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External Meetings

Date
MEETING WITH
REGARDING RULEMAKING
03/09/3011
11:00 AM
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Morgan Stanley
IV. Business Conduct Standards – Internal

III. Business Conduct Standards w/ Counterparties

XIII. SEF Registration

XVIII. Real Time Reporting

11/30/2016
11:45 AM
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The Andersons Inc.; Wells Fargo Securities LLC; Bunge North America Inc.; Team Marketing Alliance; CGB Enterprises; Perdue Agribusiness; Archer Daniels Midland Co. and National Grain and Feed Association
XXVI. Position Limits

11/15/2016
4:30 PM
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Intercontinental Exchange (ICE)
XXVI. Position Limits

11/02/2016
2:00 PM
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Intercontinental Exchange (ICE)
XXVI. Position Limits

10/18/2016
11:00 AM
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CME
XXVI. Position Limits

09/29/2016
1:00 PM
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Nodal Exchange/Nodal Clear Management Team
XXVI. Position Limits

09/27/2016
1:30 PM
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SW Power Pool; SW Power Pool and ERCOT
General

09/22/2016
1:00 PM
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NRECA; King & Spalding; APPA; EEI; IN Office of Utility Consumer Counsel; MISO and EPSA
General

09/20/2016
2:00 PM
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Intercontinental Exchange (ICE)
XXVI. Position Limits

09/19/2016
3:30 PM
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Managed Funds Association; Millennium Management LLC; PDT Partners, LLC; and Delta Strategy Group
Automated Trading

XXVI. Position Limits

09/19/2016
12:00 PM
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Delta Strategy Group
XXVI. Position Limits

08/24/2016
1:30 PM
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FIA, SIFMA, ISDA
IV. Business Conduct Standards – Internal

08/11/2016
9:00 AM
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Citigroup
Clearing Requirement

08/03/2016
11:00 AM
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Citigroup
Clearing Requirement

07/28/2016
2:30 PM
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BlackRock


Goldman Sachs Asset Management (GSAM)


Securities Industry and Financial Markets Association Asset Management Group (SIFMA AMG)


Norton Rose Fulbright
XXVI. Position Limits

07/28/2016
2:00 PM
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SIFMA AMG


BlackRock


Goldman Sachs Asset Management
XXVI. Position Limits

07/27/2016
10:30 AM
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PSEG


MoFo
I. Registration

07/26/2016
2:30 PM
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Options Clearing Corporation
I. Registration

07/26/2016
9:00 AM
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CME
XXVI. Position Limits

07/12/2016
3:00 PM
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CME
XXIV. Disruptive Trading Practices

07/12/2016
1:00 PM
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Conoco Phillips


Shell


NGSA
XXVI. Position Limits

07/12/2016
11:00 AM
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National Gas Supply Association, ConocoPhillips, Shell
XXVI. Position Limits

06/29/2016
1:00 PM
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NGFA


Andersons


Louis Dreyfus


JD Heiskell


CGB


Scoular


FCStone


Nidera


ADM
XXVI. Position Limits

06/29/2016
10:00 AM
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National Grain and Feed Association


The Andersons


Louis Dreyfus Commodities


J.D. Heiskell & Co.


CGB Enterprises


The Scoular Co.


INTL FCStone


Nidera Inc.


Archer Daniels Midland Co.
XXVI. Position Limits

06/28/2016
3:00 PM
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Sutherland


Vitol


Shell
XXVI. Position Limits

06/28/2016
2:00 PM
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Sutherland Asbill & Brennan LLP


Vitol Inc.


Shell Energy
XXVI. Position Limits

06/23/2016
4:00 PM
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Sutherland, Vitol, Shell, Phillips 66, NextEra, Luminant, ConocoPhillups,
XXVI. Position Limits

06/22/2016
1:00 PM
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CME, CMC, Vitol, BP, ADM, ICE, Intl FC Stone, NFX, Delta Strategies
XXVI. Position Limits

06/09/2016
3:00 PM
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ICE
XXVI. Position Limits

06/09/2016
10:00 AM
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CME
XXIV. Disruptive Trading Practices

05/18/2016
1:00 PM
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NGFA
XXVI. Position Limits

05/13/2016
10:30 AM
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Cargill, Incorporated
XXVI. Position Limits

05/12/2016
11:00 AM
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CMC
XXVI. Position Limits

05/09/2016
2:30 PM
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Cargill
XXVI. Position Limits

05/05/2016
10:00 AM
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AFIA


Cargill, Inc


MFA Inc


Maxi-Lift, Texas
XXVI. Position Limits

04/21/2016
3:30 PM
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American Gas Association (AGA)
II. Definitions

04/14/2016
2:00 PM
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American Gas Association (AGA)
II. Definitions

04/14/2016
1:00 PM
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American Gas Association
II. Definitions

04/14/2016
11:00 AM
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CME
XXIV. Disruptive Trading Practices

XXVI. Position Limits

04/07/2016
10:00 AM
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Commodity Markets Council, Louis Dreyfus Commodities, ADM, Bunge, CMC,  Delta Strategy Group, Cargill, Exelon, Gavilon, McGraw Hill, MGX, Argus
XXVI. Position Limits

03/30/2016
3:30 PM
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American Bankers Association; BB&T Corporation; BOK Financial; Comerica Bank; Huntington National Bank; Regions Bank
II. Definitions

03/30/2016
10:00 AM
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American Bankers Association (ABA)
BB&T Corporation
BOK Financial
Comerica Bank
Huntington National Bank
Regions Bank
I. Registration

II. Definitions

03/09/2016
1:30 PM
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Morgan Stanley
Cross-Border

XXXI. Conforming Amendments

03/07/2016
1:00 PM
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HSBC
XXXI. Conforming Amendments

Cross-Border

03/01/2016
3:00 PM
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SIFMA; Citigroup Global Markets Inc.; Nomura Securities International Inc.; Cleary Gottlieb Steen and Hamilton LLP; Credit Suisse Group AG; Goldman, Sachs and Company
Cross-Border

03/01/2016
11:00 AM
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Citigroup Global Markets Inc


SIFMA


Nomura Securities International Inc.


Cleary Gottlieb Steen and Hamilton LLP


Credit Suisse Group AG


Goldman, Sachs and Company)
Cross-Border

XXXI. Conforming Amendments

02/24/2016
3:00 PM
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RGM Advisors
Deutsche Bank Securities
Delta Strategy Group
DRW Trading Group
XXIV. Disruptive Trading Practices

I. Registration

02/24/2016
2:30 PM
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FIA Working Group
XXIV. Disruptive Trading Practices

02/24/2016
2:00 PM
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FIA; Delta Strategies; Deutsche Bank Securities; FIA PTG; RGM Advisors
XXIV. Disruptive Trading Practices

I. Registration

02/22/2016
1:15 PM
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Modern Markets Initiative (MMI); Global Trading Systems; DLA Piper
XXIV. Disruptive Trading Practices

I. Registration

02/19/2016
3:00 PM
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CME
XXVI. Position Limits

02/19/2016
2:30 PM
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Barclays
XXXI. Conforming Amendments

Cross-Border

02/19/2016
10:00 AM
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Goldman Sachs
Cross-Border

XXXI. Conforming Amendments

02/18/2016
2:00 PM
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Morgan Stanley
XXIV. Disruptive Trading Practices

Cross-Border

02/18/2016
10:00 AM
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JP Morgan
Cross-Border

XXIV. Disruptive Trading Practices

02/03/2016
1:00 PM
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EEI
XXXI. Conforming Amendments

02/01/2016
10:00 AM
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LCH.Clearnet Ltd. ("LCH")
XVII. Data Recordkeeping

01/28/2016
2:30 PM
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Modern Markets Initiative


DLA Piper
XXIV. Disruptive Trading Practices

I. Registration

01/28/2016
2:30 PM
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Modern Markets Initiative
Global Trading Systems
DLA Piper
I. Registration

XXIV. Disruptive Trading Practices

01/19/2016
3:00 PM
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EPSA


Sutherland


EEI


Southern Co


Gibson Dunn


GE


AGA
I. Registration

Automated Trading

XXIV. Disruptive Trading Practices

01/15/2016
11:00 AM
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ICE
I. Registration

XXIV. Disruptive Trading Practices

01/13/2016
2:00 PM
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ICE
XXVI. Position Limits

01/12/2016
2:00 PM
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NextEra Energy


Delta Strategy Group
I. Registration

II. Definitions

01/12/2016
1:00 PM
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NextEra Energy, Inc.
Delta Strategy Group
II. Definitions

I. Registration

01/12/2016
10:30 AM
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Hudson River Trading
XXIV. Disruptive Trading Practices

01/05/2016
11:00 AM
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Electric Power Supply Association
Exelon
BP
XXXI. Conforming Amendments

12/17/2015
3:00 PM
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Southern Company
XXXI. Conforming Amendments

12/17/2015
11:00 AM
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NCFC


NGFA
XXXI. Conforming Amendments

12/14/2015
5:15 PM
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ICAP
V. Capital & Margin

12/09/2015
4:00 PM
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ICAP
V. Capital & Margin

12/01/2015
4:00 PM
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Macquarie (Macquarie)
V. Capital & Margin

II. Definitions

I. Registration

12/01/2015
2:00 PM
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CME Group
XXVI. Position Limits

11/27/2015
11:00 AM
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Gibson Dunn
XXXI. Conforming Amendments

11/25/2015
1:05 PM
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ICAP
V. Capital & Margin

11/20/2015
11:00 AM
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V. Capital & Margin

11/18/2015
1:30 PM
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Nomura
V. Capital & Margin

11/18/2015
11:30 AM
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Nomura
V. Capital & Margin

11/18/2015
10:30 AM
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Nomura (Nomura)
V. Capital & Margin

11/17/2015
2:00 PM
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ICE Futures U.S.
XXVI. Position Limits

11/16/2015
10:00 AM
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CME Group
XXVI. Position Limits

11/12/2015
12:00 PM
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NextEra Energy, Inc. (NextEra Energy)


Capitol Counsel LLC (Capitol Counsel)
I. Registration

II. Definitions

11/12/2015
11:30 AM
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CME
XVIII. Real Time Reporting

11/10/2015
1:00 PM
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The Depository Trust & Clearing Corporation (DTCC)
V. Capital & Margin

11/06/2015
11:30 AM
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Citi
V. Capital & Margin

11/04/2015
3:00 PM
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ICE Futures U.S.
XXVI. Position Limits

11/04/2015
2:30 PM
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Davis Polk


Morgan Stanley
V. Capital & Margin

11/03/2015
11:00 AM
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CME Group
XXVI. Position Limits

10/29/2015
3:00 PM
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CME Group
XXVI. Position Limits

10/28/2015
1:30 PM
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ICE Futures U.S.
XXVI. Position Limits

10/28/2015
12:30 PM
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CME Group
XXVI. Position Limits

10/28/2015
11:30 AM
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CME Group
XXVI. Position Limits

10/27/2015
12:00 AM
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V. Capital & Margin

10/27/2015
12:00 AM
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V. Capital & Margin

10/27/2015
12:00 AM
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V. Capital & Margin

10/22/2015
12:00 PM
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Electric Power Supply Association (EPSA); Excelon; Calpine; Shell; PSEG; BP; NRG; GDF Suez
XXVI. Position Limits

II. Definitions

Commodity Options

10/20/2015
11:00 AM
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ICE Futures U.S.
XXVI. Position Limits

10/14/2015
1:00 PM
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Cleary Gottlieb Steen & Hamilton LLP (Cleary Gottlieb)
V. Capital & Margin

10/13/2015
4:30 PM
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American Sugar Refining; Bracewell & Giuliani; Florida Sugar Cane League
XXVI. Position Limits

10/09/2015
3:00 PM
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Cleary Gottlieb Steen & Hamilton LLP


Citigroup


JP Morgan Chase
Goldman Sachs


Morgan Stanley


HSBC
V. Capital & Margin

10/09/2015
2:00 PM
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V. Capital & Margin

10/09/2015
2:00 PM
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American Sugar Refiners
XXVI. Position Limits

10/09/2015
12:30 PM
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Credit Suisse (CS)
V. Capital & Margin

10/09/2015
10:00 AM
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Credit Suisse
V. Capital & Margin

10/08/2015
12:00 PM
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Commercial Working Group of Energy Firms
XXVI. Position Limits

10/08/2015
11:00 AM
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Commerical Energy Working Group
XXVI. Position Limits

10/07/2015
11:30 AM
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CME Group
XXVI. Position Limits

10/07/2015
10:00 AM
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CME Group
XXVI. Position Limits

10/05/2015
10:00 AM
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Bunge
XXVI. Position Limits

10/01/2015
10:00 AM
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CME Group
Position Limits for Derivatives

09/29/2015
2:30 PM
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CME
XXVI. Position Limits

09/29/2015
12:15 PM
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Goldman Sachs; J.P. Morgan Chase; Citigroup; Morgan Stanley; HSBC; Cleary Gottlieb
V. Capital & Margin

09/25/2015
12:00 PM
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Goldman, Sachs & Co. (GS)
V. Capital & Margin

09/21/2015
10:00 AM
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Goldman Sachs
V. Capital & Margin

09/18/2015
11:00 AM
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V. Capital & Margin

09/16/2015
11:00 AM
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CME
Position Limits for Derivatives

09/16/2015
9:30 AM
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Commodity Markets Council
Position Limits for Derivatives

09/15/2015
3:00 PM
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CME Group
XXVI. Position Limits

09/15/2015
11:30 AM
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Sempra Energy
XXVI. Position Limits

09/15/2015
11:30 AM
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Sempra Energy
XXVI. Position Limits

09/15/2015
10:30 AM
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Sempra Energy
XXVI. Position Limits

09/10/2015
2:00 PM
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Goldman Sachs
V. Capital & Margin

09/03/2015
10:00 AM
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Nodal Exchange
XXXI. Conforming Amendments

08/27/2015
9:00 AM
More Info
J.P. Morgan Chase
V. Capital & Margin

08/10/2015
10:30 AM
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Citigroup
V. Capital & Margin

08/07/2015
10:30 AM
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Minneapolis Grain Exchange (MGEX)
XXVI. Position Limits

08/04/2015
11:45 AM
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CME Group
XXVI. Position Limits

07/28/2015
3:30 PM
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Commercial Energy Working Group
ConocoPhillips
Sutherland Asbill & Brennan
Vitol
XXVI. Position Limits

07/28/2015
1:30 PM
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Commerical Energy Working Group, Vitol Inc., ConocoPhillips Company and Sutherland Asbill & Brennan LLP
XXVI. Position Limits

07/27/2015
12:00 PM
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GE Energy Financial Services (GE)
Commodity Options

II. Definitions

07/27/2015
11:00 AM
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XXXI. Conforming Amendments

07/24/2015
11:00 AM
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Cargill
XXVI. Position Limits

XXXI. Conforming Amendments

07/24/2015
10:00 AM
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ISDA
V. Capital & Margin

07/23/2015
3:30 PM
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MGEX
XXVI. Position Limits

07/23/2015
7:00 AM
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NCFC


Land O’Lakes
XXXI. Conforming Amendments

XXVI. Position Limits

07/22/2015
4:00 PM
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Commodity Markets Council (CMC), Chicago Board of Trade, Mercuria Energy Trading, Delta Strategies, BP, Louis Dreyfus, CME Group, McGraw Hill,  Bunge North America (Bunge) and ICE
XXVI. Position Limits

XXXI. Conforming Amendments

07/22/2015
2:00 PM
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ABN Amaro Clearing
BP


Bunge


CME


Commodity Markets Council


Delta Strategy Group


HC Tech


ICE


Louis Dreyfus Commodities


Mercuria
Mondelez


Platts
XXVI. Position Limits

XVII. Data Recordkeeping

07/21/2015
10:00 AM
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Goldman Sachs
V. Capital & Margin

07/20/2015
2:00 PM
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Coaltion of Physical Energy Companies and Bracewell & Giuliani
XXVI. Position Limits

07/20/2015
12:00 PM
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General

XXXI. Conforming Amendments

07/14/2015
10:00 AM
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Goldman Sachs
V. Capital & Margin

07/09/2015
11:15 AM
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FC Stone
V. Capital & Margin

07/09/2015
11:00 AM
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Natural Gas Supply Association (NGSA), ConocoPhillips and Anadarko
XXVI. Position Limits

07/09/2015
10:00 AM
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Natural Gas Supply Association
XXVI. Position Limits

06/30/2015
2:30 PM
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General

06/26/2015
12:30 PM
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Public Utility Commission of Texas
General

06/25/2015
10:30 AM
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Cargill
XXVI. Position Limits

06/16/2015
8:30 AM
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ISDA
V. Capital & Margin

06/10/2015
5:15 PM
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Commercial Energy Working Group
XXVI. Position Limits

06/10/2015
3:00 PM
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Commercial Energy Working Group, Shell, ConocoPhillips, Vitol Inc., Phillips 66, Sutherland Asbill & Brennan
XXVI. Position Limits

06/03/2015
2:00 PM
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XXVI. Position Limits

05/15/2015
10:15 AM
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Americans for Financial Reform and Public Citizen
XXVI. Position Limits

05/12/2015
2:00 PM
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none, individual citizens
V. Capital & Margin

05/08/2015
10:30 AM
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Morgan Stanley
V. Capital & Margin

04/28/2015
3:00 PM
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Copperwood Asset Management LP (Copperwood), Vectra Capital LLC (Vectra)
XXVI. Position Limits

