: Leslie, Douglass; Arbit, Terry; Miller, Jonathan (Banking); Graham Rea, Lynsey
(Banking); Galicia, Catherine (Banking) Subject: RE: CFTC Staff Technical Assistance Feb 21 Package 1-- CFPA

John,

Based on the background

Sent from my BlackBerry Wireless Handheld

CFTC-CREW-0232