04/28/2015
1:00 PM
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XXVI. Position Limits

04/27/2015
2:00 PM
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Better Markets


Public Citizen
XXVI. Position Limits

04/21/2015
2:00 PM
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Structured Finance Industry Group (SFIG)
V. Capital & Margin

04/15/2015
3:30 PM
More Info
XXVI. Position Limits

04/15/2015
3:00 PM
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Commercial Energy Working Group, Shell, ConocoPhillips, Vitol Inc.,  Sutherland Asbill & Brennan
Position Limits for Derivatives

04/15/2015
2:30 PM
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Commercial Energy Working Group, Shell, ConocoPhillips, Vitol Inc.,  Sutherland Asbill & Brennan
XXVI. Position Limits

04/14/2015
2:00 PM
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State Street, The Bank of New York Mellon, Northern Trust
V. Capital & Margin

04/09/2015
2:00 PM
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ISDA
V. Capital & Margin

04/08/2015
4:00 PM
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Nomura
V. Capital & Margin

04/08/2015
2:00 PM
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Nomura
V. Capital & Margin

04/08/2015
11:30 AM
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Nodal Exchange and Nodal Clear (Nodal)
XXXI. Conforming Amendments

04/01/2015
4:30 PM
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Cargill, Inc. (Cargill)
XXVI. Position Limits

XXXI. Conforming Amendments

03/31/2015
2:00 PM
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Investment Company Institute (ICI)
V. Capital & Margin

03/30/2015
10:00 AM
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Public Citizen
XXVI. Position Limits

03/24/2015
2:00 PM
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Securities Industry and Financial Markets Association - Asset Management Group
V. Capital & Margin

03/23/2015
12:00 PM
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Ernst & Young (E&Y)


Federal Reserve Board of Governors (FRB)
V. Capital & Margin

03/19/2015
2:45 PM
More Info
Edison Electric Institute (EEI)
II. Definitions

03/17/2015
1:00 PM
More Info
Nodal Exchange, LLC
XXXI. Conforming Amendments

03/17/2015
8:10 AM
More Info
Perdue AgriBusiness, The Andersons Inc., Nidera US LLC, Advance Trading Inc.,  ABN AMRO Chicago Clearing LLC, Grain Service Corp., Cargill Inc., The Linn Group, INTL FCStone, The Scoular Co., CGB Enterprises Inc., Bunge North America Inc., Archer Daniels Midland Co., Lansing Trade Group
XXVI. Position Limits

03/16/2015
2:30 PM
More Info
Citadel LLC, Convexity Capital Management, D.E. Shaw Group, Delta Strategy Group, King Street Capital Management, L.P., Managed Funds Association, Millennium Management, LLC, Moore Capital Management, Tudor Investment Corp.
Study: Position Limits

03/16/2015
2:00 PM
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Citadel LLC (Citadel), Convexity Capital Management (Convexity),  Tudor Investment Corporation (Tudor Investment), King Street Capital Management, L.P., Moore Capital Management, LP (Moore Capital),  Millennium Management LLC (Millennium Management), the D.E. Shaw Group, Delta Strategy Group,  Managed Funds Association (MFA)
V. Capital & Margin

XXXI. Conforming Amendments

03/16/2015
11:00 AM
More Info
XXVI. Position Limits

V. Capital & Margin

03/13/2015
2:00 PM
More Info
Nodal Exchange, LLC
XXXI. Conforming Amendments

03/12/2015
3:15 PM
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The Vanguard Group (Vanguard), Goldman Sachs Asset Management (Goldman Sachs), Russell Investments (Russell), Fidelity Investments (Fidelity),  SIFMA Asset Management Group (SIFMA AMG)
V. Capital & Margin

03/10/2015
1:00 PM
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Citadel


Delta Strategy Group
XXVI. Position Limits

03/10/2015
12:15 PM
More Info
Koch Industries (Koch)
XXXI. Conforming Amendments

03/06/2015
3:00 PM
More Info
Investment Company Institute (ICI)
V. Capital & Margin

03/06/2015
2:30 PM
More Info
The Vanguard Group (Vanguard), T. Rowe Price Group, Inc. (TROW), Harbor Capital Advisors, Inc.,  Investment Company Institute (ICI)
V. Capital & Margin

03/06/2015
10:00 AM
More Info
Edison Electric Institute (EEI), American Public Power Association (APPA)
II. Definitions

03/03/2015
1:00 PM
More Info
GE Capital


Gibson, Dunn & Crutcher LLP
V. Capital & Margin

03/03/2015
11:00 AM
More Info
Petroleum Marketers Assoc of America (PMAA)


NEFI
XXVI. Position Limits

03/02/2015
10:30 AM
More Info
CME Group (CME), Skadden, Arps, Slate, Meagher & Flom (Skadden)
XXVI. Position Limits

02/25/2015
3:30 PM
More Info
Southern Company
XXVI. Position Limits

II. Definitions

02/25/2015
3:00 PM
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ICE Futures U.S., Intercontinental Exchange, The Hershey Company, The J.M. Smucker Co, Louis Dreyfus Commodities, Noble Americans Corp.
XXVI. Position Limits

02/25/2015
2:00 PM
More Info
CME
XXVI. Position Limits

02/25/2015
11:30 AM
More Info
ICE
XXVI. Position Limits

02/23/2015
2:00 PM
More Info
VoxSmart


Cromwell
XXXI. Conforming Amendments

General

02/20/2015
1:30 PM
More Info
American Bankers Association Securities Association (ABA/ABASA)
V. Capital & Margin

02/20/2015
11:00 AM
More Info
Securities Industry and Financial Markets Association (SIFMA)
V. Capital & Margin

02/13/2015
2:00 PM
More Info
Cargill
General

XXXI. Conforming Amendments

02/11/2015
4:00 PM
More Info
Goldman Sachs (GS)
V. Capital & Margin

02/11/2015
3:00 PM
More Info
Goldman Sachs
V. Capital & Margin

02/11/2015
12:00 PM
More Info
Edison Electric Institute 


American Gas Association
General

XXXI. Conforming Amendments

02/09/2015
10:00 AM
More Info
Managed Funds Association


Board of Governors of the Federal Reserve Bank
V. Capital & Margin

02/06/2015
11:00 AM
More Info
Electric Edison Institute, American Gas Association, National Rural Electric Cooperative Association, American Public Power Association
General

02/05/2015
10:30 AM
More Info
American Bankers Securities Association
V. Capital & Margin

02/03/2015
4:15 PM
More Info
American Bankers Association
V. Capital & Margin

02/03/2015
3:00 PM
More Info
V. Capital & Margin

02/03/2015
3:00 PM
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Global Pension Coalition
V. Capital & Margin

02/03/2015
2:00 PM
More Info
Global Pension Coalition
V. Capital & Margin

01/29/2015
2:00 PM
More Info
Working Group of Commercial Energy Firms (WGCEF)
Position Limits for Derivatives

Aggregation Policy for Position Limits

01/26/2015
5:00 PM
More Info
BP
XXVI. Position Limits

01/26/2015
4:45 PM
More Info
Cargill
XXVI. Position Limits

01/25/2015
3:30 PM
More Info
Louis Dreyfus Commodities


Delta Strategy
XXVI. Position Limits

01/12/2015
4:00 PM
More Info
Morgan Stanley
V. Capital & Margin

01/12/2015
3:00 PM
More Info
Position Limits for Derivatives

01/12/2015
2:00 PM
More Info
Investment Adviser Association (IAA), Invesco, K&L Gates
XXXI. Conforming Amendments

01/08/2015
3:00 PM
More Info
Cadwaalader
XXVI. Position Limits

01/08/2015
2:00 PM
More Info
American Council of Life Insurers (ACLI)
V. Capital & Margin

01/08/2015
1:00 PM
More Info
Morgan Stanley (MS)
V. Capital & Margin

01/08/2015
11:00 AM
More Info
Louis Dreyfus


Delta Strategy
XXVI. Position Limits

01/08/2015
10:30 AM
More Info
Voitrax Corporation, LLC, Winning Strategies Washington
XXXI. Conforming Amendments

01/08/2015
10:00 AM
More Info
Goldman Sachs
V. Capital & Margin

XXVI. Position Limits

12/19/2014
11:00 AM
More Info
APPA
V. Capital & Margin

General

12/16/2014
4:00 PM
More Info
American Gas Association (AGA)
II. Definitions

12/11/2014
2:00 PM
More Info
Morgan Stanley
V. Capital & Margin

12/11/2014
12:00 PM
More Info
SIFMA AMG Group
V. Capital & Margin

XXXI. Conforming Amendments

12/10/2014
11:00 AM
More Info
JP Morgan
V. Capital & Margin

12/03/2014
11:00 AM
More Info
KfW Bankengruppe
V. Capital & Margin

12/02/2014
3:45 PM
More Info
Nera
V. Capital & Margin

12/02/2014
11:00 AM
More Info
Public Citizen
XXVI. Position Limits

11/17/2014
3:00 PM
More Info
Delta Strategy Group.
XXXI. Conforming Amendments

11/13/2014
11:00 AM
More Info
ASR Group


Bracewell & Gulianni
XXVI. Position Limits

11/06/2014
10:00 AM
More Info
MFX Solutions
V. Capital & Margin

11/04/2014
1:00 PM
More Info
Bank of America
V. Capital & Margin

10/28/2014
3:00 PM
More Info
CME
XXVI. Position Limits

10/23/2014
4:30 PM
More Info
Cargill
XXVI. Position Limits

10/23/2014
3:30 PM
More Info
Cargill
XXVI. Position Limits

10/21/2014
4:00 PM
More Info
Coalition of Physical Energy Companies
XXVI. Position Limits

10/21/2014
11:00 AM
More Info
American Gas Association


National Fuel Gas Distribution Corporation


Wilkinson Barker Knauer LLP


Norton Rose Fulbright
XXVI. Position Limits

10/14/2014
2:30 PM
More Info
Noble Group


Capital Counsel
V. Capital & Margin

II. Definitions

10/14/2014
1:30 PM
More Info
Noble Americas
XXVI. Position Limits

10/10/2014
2:30 PM
More Info
American Council of Life Insurers (ACLI)
V. Capital & Margin

10/10/2014
11:30 AM
More Info
BP
V. Capital & Margin

10/10/2014
10:00 AM
More Info
BP
XXVI. Position Limits

10/10/2014
9:30 AM
More Info
Prudential


Metlife
V. Capital & Margin

10/07/2014
9:45 AM
More Info
Koch Industries
XXVI. Position Limits

10/06/2014
10:30 AM
More Info
ConocoPhillips
XXVI. Position Limits

10/02/2014
11:00 AM
More Info
NRG Energy
XXVI. Position Limits

10/02/2014
9:00 AM
More Info
National Grain and Feed Association


CoBank


National Council of Farmer Cooperatives


National Milk Producers Federation


American Soybean Association


National Cotton Council


National Pork Producers Association


American Farm Bureau
XXXI. Conforming Amendments

09/30/2014
2:00 PM
More Info
Southern Company
XXVI. Position Limits

09/30/2014
9:45 AM
More Info
Basso; Archegos; York Capital; Wellington; Apollo Investments; Maverick Capital; Fir Tree; Millennium Mgmt.;  
Millennium Mgmt.; TFS; Tewksbury; Tudor; Tenor; Pershing; 
Credit Suisse
V. Capital & Margin

09/25/2014
2:30 PM
More Info
BG Group
XXVI. Position Limits

09/24/2014
2:30 PM
More Info
Vitol
XXVI. Position Limits

09/23/2014
2:00 PM
More Info
Natural Gas Supply Association
XXVI. Position Limits

09/22/2014
4:30 PM
More Info
Private Equity Growth Capital Council (PEGCC)
Position Limits for Derivatives

Aggregation Policy for Position Limits

09/22/2014
3:00 PM
More Info
Private Equity Growth Council
XXVI. Position Limits

09/22/2014
2:30 PM
More Info
American Gas Association
XXVI. Position Limits

09/19/2014
11:30 AM
More Info
Commodity Markets Council
XXVI. Position Limits

09/16/2014
2:30 PM
More Info
Commodity Market Oversight Coalition
XXVI. Position Limits

09/12/2014
2:00 PM
More Info
ConocoPhillips, Hess, Vitol, Shell, Sustherland Asbill & Brennan
XXVI. Position Limits

09/12/2014
1:15 PM
More Info
Commercial Working Energy Group
XXVI. Position Limits

09/12/2014
11:30 AM
More Info
Coalition for Derivative End Users
V. Capital & Margin

09/12/2014
10:30 AM
More Info
Chatham Financial, Financial Executives International, Agricultural Retailers Association, Gibson Dunn, Honeywell International, IBM Corporation, General Electric Company, FMC Corporation and National Association of Corporate Treasurers, BP, General Motors, Ford, UTC, Honda, Time Warner, MillerCoors, U.S. Chamber of Commerce, National Association of Manufacturers, Business Roundtable
V. Capital & Margin

XXVI. Position Limits

09/12/2014
10:00 AM
More Info
American Public Power Association
II. Definitions

09/11/2014
11:30 AM
More Info
Nomura
V. Capital & Margin

09/09/2014
1:30 PM
More Info
FIA
XXVI. Position Limits

09/08/2014
5:00 PM
More Info
National Rural Electric Cooperative Association
XXVI. Position Limits

09/03/2014
1:00 PM
More Info
Goldman Sachs
V. Capital & Margin

09/03/2014
11:00 AM
More Info
Citi


Citigroup Global Markets Inc.
V. Capital & Margin

08/27/2014
10:00 AM
More Info
Commodity Markets Council
XXVI. Position Limits

08/20/2014
1:00 PM
More Info
INTL FCStone


Crowell & Moring LLP
V. Capital & Margin

08/20/2014
11:00 AM
More Info
Cadwalader, Wickersham & Taft
XXVI. Position Limits

08/19/2014
10:30 AM
More Info
Chatham Financial
V. Capital & Margin

08/15/2014
11:30 AM
More Info
Edison Electrical Institute
XXVI. Position Limits

07/31/2014
3:30 PM
More Info
National Council of Farmer Cooperatives
XXVI. Position Limits

XXXI. Conforming Amendments

07/31/2014
2:30 PM
More Info
NRG Energy, Inc.
XXVI. Position Limits

07/31/2014
2:00 PM
More Info
Natural Gas Supply Association
XXVI. Position Limits

07/25/2014
11:00 AM
More Info
World Gold Council (WGC), The Klein & Saks Group
Position Limits for Derivatives

07/24/2014
2:00 PM
More Info
Natural Gas Supply Association
XXVI. Position Limits

07/23/2014
2:00 PM
More Info
Citadel, Delta Strategy Group
Position Limits for Derivatives

07/23/2014
1:00 PM
More Info
Morgan Stanley
XXVI. Position Limits

V. Capital & Margin

07/22/2014
10:30 AM
More Info
ICE Trade Vault LLC
XVII. Data Recordkeeping

07/21/2014
12:30 PM
More Info
LCH.Clearnet Ltd
XVII. Data Recordkeeping

07/21/2014
10:00 AM
More Info
Global Financial Markets Association Global Foreign Exchange Division; Cleary Gottlieb Steen & Hamilton; HSBC; JP Morgan; State Street
XVII. Data Recordkeeping

07/17/2014
3:00 PM
More Info
DTCC Data Repository (U.S.) LLC (DDR), Squire Patton Boggs LLP
XVII. Data Recordkeeping

07/17/2014
12:30 PM
More Info
HSBC
XVII. Data Recordkeeping

07/17/2014
10:00 AM
More Info
The Managed Funds Association, Citadel LLC, Tudor Investment Corporation, The D.E. Shaw Group, HBK Capital Management, Alternative Investment Management Association
XVII. Data Recordkeeping

07/16/2014
4:00 PM
More Info
BP
XXVI. Position Limits

07/16/2014
3:30 PM
More Info
CME Group; Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates
XVII. Data Recordkeeping

07/16/2014
10:00 AM
More Info
The International Swaps and Derivatives Association; Barclays; Goldman Sachs
XVII. Data Recordkeeping

07/15/2014
11:00 AM
More Info
Delta Strategy Group
V. Capital & Margin

XXVI. Position Limits

07/07/2014
4:00 PM
More Info
Americans for Financial Reform (AFR), Public Citizen, The Other 98%, Institute for Agriculture and Trade Policy (IATP), Demos, American Federation of Labor and Congress of Industrial Organizations (AFL-CIO)
XXVI. Position Limits

05/15/2014
3:00 PM
More Info
Intercontinental Exchange


Noble Americas Corp.


Louis Dreyfus Commodities


Cargill
Position Limits for Derivatives

05/15/2014
10:00 AM
More Info
Noble Americas Corp.
Position Limits for Derivatives

04/21/2014
2:00 PM
More Info
Delta Strategy Group


Louis Dreyfus


Noble
XXVI. Position Limits

04/03/2014
1:30 PM
More Info
NCFC


CHS


CHS


CHS


 


 


CHS


 


Growmark


 


Growmark
XXVI. Position Limits

01/30/2014
4:00 PM
More Info
Cargill
XXVI. Position Limits

01/30/2014
11:00 AM
More Info
Cargill
XXVI. Position Limits

01/14/2014
11:00 AM
More Info
Vitol, Inc. (Vitol)
XXVI. Position Limits

12/12/2013
10:00 AM
More Info
American Gas Association (AGA)
National Grid
Atmos Energy
Questar Gas Company
NW Natural Gas Company
Washington Gas Light Company
Consolidated Edison Co. of New York
Nisource Distribution Companies
Xcel Energy
Integrys Energy Group
Sempra Utilities
Ameren
ICF International
PSEG Energy Resources and Trade
PECO Energy
DTE Energy
New Mexico Gas Company
CMS Energy
National Fuel Gas Distribution Company
CenterPoint Energy
National Fuel Gas Distribution Company
Exelon Corporation
MidAmerican Energy Company
XXVI. Position Limits

10/28/2013
10:00 AM
More Info
Futures Industry Association
General

09/27/2013
10:00 AM
More Info
Futures Industry Association (FIA)
General

09/26/2013
2:30 PM
More Info
Institute of International Bankers (IIB)


Cleary, Gottlieb, Steen & Hamilton (CGSH)
Cross-Border

09/25/2013
12:00 AM
More Info
The Commercial Energy Working Group (CEWG)


Hess Corporation


NextEra Energy Resources


Vitol Inc.


Shell Trading (US) Company


Sutherland Asbill & Brennan LLP
XXVI. Position Limits

09/20/2013
10:00 AM
More Info
Futures Industry Association (FIA)
General

08/29/2013
11:00 AM
More Info
Citadel LLC


AQU Capital Management, LLC


HBK Investments LP


MFA
General

08/02/2013
3:00 PM
More Info
State Street


State Street Global Markets
Cross-Border

08/02/2013
11:00 AM
More Info
Citigroup (Citi)
Cross-Border

08/01/2013
4:30 PM
More Info
Citigroup
Cross-Border

07/29/2013
4:30 PM
More Info
Americans for Financial Reform (AFR)
Cross-Border

07/24/2013
1:00 PM
More Info
International Swaps and Derivatives Association (ISDA)


Mayer Brown
Cross-Border

07/23/2013
3:00 PM
More Info
CME Group (CME)
VI. Segregation and Bankruptcy

07/23/2013
9:30 AM
More Info
National Futures Association
VI. Segregation and Bankruptcy

07/08/2013
2:00 PM
More Info
IIB
Cross-Border

07/02/2013
10:00 AM
More Info
CME Group (CME)
General

06/28/2013
11:30 AM
More Info
Cross-Border

06/28/2013
10:00 AM
More Info
Cross-Border

06/27/2013
3:00 PM
More Info
Better Markets
Cross-Border

06/26/2013
3:30 PM
More Info
Americans for Financial Reform
Cross-Border

06/26/2013
2:30 PM
More Info
Cross-Border

06/26/2013
11:30 AM
More Info
UBS
Cross-Border

06/25/2013
11:30 AM
More Info
IIB


Cleary
Cross-Border

06/24/2013
3:00 PM
More Info
FMC Corporation
National Association of Manufacturers
Business Roundtable
Ford
GE
GM
Honda
IBM
John Deere
BP
Chatham Financial
Gibson Dunn
Cross-Border

06/20/2013
11:00 AM
More Info
Citadel LLC


Tiegland-Hunt LLP
Cross-Border

06/20/2013
9:30 AM
More Info
Prudential
Cross-Border

06/19/2013
4:00 PM
More Info
Linklaters
Cross-Border

06/18/2013
11:00 AM
More Info
SIFMA


Barclays


UBS Americas Inc.


HSBC
JPMorgan Chase


Nomura


Northern Trust


Davis Polk & Wardwell


Credit Suisse


Morgan Stanley
Cross-Border

06/15/2013
12:30 PM
More Info
Tiegland-Hunt LLP
Cross-Border

06/14/2013
4:30 PM
More Info
Tiegland-Hunt LLP
Cross-Border

06/11/2013
9:30 AM
More Info
BOA


Merrill Lynch
Cross-Border

III. Business Conduct Standards w/ Counterparties

06/07/2013
3:00 PM
More Info
International Institute of Bankers (IIB)


Cleary, Gottlieb, Steen & Hamilton
Cross-Border

06/07/2013
11:00 AM
More Info
Cleary, Gottlieb, Steen & Hamilton
Cross-Border

06/06/2013
5:00 PM
More Info
Better Markets
Cross-Border

06/06/2013
3:00 PM
More Info
JPMC
Cross-Border

06/05/2013
2:00 PM
More Info
CME Group
Cross-Border

06/04/2013
1:00 PM
More Info
Citibank
Cross-Border

06/04/2013
12:00 AM
More Info
Citibank, Cleary Gottlieb
Cross-Border

05/31/2013
11:00 AM
More Info
Better Markets
Cross-Border

05/30/2013
12:00 PM
More Info
Citadel
General

05/23/2013
11:00 AM
More Info
Goldman Sachs
Cross-Border

05/22/2013
9:15 AM
More Info
Better Markets
General

Cross-Border

05/20/2013
1:00 PM
More Info
Investment Company Institute
General

05/14/2013
12:00 AM
More Info
Sobba Public, LLC


Virtu Financial
V. Capital & Margin

05/13/2013
2:00 PM
More Info
American Securitization Forum (ASF)
Latham & Watkins
Credit Suisse Securities


BMO Capital Markets
RBC
Honda
Clearing Requirement

04/24/2013
3:00 PM
More Info
LCH
General

04/24/2013
2:30 PM
More Info
Securities Industry
Cross-Border

04/17/2013
12:30 PM
More Info
Futures Industry Association (FIA)


National Futures Association (NFA)


Bank of America Merrill Lynch


Barclays
BlackRock


BMO Harris
BNY Mellon


Brown Brothers
CitiGroup


CME Group


Credit Suisse


JP Morgan
Mizuho


State Street
General

04/15/2013
4:00 PM
More Info
Citigroup


Cleary
Cross-Border

04/15/2013
10:30 AM
More Info
Institute of International Bankers (IBB)
Cross-Border

04/12/2013
11:00 AM
More Info
State Street Bank


Delta Strategies
Cross-Border

04/10/2013
10:00 AM
More Info
Regis-TR
Cross-Border

04/09/2013
1:00 PM
More Info
Investment Industry Association of Canada
CIBC World Markets Inc.
Canaccord Financial Inc.
National Bank Financial
Raymond James Ltd. 
FirstEnergy Capital Corp. 
Assante Wealth Management Inc.
Macquarie Private Wealth Inc.
GMP Securities L.P.
BMO Capital Markets
TD Bank Group
Desjardins Group
RBC Dominion Securities
Scotiabank Global Banking and Markets 
RBC Capital Markets
Cross-Border

04/03/2013
2:00 PM
More Info
TeraExchange
XIII. SEF Registration

04/02/2013
1:00 PM
More Info
ISDA, Goldman Sachs, DE Shaw, Wellington, Mayer Brown
General

03/21/2013
2:00 PM
More Info
ADMIS, ADM
General

03/21/2013
10:30 AM
More Info
FIA, Barclays, State Street, Goldman Sachs
General

03/15/2013
2:00 PM
More Info
Bluecrest Capital


Brevan Howard US


Winton Capital Management Ltd.


Alternative Investment Mangement Association (AIMA)


Crossroad Strategies
Cross-Border

03/13/2013
12:00 AM
More Info
DTCC
XVI. Swap Data Repositories Registration

XVIII. Real Time Reporting

XVII. Data Recordkeeping

03/13/2013
12:00 AM
More Info
WMBA
XIII. SEF Registration

03/13/2013
12:00 AM
More Info
BP
Cross-Border

I. Registration

XXVI. Position Limits

03/12/2013
3:15 PM
More Info
List of attendees attached
General

03/01/2013
11:30 AM
More Info
PIMCO, SIFMA, Goldman Sachs, Vanguard
XIII. SEF Registration

02/25/2013
3:00 PM
More Info
Davis Polk
Cross-Border

02/20/2013
3:00 PM
More Info
Newedge
V. Capital & Margin

02/19/2013
12:00 AM
More Info
Nomura


RBC


Deutsche Bank


Natisis Commodity Markets


Citigroup


BP


Newedge


Goldman Sachs


ICAP


ICE Futures Europe


CME Europe


Nasdaq OMX


LME


LCH Clearnet


UBS


Jefferies


BNP Paribas


Mizuho Securities USA


FOA


US Embassy
VI. Segregation and Bankruptcy

Cross-Border

02/13/2013
2:00 PM
More Info
CME, Morgan Stanley, Bank of New York Mellon, PIMCO, Skadden, Davis Polk, Emmet Marvin, Katten Muchin
VI. Segregation and Bankruptcy

01/30/2013
2:00 PM
More Info
Rabobank
Cross-Border

01/29/2013
2:00 PM
More Info
Skadden, CME, Morgan Stanley, Katten Muchin Rosenman LLP, PIMCO, Davis Polk
VI. Segregation and Bankruptcy

01/25/2013
3:00 PM
More Info
Alternative Invement Management Association (AIMA)


Managed Funds Association (MFA)


Delta Strategies
Cross-Border

01/23/2013
2:00 PM
More Info
Morgan Stanley
General

01/23/2013
1:45 PM
More Info
Morrison & Foerster LLP
Cross-Border

01/15/2013
4:30 PM
More Info
ICE
General

01/11/2013
2:00 PM
More Info
Mizuho US


Sumitomo Mitsui Banking Corporation (SMBC)
Cross-Border

01/11/2013
9:30 AM
More Info
Alternative Investment Management Association (AIMA)


Crossroad Strategies
Cross-Border

01/08/2013
10:00 AM
More Info
Premier Metal Services, LLC
General

12/20/2012
3:00 PM
More Info
Investment Company Institute (ICI)


U.S. Chamber of Commerce
XXVII. Investment Adviser Reporting

12/12/2012
9:30 AM
More Info
Futures Industry Association (FIA)
Barclays Capital
Morgan Stanley
Citi
Credit Suisse
Vitol
Cadwalader
Aggregation Policy for Position Limits

11/20/2012
1:00 PM
More Info
INTL Handley
V. Capital & Margin

10/18/2012
3:00 PM
More Info
WSPP, Inc. (WSPP)


Wright & Talisman, PC
XXI. Joint Rules w/ SEC

10/18/2012
12:30 PM
More Info
Markit and MarkitSERV
V. Capital & Margin

XVIII. Real Time Reporting

10/18/2012
11:00 AM
More Info
Federal Home Loan Banks (FHLBank)
Clearing Requirement

10/18/2012
11:00 AM
More Info
Markit, MarkitSERV
V. Capital & Margin

10/17/2012
11:00 AM
More Info
Bank of America Merrill Lynch
V. Capital & Margin

10/11/2012
11:00 AM
More Info
R. Bryan Woodard (State Street Corp.)


other representatives of State Street Corp.


Graham Harper (Delta Strategies)
IX. Governance & Possible Limits

10/03/2012
2:00 PM
More Info
Southern California Edison (SCE)


Southern Co. (Southern)


Balch & Bingham LLP
XXI. Joint Rules w/ SEC

10/01/2012
1:00 PM
More Info
Barclays
XXVIII. Volcker Rule

09/25/2012
3:00 PM
More Info
American Public Gas Association (APGA)
V. Capital & Margin

09/20/2012
9:00 AM
More Info
SSgA, Natixis, BNY Mellon, Fidelity Investments, Patton Boggs
XXVIII. Volcker Rule

09/18/2012
10:30 AM
More Info
Noble Americas Corp.
V. Capital & Margin

09/17/2012
1:30 PM
More Info
Noble Energy Inc.
V. Capital & Margin

09/11/2012
2:00 PM
More Info
Japan SESC
General

09/11/2012
1:30 PM
More Info
MFA
General

09/11/2012
12:00 PM
More Info
Alernative Investment Management Association (AIMA)
General

V. Capital & Margin

09/11/2012
10:00 AM
More Info
Morgan Stanley
III. Business Conduct Standards w/ Counterparties

09/10/2012
3:00 PM
More Info
American Securitization Forum


Annaly Capital Management


Latham & Watkins LLP


RBS


Bank of America Merrill Lynch


Ford
General

09/07/2012
11:00 AM
More Info
AQR Capital Management, LLC


Brevan Howard, Inc.


Citadel LLC


Convexity Capital Management


D.E. Shaw & Co.


Eton Park Capital Management, LP


HBK Capital Management


King Street Capital Management, LP


MFA
VI. Segregation and Bankruptcy

VIII. Process for Review of Swaps

VII. DCO Core Principles

XIII. SEF Registration

XVIII. Real Time Reporting

09/06/2012
10:00 AM
More Info
Bank of America
General

09/06/2012
9:00 AM
More Info
ICAP, TriOptima
XIII. SEF Registration

09/05/2012
4:00 PM
More Info
SIFMA


Skadden


Deutsche Bank


Credit-Suisse
General

09/05/2012
4:00 PM
More Info
General

08/29/2012
2:00 PM
More Info
CMC, NGFA, Sutherland, Bunge, MGEX,  The Scoular Company,
NCFC, Icarus Trading, ADM, Growmark, Cargill, Newedge, Katten Law, Macquarie, JP Morgan, Louis Dreyfus Commodities
General

XXXI. Conforming Amendments

08/29/2012
11:30 AM
More Info
ICAP
XIII. SEF Registration

08/28/2012
9:30 AM
More Info
LCH Clearnet
XIII. SEF Registration

08/22/2012
2:00 PM
More Info
ICAP
XIII. SEF Registration

08/22/2012
11:00 AM
More Info
Skadden
XIII. SEF Registration

08/16/2012
2:00 PM
More Info
Chatham Financial
V. Capital & Margin

Clearing Requirement

08/14/2012
11:30 AM
More Info
NFA
XIII. SEF Registration

08/14/2012
10:00 AM
More Info
Commodity Markets Council (CMC)


National Grain and Feed Assoc. (NGFA)


Kansas City Board of Trade


Minneapolis Grain Exchange


ABN Amro


RJ O'Brien


a member of the Chicago Board of Trade (CBOT)
XXXI. Conforming Amendments

08/13/2012
10:30 AM
More Info
DTCC
General

08/10/2012
5:30 PM
More Info
Commodity Markets Council (CMC)
XXXI. Conforming Amendments

08/09/2012
1:00 PM
More Info
ICI
XXVII. Investment Adviser Reporting

08/09/2012
11:00 AM
More Info
National Council of Farmer Cooperatives (NCFC)
XXXI. Conforming Amendments

08/07/2012
10:30 AM
More Info
Commodity Markets Council (CMC)
National Grain and Feed Assoc. (NGFA)
XXXI. Conforming Amendments

08/07/2012
12:00 AM
More Info
Stanford University
XIII. SEF Registration

08/06/2012
2:30 PM
More Info
NGSA
General

08/03/2012
11:30 AM
More Info
Sullivan & Cromwell


TrueEx
General

08/03/2012
12:00 AM
More Info
Columbia Business School
XIII. SEF Registration

08/02/2012
12:00 PM
More Info
Fidelity


Goldman Sachs Assets Management


MFS


PIMCO


Vanguard


Investment Adviser Assoc.


ICI


Managed Fund Association


SIFMA AMG


Davis Polk


Citadel


HBK


T. Rowe Price
VI. Segregation and Bankruptcy

08/02/2012
11:00 AM
More Info
The Farm Credit Council


AgriBank
XI. End-User Exception

08/01/2012
4:00 PM
More Info
Vitol


Shell Energy North America


Direct Energy


Hess


Sutherland Asbill & Brennan LLP
General

07/31/2012
4:00 PM
More Info
FXall
XII. DCM Core Principles

XVIII. Real Time Reporting

07/31/2012
3:00 PM
More Info
Morgan Stanley


HSBC Bank


Citigroup


Deutsche Bank


Goldman Sachs & Co.
General

07/31/2012
9:20 AM
More Info
JPMorgan Chase


Citi


BNY Mellon


Credit Suisse


Morgan Stanley


Bank of America


Allstate Insurance


AIG
General

07/30/2012
3:00 PM
More Info
Blackstone


Carlyle


Carlyle


KKR


TPG


PEGCC


Sullivan & Cromwell
General

07/30/2012
3:00 PM
More Info
UBS, Allen & Overy LLP
XIII. SEF Registration

07/30/2012
2:15 PM
More Info
PIMCO
General

07/30/2012
1:30 PM
More Info
TeraExchange
General

07/30/2012
1:00 PM
More Info
TeraExchange
XIII. SEF Registration

07/27/2012
10:00 AM
More Info
ICAP
XIII. SEF Registration

07/26/2012
10:00 AM
More Info
Blackstone, KKR, TPG, Carlyle, PEGCC, Sullivan & Cromwell
Aggregation Policy for Position Limits

07/25/2012
2:30 PM
More Info
Nomura
General

07/25/2012
11:00 AM
More Info
ICE
XIII. SEF Registration

07/24/2012
12:00 AM
More Info
NICE
XXXI. Conforming Amendments

07/23/2012
2:00 PM
More Info
Tradeweb, Ogilvy Gov't Relations
XIII. SEF Registration

07/19/2012
11:00 AM
More Info
"SEF Coalition," namely:


FX Alliance


ICE


Tradeweb


Latham & Watkins


Rich Feuer Anderson
IX. Governance & Possible Limits

07/19/2012
10:00 AM
More Info
FXall, Latham & Watkins LLP
XIII. SEF Registration

07/18/2012
11:00 AM
More Info
INFX, Latham & Watkins LLP
XIII. SEF Registration

07/17/2012
10:00 AM
More Info
Markit/MarkitSERV/DTCC
V. Capital & Margin

07/16/2012
4:00 PM
More Info
INFX 
Latham & Watkins LLP
XIII. SEF Registration

07/13/2012
1:00 PM
More Info
Autonomy
XXXI. Conforming Amendments

07/11/2012
11:15 AM
More Info
InterContinental Exchange (ICE)
VIII. Process for Review of Swaps

07/06/2012
10:30 AM
More Info
Cargill
XXI. Joint Rules w/ SEC

07/06/2012
10:00 AM
More Info
Hunton & Williams LLP
XXXI. Conforming Amendments

07/06/2012
12:00 AM
More Info
Nexidia
XXXI. Conforming Amendments

07/05/2012
10:00 AM
More Info
National Rural Electric Cooperative Association (NRECA)
XXI. Joint Rules w/ SEC

07/02/2012
2:00 PM
More Info
ABA


Webster Bank


FTN Financial


Summit Bank
XI. End-User Exception

06/20/2012
3:30 PM
More Info
Shell
BP
Conoco Phillips


Natural Gas Supply Association
XXVI. Position Limits

06/20/2012
12:00 PM
More Info
Not-for Profit Electric Coalition
XI. End-User Exception

06/14/2012
11:00 AM
More Info
Compliant Phones
XXXI. Conforming Amendments

06/14/2012
10:30 AM
More Info
Credit Suisse
XXVIII. Volcker Rule

06/14/2012
10:00 AM
More Info
US Bank
III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards – Internal

General

06/08/2012
12:00 AM
More Info
Katten Muchin Rosenman LLP
IX. Governance & Possible Limits

06/06/2012
10:30 AM
More Info
Managed Funds Association
Citadel Investment Group
King Street Capital Management
HBK Investments
XVIII. Real Time Reporting

Block Sizes for Large Notional Off-Facility Swaps

06/05/2012
4:00 PM
More Info
BP America Inc.
I. Registration

II. Definitions

06/04/2012
10:00 AM
More Info
Parity Energy discussed the following aspects of the FNPRM:


 


- Requested a separate swap category for swaps that are economically related to crude oil options because transactions in such options are typically larger in scale and fewer in number than those in fixed price energy instruments;


 


- Requested that the final rule to clarify that any natural gas swap with optionality be subject to the minimum block size proposed in Appendix F of the FNPRM for natural gas options rather than the minimum block size for natural gas swaps;


 


- Recommended setting a separate initial minimum block size for crude oil options at 1,000 contracts, consistent with CME’s minimum block size for Light Sweet Crude Oil options transactions.
Block Sizes for Large Notional Off-Facility Swaps

XVIII. Real Time Reporting

06/01/2012
1:30 PM
More Info
Eaton Vance
XIII. SEF Registration

05/30/2012
10:00 AM
More Info
Office of Rep. Maloney, BGC, ICAP, Tullet Prebon, GFI, Tradition, Patton Boggs
XIII. SEF Registration

05/21/2012
2:00 PM
More Info
NEFI


PMAA
XXVIII. Volcker Rule

05/16/2012
2:00 PM
More Info
Natural Gas Supply Association
V. Capital & Margin

05/16/2012
1:00 PM
More Info
Better Markets
XXVIII. Volcker Rule

05/14/2012
4:00 PM
More Info
XIII. SEF Registration

05/11/2012
2:00 PM
More Info
Occupy the SEC
XXVIII. Volcker Rule

05/11/2012
1:30 AM
More Info
BBVA
I. Registration

05/09/2012
2:00 PM
More Info
Natural Gas Supply Association
General

05/09/2012
11:00 AM
More Info
SIFMA


Davis Polk
XXVIII. Volcker Rule

05/09/2012
10:30 AM
More Info
Tradeweb
XIII. SEF Registration

05/08/2012
11:00 AM
More Info
AmCham EU
I. Registration

05/07/2012
4:00 PM
More Info
Bloomberg
XIII. SEF Registration

05/07/2012
3:00 PM
More Info
MarketAxess
XIII. SEF Registration

05/07/2012
1:00 PM
More Info
John Deere Financial, CAT Financial, Honda Financial Services, Toyota Financial Services
XI. End-User Exception

05/07/2012
12:00 AM
More Info
ICAP
XII. DCM Core Principles

05/03/2012
11:00 AM
More Info
TriOptima
General

05/02/2012
2:00 PM
More Info
U.S. Chamber of Commerce End-Users Group
XI. End-User Exception

VIII. Process for Review of Swaps

04/30/2012
2:00 PM
More Info
XIII. SEF Registration

04/30/2012
11:00 AM
More Info
XIII. SEF Registration

04/30/2012
10:30 AM
More Info
American Bankers Association (ABA)


Global Financial Markets Association (GFMA)


Morgan Lewis & Bockius (Morgan Lewis)


JP Morgan (JPM)


Bank of New York Mellon (BONY-Mellon)


Pershing Capital (Pershing)
XXI. Joint Rules w/ SEC

04/27/2012
12:00 PM
More Info
Chatham Financial
XI. End-User Exception

04/26/2012
2:00 PM
More Info
XIII. SEF Registration

04/25/2012
6:15 PM
More Info
Gibson Dunn
XI. End-User Exception

04/25/2012
3:00 PM
More Info
INFX, Shipkevich PLLC
XIII. SEF Registration

04/20/2012
12:00 PM
More Info
EEI
VIII. Process for Review of Swaps

04/19/2012
1:00 PM
More Info
Kinetix Trading Solutions
XVIII. Real Time Reporting

04/19/2012
12:00 PM
More Info
COPE
VIII. Process for Review of Swaps

04/17/2012
10:00 AM
More Info
Nodal Exchange
XIII. SEF Registration

04/16/2012
3:00 PM
More Info
Institute of International Bankers
General

04/12/2012
9:30 AM
More Info
CoBank
II. Definitions

04/10/2012
1:00 PM
More Info
SIFMA
V. Capital & Margin

04/10/2012
11:00 AM
More Info
Tradeweb


Ogilvy
IX. Governance & Possible Limits

04/10/2012
12:00 AM
More Info
KfW Development Bank
II. Definitions

04/09/2012
11:30 AM
More Info
Loan Syndications Trading Association (LSTA)


Richards Kibbe & Orbe (RKO)
XXI. Joint Rules w/ SEC

04/05/2012
3:00 PM
More Info
SIFMA Global FX Division (SIFMA Global FX)
XXI. Joint Rules w/ SEC

04/04/2012
2:00 PM
More Info
Katten Muchin Rosenman LLP
IX. Governance & Possible Limits

04/03/2012
3:20 PM
More Info
American Gas Association
II. Definitions

04/03/2012
2:30 PM
More Info
American Gas Association
II. Definitions

04/02/2012
2:00 PM
More Info
BlackRock
VIII. Process for Review of Swaps

03/29/2012
4:30 PM
More Info
MarkitServ


Citadel


UBS
XIII. SEF Registration

VIII. Process for Review of Swaps

03/28/2012
2:00 PM
More Info
Javelin Capital Markets
XIII. SEF Registration

Swaps Made Available to Trade

03/28/2012
10:00 AM
More Info
Tradeweb, Ogilvy Gov't Relations
XIII. SEF Registration

03/27/2012
10:00 AM
More Info
UBS, Allen & Overy
XIII. SEF Registration

03/26/2012
4:00 PM
More Info
Sullivan & Cromwell (S&C)
XXI. Joint Rules w/ SEC

03/22/2012
3:00 PM
More Info
Macquarie Group
V. Capital & Margin

03/22/2012
11:00 AM
More Info
HETCO
V. Capital & Margin

03/21/2012
11:00 AM
More Info
ICAP
XIII. SEF Registration

03/20/2012
11:15 AM
More Info
ICAP


Citadel
VIII. Process for Review of Swaps

03/20/2012
10:30 AM
More Info
NFA
XIII. SEF Registration

03/19/2012
5:00 PM
More Info
American Banking Association (ABA)
II. Definitions

03/15/2012
2:00 PM
More Info
Calpine
II. Definitions

03/14/2012
7:00 PM
More Info
List of attendees attached.
XIII. SEF Registration

XVI. Swap Data Repositories Registration

VIII. Process for Review of Swaps

03/14/2012
11:00 AM
More Info
BP
II. Definitions

III. Business Conduct Standards w/ Counterparties

XXVI. Position Limits

V. Capital & Margin

03/14/2012
10:30 AM
More Info
GFI, Katten Muchin
XIII. SEF Registration

03/12/2012
3:30 PM
More Info
Americans for Financial Reform
XIII. SEF Registration

II. Definitions

XXVIII. Volcker Rule

03/09/2012
3:00 PM
More Info
ICAP
XIII. SEF Registration

03/09/2012
9:15 AM
More Info
EIB
Arnold & Portner
XXI. Joint Rules w/ SEC

II. Definitions

03/08/2012
10:00 AM
More Info
Tradeweb
XIII. SEF Registration

03/07/2012
4:00 PM
More Info
Goldman Sachs
XXVIII. Volcker Rule

03/07/2012
8:25 AM
More Info
FIA
VIII. Process for Review of Swaps

03/06/2012
1:00 PM
More Info
TIAA-CREF


Porterfield & Lowenthal
XXVIII. Volcker Rule

03/05/2012
12:15 PM
More Info
CME, Pension funds
XII. DCM Core Principles

XXVI. Position Limits

General

II. Definitions

03/02/2012
12:30 PM
More Info
ICAP
Swaps Made Available to Trade

XIII. SEF Registration

03/01/2012
2:00 PM
More Info
Arbor Research


BONY Mellon


Brevan Howard


Citadel


Alliance Bernstein


ING


Jefferies


Eris Exchange


Javelin


DRW


Delta Strategy Group
VIII. Process for Review of Swaps

03/01/2012
2:00 PM
More Info
CIEBA


American Benefits Council
V. Capital & Margin

03/01/2012
10:30 AM
More Info
ICAP
VII. DCO Core Principles

03/01/2012
9:00 AM
More Info
Companies in the oil & gas industry and financial companies engaged in swaps with energy market participants.
XI. End-User Exception

V. Capital & Margin

II. Definitions

General

02/29/2012
3:00 PM
More Info
Inter-American Development Bank (IDB)
II. Definitions

XI. End-User Exception

02/29/2012
9:00 AM
More Info
Delta Strategy Group
Javelin


Alliance Bernstein


BNY Mellon


Brevan Howard


Citadel


Coherence Capital


CRT Capital Group LLC


Eris Exchange


GETCO


ING


Jefferies


RBC Capital Markets


Societe Generale Corporation & Investment Banking


Wells Fargo


DRW Holdings


Arbor Research


Benchmark Plus


DE Shaw


Imperial
RJO


Scotia Capital


Seaport  


Susquehanna Intl Group (SIG)


Toronto Dominion


Tricadia


US Bank
General

02/29/2012
12:00 AM
More Info
The Business Council for Sustainable Energy (BCES)
Sempra Energy
Solar City
American Wind Energy Association (AWEA)
Pacific Gas & Electric (PGE)
Calpine
Sacramento Municipal Utilities District (SMUD)
II. Definitions

02/28/2012
3:30 PM
More Info
Managed Funds Association (MFA)


Citadel L.L.C.


Delta Strategy Group


Paulson & Co. Inc.


King Street Capital Management L.P.


HBK Investments L.P.
General

02/28/2012
1:00 PM
More Info
Citadel LLC


Paulson & Co. Inc.


King Street Capital Management, L.P.


HBK Investments LP


Managed Funds Association
General

02/28/2012
11:15 AM
More Info
BlackRock
VII. DCO Core Principles

02/28/2012
9:30 AM
More Info
Citadel
VII. DCO Core Principles

02/21/2012
4:00 PM
More Info
Consumer Federation of America


Better Markets, Inc.
III. Business Conduct Standards w/ Counterparties

02/21/2012
10:00 AM
More Info
Consumer Federation of America


Better Markets, Inc.
III. Business Conduct Standards w/ Counterparties

II. Definitions

02/17/2012
9:00 AM
More Info
MetLife;


Financial Services Roundtable;


Debevoise & Plimpton;


American Council of Life Insurers;


Principal Financial Group;


Nationwide Insurance and Financial Services
XXVIII. Volcker Rule

02/16/2012
3:30 PM
More Info
Goldman Sachs
II. Definitions

IV. Business Conduct Standards – Internal

02/16/2012
2:00 PM
More Info
Wholesale Market Brokers' Association, BGC, Tullett Prebon, ICAP, GFI, Patton Boggs
XIII. SEF Registration

02/16/2012
1:00 PM
More Info
Morgan, Lewis & Bockius LLP


Managed Funds Associates


Global FX Division
II. Definitions

02/16/2012
12:45 PM
More Info
GFI, Patton Boggs
XIII. SEF Registration

02/16/2012
10:30 AM
More Info
ICAP, Patton Boggs
XIII. SEF Registration

02/16/2012
10:00 AM
More Info
BlackRock
II. Definitions

General

III. Business Conduct Standards w/ Counterparties

VIII. Process for Review of Swaps

02/14/2012
6:00 PM
More Info
ODEX
XIII. SEF Registration

02/14/2012
2:00 PM
More Info
Greenberg Traurig, LLP


National Rural Utilities Cooperative Finance Corporation
XI. End-User Exception

02/14/2012
1:30 PM
More Info
ICAP
XIII. SEF Registration

02/14/2012
12:30 PM
More Info
Swaps and Derivatives Market Association
XVIII. Real Time Reporting

02/14/2012
12:00 PM
More Info
Javelin


Delta Strategy Group
XVIII. Real Time Reporting

Block Sizes for Large Notional Off-Facility Swaps

02/14/2012
11:45 AM
More Info
ICAP
XIII. SEF Registration

02/13/2012
12:00 PM
More Info
American Bankers Association ("ABA")
II. Definitions

General

02/10/2012
12:45 PM
More Info
Eaton Vance
Swaps Made Available to Trade

XIII. SEF Registration

XII. DCM Core Principles

02/09/2012
12:00 PM
More Info
Goldman Sachs, Credit Suisse Securities (USA) LLC, J.P. Morgan Securities, Futures Industry Association (FIA), Securities Industry and Financial Markets Association (SIFMA), Pershing, Morgan Stanley & Co., Wilmer Hale, NewEdge, Macquarie Group
IV. Business Conduct Standards – Internal

General

02/02/2012
3:30 PM
More Info
Covington & Burling LLP
American Gas Association
XXI. Joint Rules w/ SEC

XXVI. Position Limits

II. Definitions

02/02/2012
2:00 PM
More Info
Delta Strategies


Citadel
General

02/02/2012
10:00 AM
More Info
NFA
XIII. SEF Registration

02/01/2012
1:00 PM
More Info
National Corn Growers Association


Natural Gas Supply Association
II. Definitions

02/01/2012
12:30 PM
More Info
National Rural Electric Cooperative Association (NRECA)


American Public Power Association (APPA)
II. Definitions

XVIII. Real Time Reporting

XVII. Data Recordkeeping

02/01/2012
10:00 AM
More Info
SURFACExchange
XIII. SEF Registration

01/31/2012
10:30 AM
More Info
Gibson Dunn

Ameriprise Financial


GE


Prudential


Loews


Financial Executive Int'l


FEI


Nationwide Insurance


Chatham Financial


Peabody Energy


National Association of Manufacturers
XI. End-User Exception

01/30/2012
3:00 PM
More Info
NAIC and SEC
II. Definitions

01/30/2012
10:00 AM
More Info
Investment Adviser Association
Managed Funds Association
XXVII. Investment Adviser Reporting

01/27/2012
12:30 PM
More Info
Tradeweb


Ogilvy Govt Relations
XIII. SEF Registration

01/27/2012
11:00 AM
More Info
GSAM


PIMCO


SIFMA


Vanguard


Fidelity Investments
XXVII. Investment Adviser Reporting

01/26/2012
9:00 AM
More Info
Swiss Re


Deloitte
V. Capital & Margin

01/25/2012
2:30 PM
More Info
Javelin Capital Markets
Block Sizes for Large Notional Off-Facility Swaps

XVIII. Real Time Reporting

01/23/2012
12:00 AM
More Info
National Association of Insurance Commissioners (NAIC)
XXI. Joint Rules w/ SEC

01/20/2012
11:00 AM
More Info
Greenberg Traurig


National Rural Utilities Cooperative Finance Coroporation (NRUCFC)
XI. End-User Exception

01/18/2012
3:00 PM
More Info
Williams & Jensen


Bloomberg
XIII. SEF Registration

01/18/2012
1:00 PM
More Info
Bloomberg
XIII. SEF Registration

Swaps Made Available to Trade

01/18/2012
11:00 AM
More Info
Bloomberg LP


Williams & Jensen
XXI. Joint Rules w/ SEC

01/17/2012
12:30 PM
More Info
Morgan, Lewis & Bockius


Securities Industry and Financial Markets Association (SIFMA)


Winton Capital


Managed Funds Association


Campbell & Company


Morgan Stanley


Tudor Investment Corporation
II. Definitions

01/17/2012
12:00 PM
More Info
Goldman Sachs
III. Business Conduct Standards w/ Counterparties

General

01/17/2012
11:30 AM
More Info
Goldman Sachs
II. Definitions

01/12/2012
9:00 AM
More Info
Vodafone Global Enterprises
XXXI. Conforming Amendments

01/11/2012
4:00 PM
More Info
Skadden Arps (Skadden)


Travelers Insurance (Travelers)
XXI. Joint Rules w/ SEC

01/10/2012
5:10 PM
More Info
Skadden Arps
III. Business Conduct Standards w/ Counterparties

01/09/2012
2:00 PM
More Info
Consumer Federation of America (CFA)


Americans for Financial Reform (AFR)


American Federation of State, County and Municipal Employees (AFSCME)
AFL-CIO Office of Investment
III. Business Conduct Standards w/ Counterparties

01/09/2012
11:00 AM
More Info
Committee on Investment of Employee Benefit Assets (CIEBA)
American Benefits Council (ABC) 
European Pension Federation (EFRP)
Franklin Advisors, Inc.
General Motors Pension Fund
NISA Investment Advisors
III. Business Conduct Standards w/ Counterparties

01/06/2012
1:00 PM
More Info
Morgan Stanley
III. Business Conduct Standards w/ Counterparties

VI. Segregation and Bankruptcy

01/06/2012
12:00 PM
More Info
Morgan Stanley
III. Business Conduct Standards w/ Counterparties

General

01/05/2012
4:30 PM
More Info
BlackRock
Davis Polk
Fidelity
GM Asset Management
Goldman Sachs Asset Management


SIFMA


SIFMA Asset Management Group
III. Business Conduct Standards w/ Counterparties

VI. Segregation and Bankruptcy

01/05/2012
4:00 PM
More Info
BlackRock


Davis Polk


Fidelity


GM Asset Management


Goldman Sachs Asset Management


SIFMA
III. Business Conduct Standards w/ Counterparties

01/05/2012
3:00 PM
More Info
ISDA
Morgan Stanley
J.P. Morgan
Goldman Sachs


Mayer Brown
VI. Segregation and Bankruptcy

III. Business Conduct Standards w/ Counterparties

01/05/2012
2:45 PM
More Info
BlackRock


Davis Polk


Fidelity


GM Asset Management


Goldman Sachs Asset Management


SIFMA Asset Management Group
III. Business Conduct Standards w/ Counterparties

01/05/2012
2:00 PM
More Info
American Benefits Council (ABC)
The Committee on Investment of Employee Benefit Assets (CIEBA)
General Motors Investment Managment Corp. (GMIMCO)
Xerox
Weyerhaeuser
Chrysler
Lockheed Martin
IBM
Venable
Skadden
Davis & Harman
III. Business Conduct Standards w/ Counterparties

01/05/2012
2:00 PM
More Info
J.P. Morgan Chase
III. Business Conduct Standards w/ Counterparties

01/05/2012
1:30 PM
More Info
Skadden


GMIMCO


Xerox


Lockheed Martin


IBM


ABC


CIEBA


Davis & Harman, behalf of Chrysler


Chris Condeluci Venable, on behalf of Chrysler


Jordan Moon Chrysler


Fred Miller, Weyerhaeuser
III. Business Conduct Standards w/ Counterparties

01/05/2012
1:00 PM
More Info
California Public Employees' Retirement System
Teachers Retirement System of Texas
State of Wisconsin Investment Board
Lussier, Gregor, Vienna & Associates
VI. Segregation and Bankruptcy

01/05/2012
1:00 PM
More Info
BlackRock


Davis Polk


Fidelity


Goldman Sachs Assest Managment


SIFMA


SIFMA Assest Managment Group
III. Business Conduct Standards w/ Counterparties

01/05/2012
1:00 PM
More Info
Skadden, Arps, Slate, Meagher & Flom LLP


General Motors Investment Management Corporation Outsources (GMIMCO)


Xerox


Lcokheed Martin


IBM


ABC
Committee on the Investment of Employee Benefit Assets (CIEBA)


Davis-Harman


Venable
III. Business Conduct Standards w/ Counterparties

01/05/2012
11:30 AM
More Info
BlackRock
VI. Segregation and Bankruptcy

01/05/2012
11:15 AM
More Info
California Public Employees' Retirement System
Teachers Retirement System of Texas
State of Wisconsin Investment Board
Lussier, Gregor, Vienna & Assoiciates
III. Business Conduct Standards w/ Counterparties

VI. Segregation and Bankruptcy

01/05/2012
10:00 AM
More Info
American Benefits Council
Committee on Investment of Employee Benefits
NISA Investment Advisors
Skadden, Arps


Xerox
Lockheed Martin
IBM
Venable
III. Business Conduct Standards w/ Counterparties

01/05/2012
10:00 AM
More Info
California Public Employees' Retirement System (CalPERS) 


Teachers Retirement System of Texas (TRST)


State of Wisconsin Investment Board (SWIB)


Lussier, Gregor, Vienna & Associates (LGV&A)
VI. Segregation and Bankruptcy

01/04/2012
11:15 AM
More Info
GM Asset Management


Clifford Chance
VI. Segregation and Bankruptcy

01/03/2012
10:00 AM
More Info
LCH.Clearnet
VI. Segregation and Bankruptcy

12/22/2011
10:00 AM
More Info
Tudor Investment Corp.
VI. Segregation and Bankruptcy

12/19/2011
3:00 PM
More Info
ICE
XVIII. Real Time Reporting

12/16/2011
12:30 PM
More Info
Southwest Airlines


Chesapeake Energy


Delta Strategy Group
XVIII. Real Time Reporting

12/15/2011
9:00 AM
More Info
CIEGA


American Benefits Council


The European Pension Federation


Franklin Advisors, Inc.


General Motors Pension Fund


NISA Investment Advisors
VI. Segregation and Bankruptcy

12/14/2011
11:00 AM
More Info
World Bank Group
XXI. Joint Rules w/ SEC

12/13/2011
12:00 PM
More Info
NFA
XIII. SEF Registration

12/13/2011
9:00 AM
More Info
Managed Funds Association and Delta Strategy Group
VI. Segregation and Bankruptcy

12/08/2011
11:30 AM
More Info
ICAP
XVIII. Real Time Reporting

12/06/2011
2:00 PM
More Info
Geneva Energy Markets
XIII. SEF Registration

12/01/2011
11:00 AM
More Info
Mayer Brown


Deutsche Bank


Morgan Stanley


ISDA
XXI. Joint Rules w/ SEC

11/30/2011
12:30 PM
More Info
Deutsche Bank


Goldman Sachs


SIFMA
XXI. Joint Rules w/ SEC

11/30/2011
11:00 AM
More Info
EEI Contract Drafting Committee
XXI. Joint Rules w/ SEC

11/21/2011
4:00 PM
More Info
National Association of Insurance Commissioners (NAIC)
XXI. Joint Rules w/ SEC

11/21/2011
2:00 PM
More Info
Nico Holdings, DRW Holdings
XIII. SEF Registration

11/18/2011
2:00 PM
More Info
Evolution Markets


Ogilvy Government Relations
XXI. Joint Rules w/ SEC

11/16/2011
4:00 PM
More Info
MarketAxess


Skadden
XXI. Joint Rules w/ SEC

11/16/2011
11:00 AM
More Info
The Loan Syndications and Trading Association (LSTA)


Loan Market Association (LMA)


Wilmer Hale LLP (Wilmer Hale)


Richards, Kibbe & Orbe (Richards Kibbe)
XXI. Joint Rules w/ SEC

11/15/2011
2:30 PM
More Info
NextEra Energy Resources LLC (NextEra)
XXI. Joint Rules w/ SEC

11/10/2011
10:30 AM
More Info
U.S. Securities and Exchange Commission (SEC)
XXVII. Investment Adviser Reporting

11/09/2011
11:30 AM
More Info
BlackRock


Fidelity Investments


Goldman Sachs Asset Management


MFS


PIMCO


SIFMA


Vanguard


Wellington


Davis Polk and Wardwell
V. Capital & Margin

11/04/2011
12:00 AM
More Info
ICAP
Delta Strategies
XIII. SEF Registration

11/03/2011
2:00 PM
More Info
Consumer Federation of America (CFA)
Americans for Financial Reform (AFR)
III. Business Conduct Standards w/ Counterparties

11/02/2011
3:00 PM
More Info
SIFMA Global FX Division (SIFMA Global FX)
XXI. Joint Rules w/ SEC

11/02/2011
1:00 PM
More Info
Working Group of Commercial Energy Firms
Report: Improving Clearing Oversight

II. Definitions

10/28/2011
10:00 AM
More Info
National Association of Insurance Commissioners (NAIC)
XXI. Joint Rules w/ SEC

10/26/2011
10:00 AM
More Info
New England Fuel Institute (NEFI)
XXI. Joint Rules w/ SEC

10/25/2011
10:00 AM
More Info
Regional Bank Swap Dealers
General

10/20/2011
3:00 PM
More Info
Department of Treasury


Office of Management and Budget (OMB)


Securities and Exchange Commission (SEC)
XXVII. Investment Adviser Reporting

10/20/2011
2:00 PM
More Info
Commodity Futures Trading Commission (CFTC)


Securities and Exchange Commission (SEC)


Office of Management and Budget (OMB)
XXVII. Investment Adviser Reporting

10/20/2011
1:00 PM
More Info
American Council of Life Insurers (ACLI)


ING


MetLife


Prudential Financial
V. Capital & Margin

10/20/2011
12:00 PM
More Info
Schulte, Roth & Zabel
II. Definitions

10/19/2011
3:00 PM
More Info
The Financial Services Roundtable
BB&T
Capital One
CIT Capital Markets
CIT Group
FTN Financial/First Tennessee Bank
Toyota Financial
Union Bank
US Bank
Arnold & Porter
Latham & Watkins
II. Definitions

10/19/2011
12:00 PM
More Info
Schulte, Roth & Zabel
II. Definitions

10/19/2011
11:30 AM
More Info
BlackRock
VII. DCO Core Principles

10/14/2011
6:00 PM
More Info
Americans for Financial Reform (AFR)
III. Business Conduct Standards w/ Counterparties

10/13/2011
11:30 AM
More Info
ABN AMRO, Amalgamated Metal Trading, Bank of America Merrill Lynch, BP Oil International, Citigroup, CME Group, Credit Suisse Securities, Deutsche Bank, Elliott Advisors, FOA, Goldman Sachs, ICE Futures, IG Group, JP Morgan, London Stock Exchange, Marex Financial, Monument Securities, Morgan Stanley, Natixis Commodity Markets, NYSE LIFFE, RWE Supply Trading, UBS
V. Capital & Margin

II. Definitions

XXVI. Position Limits

XII. DCM Core Principles

VII. DCO Core Principles

10/13/2011
9:00 AM
More Info
Consumer Federation of America (CFA)
Americans for Financial Reform (AFR)
Better Markets
III. Business Conduct Standards w/ Counterparties

10/13/2011
9:00 AM
More Info
Compliant Phones
IV. Business Conduct Standards – Internal

XXXI. Conforming Amendments

10/12/2011
9:30 AM
More Info
Kreditanstalt für Wiederaufbau (KfW)


Sullivan & Cromwell LLP
II. Definitions

10/11/2011
2:00 PM
More Info
Skadden Arps (representing CME)
XXVI. Position Limits

10/11/2011
11:00 AM
More Info
International Swaps and Derivatives Association, Inc.
Goldman Sachs
Deutsche Bank
JPMorgan Chase
VI. Segregation and Bankruptcy

10/07/2011
6:00 PM
More Info
Skadden Arps (representing CME)
XXVI. Position Limits

10/07/2011
5:00 PM
More Info
Cadwalader Wickersham & Taft (representing commercial energy and agricultural end users)
XXVI. Position Limits

10/07/2011
11:30 AM
More Info
Futures Industry Association
Katten Muchin Rosenman LLP
Credit Suisse
Goldman Sachs
VI. Segregation and Bankruptcy

10/06/2011
5:00 PM
More Info
Consumer Federation of America (CFA)
III. Business Conduct Standards w/ Counterparties

10/06/2011
10:00 AM
More Info
Independent Community Bankers of America (ICBA)
V. Capital & Margin

10/05/2011
2:00 PM
More Info
National Association of Insurance Commissioners (NAIC)


New York Department of Financial Services (NYDFS)
XXI. Joint Rules w/ SEC

10/05/2011
2:00 PM
More Info
Traveller's Insurance


Skadden Arps (Skadden)
XXI. Joint Rules w/ SEC

10/05/2011
1:00 PM
More Info
Shell Energy N.A.


Shell Oil
XXVI. Position Limits

V. Capital & Margin

IV. Business Conduct Standards – Internal

10/05/2011
12:00 PM
More Info
National Rural Utilities Cooperative Finance Corporation (NRU CFC)


Russell & Barron
XI. End-User Exception

XXI. Joint Rules w/ SEC

II. Definitions

10/05/2011
10:45 AM
More Info
Califiornia Public Employees' Retirement System (CalPERS)
Colorado Public Employees' Retirement Association (Colorado PERA)
Missouri State Employees' Retirement System (MOSERS)
State of Wisconsin Investment Board (SWIB)
Teacher Retirement System of Texas (TRS)
III. Business Conduct Standards w/ Counterparties

10/05/2011
10:00 AM
More Info
FTN Financial, a division of First Tennessee Bank, N.A.
II. Definitions

XI. End-User Exception

10/05/2011
9:00 AM
More Info
JP Morgan Chase & Co.
II. Definitions

I. Registration

III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards – Internal

V. Capital & Margin

10/04/2011
4:30 PM
More Info
Macquarie Holdings (U.S.A) Inc. (MH)


Macquarie Group (MG)


Macquarie Group Limited (MGL)


Sullivan & Cromwell
V. Capital & Margin

10/04/2011
2:20 PM
More Info
The Church Alliance
III. Business Conduct Standards w/ Counterparties

II. Definitions

XI. End-User Exception

10/04/2011
1:00 PM
More Info
Commodity Markets Council; Futures Industry Association; National Milk Producers Federation; National Council of Farmer Cooperatives; National Grain and Feed Association
XXXI. Conforming Amendments

10/04/2011
12:00 PM
More Info
Senator Johnson and Representative Frank
III. Business Conduct Standards w/ Counterparties

10/04/2011
10:30 AM
More Info
The PrivateBank and Trust Company
Susquehanna Bank
Commerce Bank
Atlantic Capital Bank
Trustmark
Webster Bank
UMB Bank
Wintrust
Chatham Financial
XI. End-User Exception

09/28/2011
9:00 AM
More Info
Barclays Capital Inc.
General

09/28/2011
9:00 AM
More Info
Morgan Stanley
V. Capital & Margin

IV. Business Conduct Standards – Internal

III. Business Conduct Standards w/ Counterparties

I. Registration

II. Definitions

09/26/2011
4:15 PM
More Info
II. Definitions

09/23/2011
1:00 PM
More Info
Individual
XXVI. Position Limits

09/22/2011
10:00 AM
More Info
Goldman Sachs & Co.
II. Definitions

I. Registration

V. Capital & Margin

09/21/2011
3:00 PM
More Info
Consumer Federation of America (CFA)
Americans for Financial Reform (AFR)
Better Markets
III. Business Conduct Standards w/ Counterparties

09/21/2011
1:45 PM
More Info
Principal Life Insurance Company (Principal)
V. Capital & Margin

09/21/2011
1:15 PM
More Info
Telvent
XVII. Data Recordkeeping

09/21/2011
11:00 AM
More Info
Infinium, DRW Trading, CTC
II. Definitions

09/21/2011
10:30 AM
More Info
KfW, also known as Kreditanstalt für Wiederaufbau


Sullivan & Cromwell
II. Definitions

09/21/2011
9:00 AM
More Info
Principal Financial Group
V. Capital & Margin

09/20/2011
10:30 AM
More Info
FIA
VII. DCO Core Principles

09/19/2011
4:00 PM
More Info
Teacher Retirement System of Texas (TRS)
Missouri State Employees' Retirement System (MOSERS)
California Public Employees' Retirement System (CalPERS)
State of Wisconsin Investment Board (SWIB)
Lussier, Gregor, Vienna & Assoc.
NISA Investment Advisers (NISA)
Delta Strategy Group (DSG)
III. Business Conduct Standards w/ Counterparties

09/16/2011
4:30 PM
More Info
Willkie Farr & Gallagher LLP
II. Definitions

09/16/2011
12:00 PM
More Info
Consumer Federation of America (CFA)
Americans for Financial Reform (AFR)
Better Markets
III. Business Conduct Standards w/ Counterparties

09/15/2011
3:30 PM
More Info
MFA


Sullivan Cromwell


Blackrock
XXI. Joint Rules w/ SEC

09/15/2011
2:30 PM
More Info
American Benefits Council (ABC)
Committee on Investment of Employee Benefit Assets (CIEBA)
III. Business Conduct Standards w/ Counterparties

09/14/2011
11:30 AM
More Info
Managed Funds Association


Willkie Farr
XXVII. Investment Adviser Reporting

09/12/2011
2:00 PM
More Info
Natural Gas Exchange (NGX)
IX. Governance & Possible Limits

II. Definitions

VII. DCO Core Principles

VIII. Process for Review of Swaps

09/12/2011
11:00 AM
More Info
Natural Gas Exchange (NGX)
VII. DCO Core Principles

09/09/2011
1:30 PM
More Info
Church Alliance
XI. End-User Exception

III. Business Conduct Standards w/ Counterparties

II. Definitions

09/09/2011
11:00 AM
More Info
FXall, Winston & Strawn LLP
XIII. SEF Registration

09/09/2011
10:30 AM
More Info
Church Alliance
III. Business Conduct Standards w/ Counterparties

09/09/2011
10:00 AM
More Info
FXall and Winston & Strawn LLP
XVII. Data Recordkeeping

09/08/2011
2:00 PM
More Info
Russell Investments (Russell)
III. Business Conduct Standards w/ Counterparties

09/08/2011
12:30 PM
More Info
Wholesale Market Brokers Association
XVIII. Real Time Reporting

09/07/2011
3:00 PM
More Info
Andrew Kalotay Associates, Inc.
III. Business Conduct Standards w/ Counterparties

09/07/2011
2:00 PM
More Info
Spring Trading
VII. DCO Core Principles

09/07/2011
10:00 AM
More Info
BP (BP)
North America Gas & Power (NAGP)
V. Capital & Margin

09/02/2011
12:00 AM
More Info
Skadden Arps


CME
XII. DCM Core Principles

09/01/2011
2:00 PM
More Info
City and County of San Francisco (SF)
III. Business Conduct Standards w/ Counterparties

08/30/2011
3:00 PM
More Info
FXall


Winston & Strawn
XVIII. Real Time Reporting

08/30/2011
2:30 PM
More Info
Consumer Federation of America (CFA)
III. Business Conduct Standards w/ Counterparties

08/30/2011
12:30 PM
More Info
BlackRock
III. Business Conduct Standards w/ Counterparties

08/30/2011
11:30 AM
More Info
American Benefits Council (ABC)


The Committee on the Investment of Employee Benefit Assets (CIEBA)
III. Business Conduct Standards w/ Counterparties

08/30/2011
11:00 AM
More Info
GFI Group
Katten Muchin Rosenman LLP
II. Definitions

08/30/2011
10:50 AM
More Info
Senator Carl Levin
III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards – Internal

08/30/2011
10:00 AM
More Info
Futures Industry Association
XXVI. Position Limits

08/29/2011
7:30 PM
More Info
Consumer Federation of America (CFA)


Americans for Financial Reform (AFR)
III. Business Conduct Standards w/ Counterparties

08/29/2011
3:00 PM
More Info
Tennessee Office of the Comptroller of the Treasury (TOCT)
III. Business Conduct Standards w/ Counterparties

08/26/2011
1:00 PM
More Info
Jackson National Life Insurance (Jackson)


PPM America


Robertu & White


Office of Rep. Ed Perlmutter (CO-7)
V. Capital & Margin

XVIII. Real Time Reporting

08/26/2011
12:00 PM
More Info
XII. DCM Core Principles

08/25/2011
2:00 PM
More Info
Edison International
Edison Mission Energy
Hogan Lovells
Ogilvy Government Relations
Sempra Energy
Southern California Edison
XXI. Joint Rules w/ SEC

08/23/2011
1:00 PM
More Info
Ontario Securities Commission (OSC)
VII. DCO Core Principles

08/18/2011
12:00 PM
More Info
Sullivan & Cromwell
II. Definitions

08/16/2011
12:00 PM
More Info
Delta Strategy Group (DSG)
III. Business Conduct Standards w/ Counterparties

08/15/2011
3:30 PM
More Info
FINRA
XIII. SEF Registration

08/09/2011
9:00 PM
More Info
Citadel
VII. DCO Core Principles

08/08/2011
11:00 AM
More Info
Regions Bank


Fifth Third Bank


M&T Bank


Nossaman Law Firm
II. Definitions

08/05/2011
3:00 PM
More Info
Intercontinental Exchange
Study: Position Limits

08/05/2011
1:00 PM
More Info
Chicago Mercantile Exchange
XXVI. Position Limits

08/05/2011
9:00 AM
More Info
Chicago Mercantile Exchange
XII. DCM Core Principles

XXVI. Position Limits

08/05/2011
8:00 AM
More Info
Chicago Mecantile Exchange
XXVI. Position Limits

08/03/2011
10:00 AM
More Info
CIEBA
U.S. Steel & Carnegie Pension Fund
Clifford Chance US LLP
Winston & Strawn LLP
VI. Segregation and Bankruptcy

08/02/2011
4:00 PM
More Info
Secirities Industry and Financial Markets Associations Asset Management Group
XXVI. Position Limits

08/02/2011
2:30 PM
More Info
Securities Industry and Financial Markets Associations Asset Management Group (SIFMA AMG)
Vanguard
Goldman Sachs Asset Management
Fidelity Investments
II. Definitions

08/02/2011
11:30 AM
More Info
Securities Industry and Financial Markets Association Asset Management Group
XXVI. Position Limits

08/02/2011
10:00 AM
More Info
SIFMA AMG
Goldman Sachs
Vangaurd
J.P. Morgan
Fidelity
PIMCO
XXVI. Position Limits

08/02/2011
10:00 AM
More Info
Chicago Mercantile Exchange
XXVI. Position Limits

XII. DCM Core Principles

08/01/2011
1:30 PM
More Info
Chicago Mercantile Exchange
Skadden, Arps, Slate, Meagher & Flom LLP
VI. Segregation and Bankruptcy

07/29/2011
2:30 PM
More Info
Better Markets, Inc.
IX. Governance & Possible Limits

07/28/2011
4:30 PM
More Info
Renewable Energy Markets Association
II. Definitions

07/28/2011
4:00 PM
More Info
XVI. Swap Data Repositories Registration

07/28/2011
3:45 PM
More Info
Bloomberg
IX. Governance & Possible Limits

07/28/2011
1:30 PM
More Info
National Council of Farmer Cooperatives
II. Definitions

XIX. Agricultural Swaps

XI. End-User Exception

07/27/2011
10:30 AM
More Info
Sandalwood Securities
XXVII. Investment Adviser Reporting

07/25/2011
1:00 PM
More Info
National Rural Electric Cooperative Association (NRECA)
American Public Power Association (APPA)
ACES Power Marketing (ACES Power)
Southern Minnesota Municipal Power Agency (SMMPA)
New York Power Authority (NYPA)
Reed Smith LLP (Reed Smith)
General

XXI. Joint Rules w/ SEC

07/22/2011
3:00 PM
More Info
National Rural Utilities Cooperative Finance Corporation (NRU CFC)


Russell Barron
XI. End-User Exception

07/22/2011
2:45 PM
More Info
Bunge
XXVI. Position Limits

07/22/2011
2:00 PM
More Info
NRUCFC
XI. End-User Exception

07/22/2011
2:00 PM
More Info
General Motors Pension Plan
Clifford Chance US LLP
VI. Segregation and Bankruptcy

07/22/2011
1:00 PM
More Info
Commodity Markets Coalition
XXVI. Position Limits

07/22/2011
10:00 AM
More Info
National Futures Association (NFA)
Municipal Securities Rulemaking Board (MSRB)
III. Business Conduct Standards w/ Counterparties

07/22/2011
9:00 AM
More Info
Commodity Markets Coalition
XXVI. Position Limits

07/21/2011
3:10 PM
More Info
Los Angeles Department of Water & Power
II. Definitions

07/21/2011
3:05 PM
More Info
Chatham Financial
V. Capital & Margin

XI. End-User Exception

07/21/2011
3:00 PM
More Info
Webster Bank
II. Definitions

07/21/2011
1:30 PM
More Info
Futures Industry Association (FIA)
XXIX. Alternatives to Credit Ratings

07/21/2011
11:30 AM
More Info
Bloomberg
IX. Governance & Possible Limits

07/21/2011
9:00 AM
More Info
Goldman Sachs
II. Definitions

V. Capital & Margin

07/20/2011
3:30 PM
More Info
MF Global
XXIX. Alternatives to Credit Ratings

07/20/2011
1:30 PM
More Info
FIA, Goldman Sachs, Bank of America Merrill Lynch, Credit Suisse, UBS, RJ O'brien & Assoc., MF Global
General

07/20/2011
1:00 PM
More Info
Equinox Fund Management, LLC


Dechert LLP
XXVII. Investment Adviser Reporting

07/20/2011
1:00 PM
More Info
MF Global
XXIX. Alternatives to Credit Ratings

07/20/2011
12:00 PM
More Info
Equinox Fund Managment
Dechert LLP
XXVII. Investment Adviser Reporting

07/20/2011
11:15 AM
More Info
JP Morgan Chase
XXVI. Position Limits

XII. DCM Core Principles

07/20/2011
9:00 AM
More Info
Equinox, Dechert LLP
General

07/19/2011
2:00 PM
More Info
Campbell & Company
Managed Futures Association (MFA)
XXVII. Investment Adviser Reporting

07/19/2011
10:00 AM
More Info
AQR Capital Management
XXVII. Investment Adviser Reporting

07/18/2011
5:30 PM
More Info
CME and the law firm of Skadden Arps, representing CME
II. Definitions

07/18/2011
2:00 PM
More Info
European Bank for Reconstruction and Development (EBRD)
XXI. Joint Rules w/ SEC

07/14/2011
4:00 PM
More Info
Country Hedging
Dairy Framers of America/Dairylea
Land O'Lakes
Growmark
National Council of Farmer Cooperatives
XXVI. Position Limits

XIX. Agricultural Swaps

II. Definitions

07/14/2011
11:00 AM
More Info
National Council of Farmer Cooperatives
XIX. Agricultural Swaps

II. Definitions

07/14/2011
9:30 AM
More Info
CHS, Dairy Farmers of America/Dairylea, Land O'Lakes, Growmark, NCFC
General

07/12/2011
10:00 AM
More Info
Russell Investments
III. Business Conduct Standards w/ Counterparties

07/11/2011
4:00 PM
More Info
BGC
GFI Group
ICAP
Tradition
Tullet Prebon
Patton Boggs LLP
Wholesale Market Brokers Association of America (WMBAA)
XVIII. Real Time Reporting

07/11/2011
12:00 AM
More Info
EU-US Financial Regulation Technical Working Group
XVIII. Real Time Reporting

07/07/2011
10:30 AM
More Info
UBS AG


UBS Americas LLC


UBS Securities LLC
V. Capital & Margin

07/06/2011
4:30 PM
More Info
World Bank Group
XXI. Joint Rules w/ SEC

General

07/06/2011
3:00 PM
More Info
Chatham Financial (Chatham)
Commodity Markets Council
Financial Executives International
National Association of Manufacturers (NAM)
Chamber of Commerce
GE Capital
John Deere
Constellation
Proctor and Gamble
IBM
BP
Energy Futures Holding
Real Estate Roundtable 
Gibson, Dunn & Crutcher LLP (Gibson Dunn)
V. Capital & Margin

07/06/2011
1:15 PM
More Info
Chatham Financial
II. Definitions

07/06/2011
10:00 AM
More Info
Securities Industry and Financial Markets Association (“SIFMA”)
Goldman Sachs
Morgan Stanley
III. Business Conduct Standards w/ Counterparties

07/06/2011
10:00 AM
More Info
American Securitzation Forum (ASF)


Credit Suisse Securities USA LLC (Credit Suisse)


Dewey & LeBoeuf LLP (Dewey & LeBoeuf)


RBC Capital Markets (RBCCM)
V. Capital & Margin

06/29/2011
9:00 AM
More Info
BP
XVIII. Real Time Reporting

06/28/2011
3:00 PM
More Info
Wellington Management (WM)
Capstone LLC
XXXII. Large Swaps Trader Reporting

06/28/2011
10:00 AM
More Info
Ford Motor Company (Ford)
V. Capital & Margin

06/23/2011
3:00 PM
More Info
CME
VII. DCO Core Principles

06/23/2011
3:00 PM
More Info
MF Global
XXIX. Alternatives to Credit Ratings

06/23/2011
2:30 PM
More Info
XXVI. Position Limits

06/23/2011
1:00 PM
More Info
FIA organized a group including:
Fried Frank
GETCO
MF Global
Deutsche Bank
Citi
MF Global
UBS
R.J. O’Brien and Associates
Richard Berliand Limited
Morgan Stanley
Katten Muchin
XXVI. Position Limits

06/23/2011
11:00 AM
More Info
Ogilvy GR
Geneva Energy Markets
Geneva Trading
XXVI. Position Limits

XIII. SEF Registration

06/23/2011
10:00 AM
More Info
Geneva Energy Markets LLC (Geneva Energy)
Geneva Trading USA LLC (Geneva Trading)
Ogilvy Government Relations (Ogilvy)
XIII. SEF Registration

V. Capital & Margin

06/22/2011
3:00 PM
More Info
Spring Trading, LLC (Spring Trading)
Ogilvy Government Relations (Ogilvy)
XIII. SEF Registration

06/22/2011
2:00 PM
More Info
Intercontinental Exchange
XXVI. Position Limits

06/22/2011
1:30 PM
More Info
Securities Industry and Financial Markets Association (“SIFMA”)
Goldman Sachs
Morgan Stanley
III. Business Conduct Standards w/ Counterparties

06/22/2011
11:15 AM
More Info
Skadden Arps
III. Business Conduct Standards w/ Counterparties

06/22/2011
9:30 AM
More Info
BG Americas & Global LNG (BG Americas)


Alpine Group


Hunton & Williams
XXI. Joint Rules w/ SEC

XVII. Data Recordkeeping

II. Definitions

06/21/2011
4:30 PM
More Info
Chrysler Group LLC (Chrysler)
GM Asset Management (GM)
NISA Investment Advisors LLC (NISA)
Skadden, Arps, Slate, Meagher & Flom LLP (Skadden)
V. Capital & Margin

06/21/2011
4:00 PM
More Info
MOSERS
COPERA
SWIB
VRS
CalPERS
TRST
III. Business Conduct Standards w/ Counterparties

06/21/2011
2:30 PM
More Info
BG Americas
General

XXVI. Position Limits

XVI. Swap Data Repositories Registration

06/21/2011
11:00 AM
More Info
CalPERS
XXVI. Position Limits

V. Capital & Margin

III. Business Conduct Standards w/ Counterparties

06/21/2011
10:00 AM
More Info
Missouri State Employees Retirement System (MOSERS)
Public Employees’ Retirement Association of Colorado (COPERA)
State of Wisconsin Investment Board (SWIB)
Virginia Retirement Systems (VRS)
California Public Employees' Retirement System (CalPERS)
Teachers Retirement System of Texas (TRST)
Delta Strategy Group (DSG)
Lussier, Gregor, Vienna & Associates
III. Business Conduct Standards w/ Counterparties

06/21/2011
9:15 AM
More Info
Skadden Arps
III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards – Internal

06/17/2011
10:00 AM
More Info
The Swedish Financial Supervisory Authority
XVI. Swap Data Repositories Registration

06/17/2011
9:00 AM
More Info
FIX


ISDA


BofA


Department of Treasury


FDIC
XVII. Data Recordkeeping

06/16/2011
4:00 PM
More Info
Sutherland
XVII. Data Recordkeeping

06/15/2011
1:00 PM
More Info
Bunge
Cargill
Louis Dreyfus Commodities
Gavilon
Hunton & Williams
Vitol
Commodity Markets Council
II. Definitions

06/15/2011
1:00 PM
More Info
WMBAA, BGC, GFI, ICAP, Tradition, Tullett Prebon, Patton Boggs
General

XIII. SEF Registration

06/15/2011
12:30 PM
More Info
ICAP
XVI. Swap Data Repositories Registration

XIII. SEF Registration

06/15/2011
11:30 AM
More Info
CMC, Bunge, Cargill, Louis Dreyfus Commodities, Gavilon, Hunton & Williams, Vitol
XXVI. Position Limits

06/15/2011
11:00 AM
More Info
Wells Fargo
Sullivan & Cromwell
II. Definitions

06/15/2011
9:00 AM
More Info
Delta Strategy Group
XXVI. Position Limits

06/14/2011
2:00 PM
More Info
Barclays
XXXII. Large Swaps Trader Reporting

06/14/2011
1:00 PM
More Info
Mizuho Securities USA, Inc. (MSUSA)
Sherman & Sterling LLP (Sherman & Sterling)
Sapient Global Markets (Sapient)
V. Capital & Margin

II. Definitions

III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards – Internal

I. Registration

06/14/2011
12:00 PM
More Info
Ogilvy Government Relations and the National Bank of Canada
XXVI. Position Limits

06/14/2011
10:30 AM
More Info
Just Energy
Sutherland
XXI. Joint Rules w/ SEC

V. Capital & Margin

06/14/2011
9:00 AM
More Info
Goldman Sachs (GS)
XXXII. Large Swaps Trader Reporting

06/13/2011
2:00 PM
More Info
CME Group
XXVI. Position Limits

06/13/2011
9:00 AM
More Info
Deutsche Bank (DB)
XXXII. Large Swaps Trader Reporting

06/10/2011
10:15 AM
More Info
CoBank
II. Definitions

06/10/2011
9:30 AM
More Info
BlackRock
XVIII. Real Time Reporting

06/09/2011
11:00 AM
More Info
Securities Industry and Financial Markets Association (“SIFMA”)
Goldman Sachs
Morgan Stanley
Nomura
Deutsche Bank
III. Business Conduct Standards w/ Counterparties

06/09/2011
9:00 AM
More Info
Markit
XVIII. Real Time Reporting

06/08/2011
5:00 PM
More Info
Skadden
XVII. Data Recordkeeping

06/08/2011
11:30 AM
More Info
Markit
XVII. Data Recordkeeping

06/08/2011
11:00 AM
More Info
Markit
V. Capital & Margin

06/08/2011
10:30 AM
More Info
JM Smucker Co.


GS1


Financial InterGroup
XVII. Data Recordkeeping

06/08/2011
12:00 AM
More Info
ICE
XVIII. Real Time Reporting

06/07/2011
4:30 PM
More Info
Markit
XVIII. Real Time Reporting

06/07/2011
4:00 PM
More Info
Presentation on TriReduce and TriResolve.
XVII. Data Recordkeeping

06/07/2011
3:00 PM
More Info
Citadel
D E Shaw & Co
DRW Trading Group
VII. DCO Core Principles

06/07/2011
10:00 AM
More Info
AFME
Goldman Sachs
HSBC
Morgan Stanley
JP Morgan
Dutsche Bank
RBS
Barclays
BAML
XVII. Data Recordkeeping

06/07/2011
10:00 AM
More Info
Alternative Investment Management Assoc.
General

06/07/2011
10:00 AM
More Info
Alternative Investement Management Association ("AIMA")
XXVI. Position Limits

06/07/2011
12:00 AM
More Info
ICAP
XVIII. Real Time Reporting

06/07/2011
12:00 AM
More Info
Goldman Sachs


HSBC
XVIII. Real Time Reporting

06/06/2011
8:00 PM
More Info
American Benefits Counsel (ABC)


Davis Harman
III. Business Conduct Standards w/ Counterparties

06/06/2011
2:00 PM
More Info
Allen & Overy
XXI. Joint Rules w/ SEC

06/06/2011
12:00 PM
More Info
Winston and Strawn
MarkitServ
Markit
XVII. Data Recordkeeping

06/03/2011
9:00 AM
More Info
American Benefits Council (ABC), Committee on Investment of Employee Benefit Assets (CIEBA), Skadden Arps, Lockheed Martin, Venable, Chrysler, Xerox, IBM, Ford, Weyerhaeuser, General Motors (GM), NISA Investment Advisors, Davis Harman
III. Business Conduct Standards w/ Counterparties

06/02/2011
12:00 PM
More Info
EDM
XVIII. Real Time Reporting

XVII. Data Recordkeeping

06/01/2011
3:00 PM
More Info
Skadden
American Benefits Council (ABC)
Committee on Investment of Employee Benefit Assets (CIEBA)
III. Business Conduct Standards w/ Counterparties

05/31/2011
10:00 AM
More Info
Wells Fargo
II. Definitions

05/26/2011
3:30 PM
More Info
FXAll
XIII. SEF Registration

05/26/2011
1:30 PM
More Info
The Loan Syndications and Trading Association (LSTA)
Loan Market Association (LMA)
Goldman Sachs International (Goldman Sachs)
Richards Kibbe & Orbe (Richards Kibbe)
WilmerHale
XXI. Joint Rules w/ SEC

05/26/2011
11:00 AM
More Info
FXAll
XIII. SEF Registration

05/26/2011
11:00 AM
More Info
Securities Industry and Financial Markets Association (“SIFMA”)
Goldman Sachs
Morgan Stanley
Nomura
Deutsche Bank
III. Business Conduct Standards w/ Counterparties

05/25/2011
3:00 PM
More Info
Goldman Sachs
II. Definitions

I. Registration

05/25/2011
2:00 PM
More Info
Javelin
VII. DCO Core Principles

05/25/2011
12:00 AM
More Info
Barclays
XVIII. Real Time Reporting

05/24/2011
2:00 PM
More Info
Altegris
General

05/24/2011
1:30 PM
More Info
Fidelity Investments
General

05/24/2011
11:30 AM
More Info
Assoc. of Int'l Inverstors
General

II. Definitions

V. Capital & Margin

05/24/2011
11:00 AM
More Info
Altegris, Delta Strategies
General

05/24/2011
9:00 AM
More Info
Fidelity Investments
XXVI. Position Limits

II. Definitions

V. Capital & Margin

05/23/2011
2:00 PM
More Info
OMG
EDM Council
XVII. Data Recordkeeping

05/23/2011
10:00 AM
More Info
Altegris
General

05/20/2011
1:00 PM
More Info
Chatham Financial (Chatham) 


Susquehanna Bancshares, Inc. (Susquehanna)
II. Definitions

XI. End-User Exception

05/20/2011
11:30 AM
More Info
DTCC
XVII. Data Recordkeeping

05/20/2011
11:30 AM
More Info
Chatham Financial
VII. DCO Core Principles

05/20/2011
9:00 AM
More Info
Gibson Dunn


Chatham Financial
V. Capital & Margin

05/19/2011
5:30 PM
More Info
JPMorgan Chase
I. Registration

II. Definitions

05/19/2011
2:00 PM
More Info
Javelin
XIII. SEF Registration

VII. DCO Core Principles

VIII. Process for Review of Swaps

IV. Business Conduct Standards – Internal

05/19/2011
11:45 AM
More Info
Thomson Reuters
XIV. FBOT Registration

XIII. SEF Registration

05/19/2011
8:30 AM
More Info
FIX
XVII. Data Recordkeeping

05/18/2011
6:00 PM
More Info
EDM Council
XVII. Data Recordkeeping

05/18/2011
3:30 PM
More Info
Bunge
II. Definitions

XXVI. Position Limits

05/18/2011
3:00 PM
More Info
Citi
XVII. Data Recordkeeping

05/18/2011
3:00 PM
More Info
CME Group
Skadden
XXVI. Position Limits

05/18/2011
2:30 PM
More Info
Evolution Markets Inc. (Evolution Markets)
Ogilvy Government Relations (Ogilvy)
XXI. Joint Rules w/ SEC

05/18/2011
2:30 PM
More Info
GM, CIEBA, NISA Investment Advisors, U.S. Steel Pension Fund and American Benefits Council
IV. Business Conduct Standards – Internal

05/18/2011
1:00 PM
More Info
Bunge
II. Definitions

I. Registration

05/18/2011
12:00 PM
More Info
Winton Capital
King Street
Tudor
DE Shaw
Serengeti
MFA
Delta Strategies
I. Registration

XXVI. Position Limits

05/18/2011
11:30 AM
More Info
Van Ness Feldman Law Firm
Nixon Peabody LLP
Colorado Springs Utilities
Sacremento Municipal Utility District Treasurer
Los Angeles Deparment of Water and Power
Public Utility District No. 1 of Chelan County
CEO Tacoma Public Utilities
XVI. Swap Data Repositories Registration

XVII. Data Recordkeeping

V. Capital & Margin

05/18/2011
11:00 AM
More Info
Winton Capital
King Street
Tudor
DE Shaw
Serengeti
MFA
Delta Strategy Group
XXVI. Position Limits

05/18/2011
10:00 AM
More Info
JWG
XVII. Data Recordkeeping

05/18/2011
9:30 AM
More Info
ICAP
XIII. SEF Registration

XVIII. Real Time Reporting

General

05/18/2011
9:30 AM
More Info
Bunge
II. Definitions

XI. End-User Exception

05/18/2011
9:00 AM
More Info
MFA
Winton Capital
King Street
Tudor Investments
DE Shaw
Serengeti
Delta Strategy Group
XXVI. Position Limits

05/17/2011
3:00 PM
More Info
IV. Business Conduct Standards – Internal

05/17/2011
3:00 PM
More Info
AFME
SIFMA
XVI. Swap Data Repositories Registration

05/17/2011
2:30 PM
More Info
NRUCFA
II. Definitions

05/17/2011
1:00 PM
More Info
Citi
JP Morgan
Morgan Stanley
V. Capital & Margin

II. Definitions

XVIII. Real Time Reporting

VIII. Process for Review of Swaps

VI. Segregation and Bankruptcy

XIII. SEF Registration

05/17/2011
9:30 AM
More Info
Skadden, Arps, Slate, Meagher & Flom LLP (Skadden) 
American Benefits Council (ABC)
Committee on Investment of Employee Benefit Assets (CIEBA)
III. Business Conduct Standards w/ Counterparties

05/12/2011
4:00 PM
More Info
Convexity Capital Management
XXVII. Investment Adviser Reporting

05/12/2011
2:00 PM
More Info
Nomura Holding America Inc. (NHA)
Nomura International PLC (NI)
Nomura Securities International Inc. (NSI)
V. Capital & Margin

05/12/2011
1:00 PM
More Info
BP
XVII. Data Recordkeeping

XVI. Swap Data Repositories Registration

XVIII. Real Time Reporting

05/12/2011
1:00 PM
More Info
Investment Company Institute
General

05/12/2011
11:00 AM
More Info
American Bankers' Association
XXVI. Position Limits

V. Capital & Margin

05/12/2011
10:00 AM
More Info
Better Markets, Inc.
XXVI. Position Limits

05/11/2011
2:30 PM
More Info
Chicago Mercantile Exchange
XXVI. Position Limits

XII. DCM Core Principles

VI. Segregation and Bankruptcy

VII. DCO Core Principles

05/11/2011
2:00 PM
More Info
Gavilon LLC


Delta Strategy Group
XIX. Agricultural Swaps

II. Definitions

05/11/2011
1:00 PM
More Info
Gavilon
II. Definitions

05/11/2011
12:00 PM
More Info
Gavilon
Delta Strategy
II. Definitions

05/11/2011
11:30 AM
More Info
CME Group
Skadden
XXVI. Position Limits

05/11/2011
11:30 AM
More Info
Vitol, Inc.
II. Definitions

05/11/2011
11:00 AM
More Info
ISDA, Kalorama Partners
II. Definitions

05/10/2011
4:30 PM
More Info
K&L Gates LLP
Investment Advisor Association
MFS Investment Management
General

XXVII. Investment Adviser Reporting

05/10/2011
2:00 PM
More Info
K&L Gates, MFS Investment Management, Invesment Advisors Assoc.
II. Definitions

General

05/10/2011
12:30 PM
More Info
Citadel
VII. DCO Core Principles

05/10/2011
12:00 PM
More Info
Sutherland
XXI. Joint Rules w/ SEC

05/10/2011
10:00 AM
More Info
Better Markets, Inc.
XXVI. Position Limits

05/10/2011
10:00 AM
More Info
American Gas Association
Consolidated Edison Company of New York
National Grid Distribution Companies
Baltimore Gas & Electric Company
Washington Gas Light
Puget Sound Energy
Perkins Coie
CenterPoint Energy
XXI. Joint Rules w/ SEC

XIX. Agricultural Swaps

05/10/2011
9:00 AM
More Info
SWIFT
XVII. Data Recordkeeping

05/09/2011
5:30 PM
More Info
FpML
XVII. Data Recordkeeping

05/09/2011
3:00 PM
More Info
Nodal Exchange
General

05/04/2011
2:00 PM
More Info
The Prudential Insurance Company of America (Prudential)


Sullivan & Cromwell (S&C)


U.S. Securities and Exchange Commission (SEC)
XI. End-User Exception

II. Definitions

05/04/2011
9:30 AM
More Info
Reval
LTD Group (LTD)
III. Business Conduct Standards w/ Counterparties

V. Capital & Margin

05/03/2011
12:30 PM
More Info
ISO
XVII. Data Recordkeeping

05/03/2011
11:30 AM
More Info
ISO
XVII. Data Recordkeeping

05/03/2011
9:00 AM
More Info
ISO
XVII. Data Recordkeeping

05/02/2011
4:30 PM
More Info
ISO
XVII. Data Recordkeeping

05/02/2011
2:00 PM
More Info
VII. DCO Core Principles

05/02/2011
1:00 PM
More Info
Farr Financial
XXIX. Alternatives to Credit Ratings

04/28/2011
4:30 PM
More Info
The Depository Trust & Clearing Corporation
XVI. Swap Data Repositories Registration

XVII. Data Recordkeeping

04/28/2011
3:00 PM
More Info
AIMA
XXVI. Position Limits

VII. DCO Core Principles

I. Registration

04/28/2011
10:30 AM
More Info
Conoco
Hess
Constellation
Vitol
NextEra
II. Definitions

04/28/2011
9:30 AM
More Info
PIMCO
V. Capital & Margin

04/27/2011
11:00 AM
More Info
SEC


Treasury


GS1


Financial InterGroup Holdings
XVII. Data Recordkeeping

04/26/2011
11:00 AM
More Info
Alternative Investment Management Association (AIMA)
Crossroads Strategies
General

XXVI. Position Limits

04/26/2011
10:00 AM
More Info
Alternative Investment Management Association (AIMA)


Crossroads Strategies
VII. DCO Core Principles

04/26/2011
10:00 AM
More Info
Alternative Investment Management Association (AIMA)


Crossroads Strategies
XXVI. Position Limits

04/22/2011
9:30 AM
More Info
Riverside Risk Advisors
V. Capital & Margin

II. Definitions

XI. End-User Exception

04/21/2011
4:00 PM
More Info
Securities and Exchange Commission ("SEC")


International Swaps and Derivatives Association ("ISDA")
XVIII. Real Time Reporting

04/21/2011
4:00 PM
More Info
ISDA
XVII. Data Recordkeeping

04/19/2011
10:00 AM
More Info
National Council of Farmer Coops
General

II. Definitions

04/18/2011
11:00 AM
More Info
National Introducing Broker Association (NIBA)
XXVI. Position Limits

04/15/2011
1:00 PM
More Info
Blue Mountain Capital Management LLC (Blue Mountain)


Citadel, Delta Strategy Group (Delta)


D.E. Shaw Group (D.E. Shaw)


DRW Trading Group (DRW)


Tudor Investment Corporation (Tudor)
VIII. Process for Review of Swaps

VII. DCO Core Principles

VI. Segregation and Bankruptcy

04/15/2011
11:30 AM
More Info
Goldman Sachs Bank USA
II. Definitions

I. Registration

04/15/2011
9:30 AM
More Info
California State Teachers’ Retirement System (CalSTRS)
Covington & Burling
II. Definitions

04/14/2011
3:00 PM
More Info
SIFMA
XXVIII. Volcker Rule

04/14/2011
11:00 AM
More Info
Steben & Co.
General

II. Definitions

04/14/2011
10:00 AM
More Info
Washington Analysis (WA)
Atlanta Capital Management (Atlanta)
Conatus Capital (Conatus)
JP Morgan
Millennium Partners (Millenium)
Pyramis Global Advisors (Pyramis)
Wellington Asset Management (Wellington)
U.S. Securities and Exchange Commission (SEC)
XI. End-User Exception

04/12/2011
4:00 PM
More Info
BlackRock
III. Business Conduct Standards w/ Counterparties

II. Definitions

IV. Business Conduct Standards – Internal

IX. Governance & Possible Limits

04/12/2011
2:30 PM
More Info
FXall
XIII. SEF Registration

04/11/2011
10:00 AM
More Info
Institute of International Bankers


Davis Polk & Wardwell


Clearly Gottlieb
II. Definitions

04/07/2011
11:00 AM
More Info
The Cypress Group (Cypress)
Primus Asset Management, Inc. (Primus)
Invicta Financial Group (Invicta)
Quadrant Structured Investment Advisers LLC (Quadrant)
U.S. Securities and Exchange Commission (SEC)
II. Definitions

04/07/2011
10:30 AM
More Info
MFX Solutions, Inc. (MFX)
II. Definitions

04/06/2011
3:00 PM
More Info
ISDA
Kalorama Partners
Mayer Brown
XXVI. Position Limits

II. Definitions

General

IX. Governance & Possible Limits

04/06/2011
2:30 PM
More Info
NRUCFC
XI. End-User Exception

04/06/2011
11:30 AM
More Info
Teucrium
XXVI. Position Limits

04/04/2011
3:00 PM
More Info
SVB Financial Group
XXVIII. Volcker Rule

03/31/2011
10:00 AM
More Info
Nomura
Citi
Goldman Sachs
Credit Suisse
Bank of America/Merrill Lynch
Mayer Brown
II. Definitions

03/29/2011
12:00 AM
More Info
Morgan Stanley
XVIII. Real Time Reporting

03/23/2011
4:30 PM
More Info
Next Era Energy Power Marketing, LLC
Next Era Energy Resources, LLC
Delta Strategy Group
Cadwalader, Wickersham & Taft LLP
II. Definitions

03/23/2011
1:00 PM
More Info
Taxpayers Against Fraud
XXV. Whistleblowers

03/22/2011
1:00 PM
More Info
European Parliament's Economic and Monetary Affairs Committee
II. Definitions

03/21/2011
2:00 PM
More Info
Northland Energy Trading LLC


Sutherland
II. Definitions

03/17/2011
10:00 AM
More Info
Americans for Financial Reform
AFL-CIO
Better Markets
II. Definitions

03/14/2011
5:00 PM
More Info
Futures Industry Association (FIA)
X. Systemically Important DCO Rules

VII. DCO Core Principles

03/14/2011
4:30 PM
More Info
SIFMA


J.P. Morgan


Bank of America


Davis Polk


Societe Generale


Wells Fargo


Credit Suisse


Morgan Stanley


Goldman Sachs


BNY Mellon


State Street
XXVIII. Volcker Rule

03/11/2011
9:00 AM
More Info
US Chamber of Commerce
XXV. Whistleblowers

03/10/2011
3:00 PM
More Info
See attached list.
General

V. Capital & Margin

03/10/2011
11:00 AM
More Info
UBS
XVIII. Real Time Reporting

IX. Governance & Possible Limits

03/09/2011
12:00 PM
More Info
Morgan Stanely
III. Business Conduct Standards w/ Counterparties

II. Definitions

XIII. SEF Registration

XVIII. Real Time Reporting

03/09/2011
11:00 AM
More Info
Morgan Stanley
XIII. SEF Registration

XVIII. Real Time Reporting

III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards – Internal

03/04/2011
11:00 AM
More Info
Neil Gillen, Henry Jarecki, and Jon Spencer
XXVI. Position Limits

03/04/2011
9:00 AM
More Info
Cleary Gottlieb, Barclays, BNP Paribas, Citi, Credit Suisse, Deutsche Bank, Morgan Stanley, Normura, Societe General, Wells Fargo
IX. Governance & Possible Limits

02/28/2011
2:00 PM
More Info
Morgan Stanley
XVIII. Real Time Reporting

XIII. SEF Registration

III. Business Conduct Standards w/ Counterparties

02/24/2011
4:00 PM
More Info
Better Markets, Inc. (Better Markets)
U.S. Securities and Exchange Commission (SEC)
XI. End-User Exception

02/23/2011
11:30 AM
More Info
Getco LLC (Getco)
IX. Governance & Possible Limits

02/23/2011
11:00 AM
More Info
Morgan Stanley
III. Business Conduct Standards w/ Counterparties

XIII. SEF Registration

XVIII. Real Time Reporting

02/23/2011
9:15 AM
More Info
GETCO
IX. Governance & Possible Limits

02/22/2011
2:00 PM
More Info
Federated Investors, Inc.


Arnold & Porter, LLP
XXIX. Alternatives to Credit Ratings

02/17/2011
2:00 PM
More Info
Loan Syndications and Trading Association (LSTA)


Wilmer Hale


Richards Kibbe & Orbe


Nappi & Hoppe
XXI. Joint Rules w/ SEC

02/16/2011
12:00 PM
More Info
TruMarx, Delta Strategies
XIII. SEF Registration

02/16/2011
9:00 AM
More Info
Vitol
XXVI. Position Limits

02/15/2011
11:00 AM
More Info
MBF Clearing Corp. (MBF)
Delta Strategy Group (DSG)
XXVI. Position Limits

02/15/2011
10:00 AM
More Info
Winston & Strawn LLP, United Technologies, U.S. Steel & Carnegie Pension Fund, NISA Investment Advisors, Skadden, Arps, American Benefits Council, and the Committee on Investment of Employee Benefit Assets (CIEBA)
XIII. SEF Registration

XVIII. Real Time Reporting

III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards – Internal

02/14/2011
11:00 AM
More Info
International Swaps and Derivatives Association, Inc. (ISDA), UBS AG and J.P.Morgan
IV. Business Conduct Standards – Internal

02/11/2011
1:00 PM
More Info
SIFMA
XVIII. Real Time Reporting

XIII. SEF Registration

XVI. Swap Data Repositories Registration

02/11/2011
12:00 PM
More Info
Noble Energy (Noble)


Venable LLP (Venable)
V. Capital & Margin

02/10/2011
11:00 AM
More Info
Winston & Strawn LLP


United Technologies


U.S. Steel & Carnegie Pension Fund


NISA Investment Advisors


Skadden, Arps


American Benefits Council


Committee on Investment of Employee Benefit Assets (CIEBA)
XVIII. Real Time Reporting

XIII. SEF Registration

III. Business Conduct Standards w/ Counterparties

02/10/2011
10:00 AM
More Info
NISA Investment Advisors


United Technologies


Committee on Investment of Employee Benefit Assests(CIEBA)


American Benefits Council (ABC)


U.S. Steel


Winston


Skadden
III. Business Conduct Standards w/ Counterparties

XIII. SEF Registration

XVIII. Real Time Reporting

02/09/2011
3:55 PM
More Info
Skadden
III. Business Conduct Standards w/ Counterparties

02/09/2011
10:15 AM
More Info
Better Markets, Inc. (Better Markets)
XI. End-User Exception

02/08/2011
1:00 PM
More Info
ICE Clear U.S.
VII. DCO Core Principles

02/08/2011
1:00 PM
More Info
ELX
IX. Governance & Possible Limits

02/04/2011
4:30 PM
More Info
Citadel Group
VII. DCO Core Principles

02/04/2011
10:15 AM
More Info
FXall, LCH Clearnet, NYSE Euronext, Rich Feuer Group
XII. DCM Core Principles

XIII. SEF Registration

X. Systemically Important DCO Rules

VII. DCO Core Principles

02/04/2011
9:30 AM
More Info
Barclays Capital, Goldman Sachs
XIII. SEF Registration

XVIII. Real Time Reporting

02/03/2011
12:00 PM
More Info
Representatives from energy firms, electric utilitiy industry, las firm of Morgan, Lewis & Bockius
XXV. Whistleblowers

XI. End-User Exception

II. Definitions

General

02/02/2011
11:30 AM
More Info
Wilmer Cutler Pickering Hale and Dorr LLP ("WilmerHale")
U.S. Airways
JetBlue
AirTran
Air Transport Association ("ATA")
XVIII. Real Time Reporting

02/02/2011
8:30 AM
More Info
American Public Power Association


National Rural Electric Association


New York Power Authority


Large Public Power Association


ACES Power Marketing


National Rural Electric Cooperative Association


Schiff Hardin
XVII. Data Recordkeeping

01/28/2011
9:00 AM
More Info
Public roundtable
XVII. Data Recordkeeping

01/27/2011
1:00 PM
More Info
BP
II. Definitions

XXI. Joint Rules w/ SEC

01/27/2011
10:00 AM
More Info
Independent Petroleum Association of America (IPAA)
II. Definitions

V. Capital & Margin

XI. End-User Exception

01/27/2011
9:30 AM
More Info
ABASA member banks; Cecilia Calaby, ABASA; Paul Architzel, Wilmer Hale
I. Registration

II. Definitions

01/26/2011
1:00 PM
More Info
Better Markets
XXIV. Disruptive Trading Practices

VII. DCO Core Principles

VIII. Process for Review of Swaps

V. Capital & Margin

01/20/2011
1:00 PM
More Info
Natural Gas Supply Association and National Corn Growers Association
XI. End-User Exception

V. Capital & Margin

II. Definitions

01/19/2011
6:00 PM
More Info
ONEOK Energy Services Company (ONEOK)
Wilmer Cutler Pickering Hale and Dorr LLP (Wilmer)
II. Definitions

01/19/2011
2:30 PM
More Info
Not-For-Profit Energy End-User Coalition ("NFPEEU")
National Rural Electric Cooperative Association
American Public Power Association
American Public Gas Association
Large Public Power Council
ACES Power Marketing
National Rural Electric Cooperative Association
Schiff Hardin LLP
Wilmer Cutler Pickering Hale and Dorr LLP ("WilmerHale")
XVIII. Real Time Reporting

01/19/2011
2:30 PM
More Info
National Rural Electric Cooperative Association
American Public Power Association
American Public Gas Association
Large Public Power Council
ACES Power Marketing
Schiff Hardin LLP
Wilmer Cutler Pickering Hale and Dorr LLP
XVI. Swap Data Repositories Registration

01/19/2011
2:30 PM
More Info
National Rural Electric Cooperative Association
American Public Power Association
American Public Gas Association
Large Public Power Council
ACES Power Marketing
Schiff Hardin LLP
Wilmer Cutler Pickering Hale and Dorr LLP
XI. End-User Exception

01/19/2011
2:30 PM
More Info
National Rural Electric Cooperative Association
American Public Power Association
American Public Gas Association
Large Public Power Council
ACES Power Marketing
Schiff Hardin LLP
Wilmer Cutler Pickering Hale and Dorr LLP
II. Definitions

XXI. Joint Rules w/ SEC

01/19/2011
2:30 PM
More Info
National Rural Electric Cooperative Association
American Public Power Association
American Public Gas Association
Large Public Power Council
ACES Power Marketing
Schiff Hardin LLP
Wilmer Cutler Pickering Hale and Dorr LLP
III. Business Conduct Standards w/ Counterparties

01/18/2011
9:00 AM
More Info
Barclays Capital
IV. Business Conduct Standards – Internal

01/13/2011
12:00 AM
More Info
NYMEX
XVIII. Real Time Reporting

01/12/2011
10:30 AM
More Info
National Association of Regulatory Utility Commissioners (NARUC)
II. Definitions

01/06/2011
11:00 AM
More Info
Argus Media
XXIII. Anti-Manipulation

12/16/2010
12:00 PM
More Info
Ron Eliason (Individual)
XIX. Agricultural Swaps

II. Definitions

12/15/2010
1:30 PM
More Info
National Petrochemical and Refiners Association (NPRA)
XXIII. Anti-Manipulation

12/09/2010
8:30 AM
More Info
Nomura
IX. Governance & Possible Limits

12/07/2010
11:00 AM
More Info
Managed Funds Association
V. Capital & Margin

IV. Business Conduct Standards – Internal

II. Definitions

I. Registration

12/06/2010
6:00 PM
More Info
Blackbird Holdings, Inc. (Blackbird)
XIII. SEF Registration

11/30/2010
3:00 PM
More Info
BlackRock
XVII. Data Recordkeeping

11/30/2010
9:15 AM
More Info
Commodity Markets Council (CMC)
XIX. Agricultural Swaps

11/23/2010
12:30 AM
More Info
Bank of America Merrill Lynch (BoA/ML)


Goldman Sachs (GS)


JP Morgan Chase (JP)
V. Capital & Margin

11/17/2010
2:00 PM
More Info
NASDAQ OMX
XVII. Data Recordkeeping

XVIII. Real Time Reporting

11/16/2010
10:00 AM
More Info
State Street Corporation
VI. Segregation and Bankruptcy

11/15/2010
2:00 PM
More Info
Peabody Energy (Peabody)


K&L Gates LLP (K&L Gates)
II. Definitions

11/12/2010
11:00 AM
More Info
Evolution Markets


Hunton & Williams


JP Morgan Chase & Co.


Morgan Stanley


VanNess Feldman


The Melby Group
General

11/12/2010
10:30 AM
More Info
Apache Corporation (Apache)


Bracewell and Giuliani (Bracewell)


Competitive Power Ventures, Inc (Competitive Power)


El Paso Corporation (El Paso)


Iberdrola Renewables, Inc. (Iberdorola)


Markwest Energy Partners, L.P. (Markwest)


Noble Energy, Inc. (Noble)


Shell Energy North America (Shell)
V. Capital & Margin

XI. End-User Exception

11/08/2010
1:00 PM
More Info
Tudor Investment Corporation


Sullivan & Cromwell LLP
II. Definitions

11/08/2010
11:00 AM
More Info
Prudential Global Funding (Prudential Global)


Genworth Financial (Genworth)


Prudential Financial (Prudential)


Genworth Financial (Genworth)


John Hancock Financial Services Inc. (John Hancock)


MetLife (MetLife)


American Council of Life Insurers (ACLI)


Lincoln Financial Group (Lincoln)


The Northwestern Mutual Life Insurance Co. (Northwestern Mutual)
II. Definitions

XXI. Joint Rules w/ SEC

11/03/2010
9:00 AM
More Info
DTCC Derivatives Repository Ltd, DTCC Warehouse Trust Company, Regis-TR, TriOptima, Xtrakter Limited
XVI. Swap Data Repositories Registration

XVII. Data Recordkeeping

11/02/2010
9:00 AM
More Info
CME, Eurex, ICE Clear Europe, ICE Trust US, International Derivatives Clearing Group, Japan Securities Clearing Corporation, LCH.Clearnet Ltd/SwapClear, LCH.Clearnet SA, SGX Asiaclear
VI. Segregation and Bankruptcy

VII. DCO Core Principles

10/27/2010
3:30 PM
More Info
The Options Clearing Corporation
IX. Governance & Possible Limits

10/26/2010
4:00 PM
More Info
CME Group (CME)
Delta Strategy Group (DSG)
Skadden, Arps, Slate, Meagher & Flom LLP (S)
XII. DCM Core Principles

10/25/2010
3:00 PM
More Info
Hess Energy


Hess Energy Trading Company LLC (HETCO)


Delta Strategy Group
II. Definitions

10/25/2010
1:00 PM
More Info
Edison Electric Institute (EEI)


American Electric Power (AEP)


Exelon


Florida Power and Light Company (FPL)


NextEra Energy (NextEra)
V. Capital & Margin

XI. End-User Exception

10/21/2010
1:00 PM
More Info
NextEra Energy Resources


Delta Strategy Group
XI. End-User Exception

II. Definitions

10/20/2010
2:30 PM
More Info
CIEBA


American Benefits Counsel


GM Asset Management


Boeing


NISA Investment Advisors


Winston & Strawn LLP


Skadden, Arps, Slate, Meagher & Flom LLP
XVIII. Real Time Reporting

10/19/2010
1:00 PM
More Info
BlackRock (BR)
XVII. Data Recordkeeping

XVIII. Real Time Reporting

XIII. SEF Registration

XVI. Swap Data Repositories Registration

10/14/2010
11:30 AM
More Info
Morgan Stanley
III. Business Conduct Standards w/ Counterparties

10/13/2010
2:30 PM
More Info
Financial Services Forum
XIII. SEF Registration

V. Capital & Margin

10/12/2010
2:00 PM
More Info
Fidelity


ING


JPMorgan


Fidelity Investments


McDermott


SEC


Stable Value Investment Association
II. Definitions

10/08/2010
1:00 PM
More Info
CLS Bank (CLS)
XXI. Joint Rules w/ SEC

II. Definitions

10/07/2010
10:00 AM
More Info
Morgan Stanley
XXVI. Position Limits

10/06/2010
2:30 PM
More Info
Bank of America
Sullivan & Cromwell
II. Definitions

10/06/2010
1:00 PM
More Info
Javelin (J)
Venable LLP (V)
XIII. SEF Registration

10/05/2010
9:30 AM
More Info
Bloomberg (B)
Williams & Jensen, PLLC (WJ)
XIII. SEF Registration

10/04/2010
12:00 PM
More Info
Morgan Stanley
II. Definitions

09/30/2010
2:00 PM
More Info
Commodity Markets Council


Louis Dreyfus


Gavilon
II. Definitions

09/29/2010
1:00 PM
More Info
Natural Gas Supply Association
VI. Segregation and Bankruptcy

VIII. Process for Review of Swaps

XI. End-User Exception

I. Registration

II. Definitions

V. Capital & Margin

III. Business Conduct Standards w/ Counterparties

XXVI. Position Limits

09/28/2010
1:30 PM
More Info
MarkitSERV


Depository Trust & Clearing Corporation (DTCC)


Winston & Strawn
XVIII. Real Time Reporting

09/28/2010
11:30 AM
More Info
Black Rock


 Vanguard


 Chicago Mercantile Exchange


 London Clearinghouse


 Barclays Capital


 JP Morgan


 Morgan Stanley


 BNY Mellon
VI. Segregation and Bankruptcy

09/28/2010
11:00 AM
More Info
The Goldman Sachs Group, Inc. (GS)
Winston & Strawn LLP (WS)
XIII. SEF Registration

09/28/2010
11:00 AM
More Info
Coalition for Derivatives End-Users


US Chamber of Commerce


National Association of Manufacturers


American Petroleum Institute


National Association of Real Estate Investment Trusts


Chatham Financial


Conoco Phillips


Occidental


Ford Motor Co


Forest City Enterprises


Walt Disney


GE


Gibson Dunn
II. Definitions

09/23/2010
11:00 AM
More Info
BlackRock
VI. Segregation and Bankruptcy

09/22/2010
11:00 AM
More Info
Assured Gauranty


Patton Boggs


Davis Polk
II. Definitions

09/21/2010
2:00 PM
More Info
Goldman Sachs
X. Systemically Important DCO Rules

VII. DCO Core Principles

IX. Governance & Possible Limits

09/20/2010
11:30 AM
More Info
Goldman Sachs
XVIII. Real Time Reporting

09/20/2010
10:00 AM
More Info
Goldman Sachs
XXVI. Position Limits

09/17/2010
1:00 PM
More Info
American Benefits Council


General Dynamics


GM Asset Management


NISA Investment Advisors LLC


CIEBA


Davis & Harman LLP


Skadden
XVII. Data Recordkeeping

XVI. Swap Data Repositories Registration

XI. End-User Exception

II. Definitions

IX. Governance & Possible Limits

III. Business Conduct Standards w/ Counterparties

09/16/2010
9:30 AM
More Info
International Swaps and Derivatives Association's Regional Conference
V. Capital & Margin

II. Definitions

VIII. Process for Review of Swaps

XIII. SEF Registration

09/15/2010
2:00 PM
More Info
Futures Industry Association
VI. Segregation and Bankruptcy

09/15/2010
1:00 PM
More Info
Shiff Hardin


The Energy Authority


National Rural Electric Cooperative Association (NRECA)


American Public Power Association (APPA)


ACES Power Marketing


American Public Gas Association (APGA)
V. Capital & Margin

II. Definitions

XI. End-User Exception

XVII. Data Recordkeeping

XVIII. Real Time Reporting

XXVI. Position Limits

09/15/2010
12:30 PM
More Info
Morgan Stanley
II. Definitions

I. Registration

V. Capital & Margin

III. Business Conduct Standards w/ Counterparties

09/14/2010
4:00 PM
More Info
Air Transport Association (ATA)


Delta Air Lines
XXVI. Position Limits

09/14/2010
1:00 PM
More Info
CHS, Inc.,
Dairy Farmers of America (DFA),
Growmark/ Agrivisor,
LandO'Lakes,
National Council of Farmer Cooperatives (NCFC)
XIX. Agricultural Swaps

XI. End-User Exception

V. Capital & Margin

II. Definitions

09/14/2010
10:00 AM
More Info
National Council of Farmer Cooperatives


Land O'Lakes


Growmark


Dairy Farmers of America


CHS, Inc.
II. Definitions

V. Capital & Margin

III. Business Conduct Standards w/ Counterparties

XI. End-User Exception

XIX. Agricultural Swaps

09/01/2010
11:30 AM
More Info
National Futures Association (NFA)


U.S. Securities and Exchange Commission (SEC)
XXVII. Investment Adviser Reporting