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Systemically Important DCO Rules

Date
MEETING WITH
REGARDING RULEMAKING
04/12/2011
2:00 PM
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The Options Clearing Corporation
VII. DCO Core Principles

X. Systemically Important DCO Rules

03/14/2011
5:00 PM
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Futures Industry Association (FIA)
VII. DCO Core Principles

X. Systemically Important DCO Rules

02/17/2011
1:45 PM
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CME
VII. DCO Core Principles

X. Systemically Important DCO Rules

02/04/2011
10:15 AM
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FXall, LCH Clearnet, NYSE Euronext, Rich Feuer Group
VII. DCO Core Principles

X. Systemically Important DCO Rules

XII. DCM Core Principles

XIII. SEF Registration

11/02/2010
12:00 AM
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CME Group
VII. DCO Core Principles

X. Systemically Important DCO Rules

XXIII. Anti-Manipulation

XXIV. Disruptive Trading Practices

XXVI. Position Limits

10/27/2010
3:30 PM
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The Options Clearing Corporation (OCC)
VII. DCO Core Principles

X. Systemically Important DCO Rules

10/21/2010
12:15 PM
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Institute of International Bankers
VII. DCO Core Principles

IX. Governance & Possible Limits

X. Systemically Important DCO Rules

10/21/2010
12:00 PM
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Institute of International Bankers
VII. DCO Core Principles

IX. Governance & Possible Limits

X. Systemically Important DCO Rules

10/21/2010
8:00 AM
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Citi

UBS Investment Bank

MetLife, Inc.

State Street

JPMorgan Chase & Co.

Credit Suisse

Prudential Financial

Goldman Sachs

Deutsche Bank Americas

BNY Mellon

Financial Services Forum
VI. Segregation and Bankruptcy

VII. DCO Core Principles

IX. Governance & Possible Limits

X. Systemically Important DCO Rules

10/08/2010
3:30 PM
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Algebris Investments
VII. DCO Core Principles

X. Systemically Important DCO Rules

10/07/2010
2:00 PM
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Morgan Stanley
VII. DCO Core Principles

VIII. Process for Review of Swaps

IX. Governance & Possible Limits

X. Systemically Important DCO Rules

10/06/2010
8:30 AM
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J.P. Morgan Chase & Co.
I. Registration

II. Definitions

V. Capital & Margin

VI. Segregation and Bankruptcy

VII. DCO Core Principles

VIII. Process for Review of Swaps

IX. Governance & Possible Limits

X. Systemically Important DCO Rules

XI. End-user Exception

10/04/2010
3:00 PM
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State Street (SS)
VI. Segregation and Bankruptcy

VII. DCO Core Principles

X. Systemically Important DCO Rules

XIII. SEF Registration

10/04/2010
3:00 PM
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State Street Global Markets
VI. Segregation and Bankruptcy

VII. DCO Core Principles

X. Systemically Important DCO Rules

XIII. SEF Registration

09/27/2010
11:00 AM
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Futures Industry Association
VII. DCO Core Principles

X. Systemically Important DCO Rules

09/24/2010
2:00 PM
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CME Group (CME)

Skadden, Arps, Slate, Meagher & Flom LLP (Skadden)
VII. DCO Core Principles

X. Systemically Important DCO Rules

09/21/2010
4:00 PM
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Americans for Financial Reform
VII. DCO Core Principles

X. Systemically Important DCO Rules

09/21/2010
2:00 PM
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Goldman Sachs
VII. DCO Core Principles

IX. Governance & Possible Limits

X. Systemically Important DCO Rules

09/14/2010
10:30 AM
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LCH Clearnet
VI. Segregation and Bankruptcy

VII. DCO Core Principles

X. Systemically Important DCO Rules

09/13/2010
11:00 AM
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Kansas City Board of Trade (KCBT)

Kansas City Board of Trade Clearing Corporation (KCBTCC)
VII. DCO Core Principles

X. Systemically Important DCO Rules

09/01/2010
9:00 AM
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State Regulators

NAIC

CSBS

NASAA
II. Definitions

V. Capital & Margin

VII. DCO Core Principles

VIII. Process for Review of Swaps

X. Systemically Important DCO Rules

XI. End-user Exception
09/01/2010
8:00 AM
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Represenatives of various energy companies, financial firms, consultants, and other interested persons.  The session was open to the press.
All
08/27/2010
1:00 PM
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Americans for Financial Reform
II. Definitions

III. Business Conduct Standards w/ Counterparties

V. Capital & Margin

VII. DCO Core Principles

VIII. Process for Review of Swaps

X. Systemically Important DCO Rules

XI. End-user Exception

XII. DCM Core Principles

XIII. SEF Registration

XVII. Data Recordkeeping

XVIII. Real Time Reporting

XXVI. Position Limits
08/18/2010
2:00 PM
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FIA
All
08/05/2010
2:00 PM
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BlackRock
All
08/03/2010
2:00 PM
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ISDA

SIFMA
II. Definitions

IX. Governance & Possible Limits

VII. DCO Core Principles

VIII. Process for Review of Swaps

X. Systemically Important DCO Rules

XIII. SEF Registration

XVII. Data Recordkeeping

XVIII. Real Time Reporting

XXI. Joint Rules w/ SEC

XXVIII. Volcker Rule
07/30/2010
10:00 AM
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National Futures Association (NFA)
All
Date
SUBMISSION
03/14/2011
09/29/2010
Natural Gas Supply Association PDF Image
Natural Gas Supply Association
09/21/2010
Discussions with the CFTC & SEC - Clearing PDF Image
The Goldman Sachs Group, Inc., From External Meeting on 9/21/2010
09/01/2010
dmb argus_72 PDF Image
Argus Oil Market Regulation Summit 2010
08/03/2010
Title VII Rulemakings PDF Image
SEC/CFTC and ISDA/SIFMA

See Also:

OpenGov Logo

CFTC's Commitment to Open Government

Gavel and Book

Follow the Status of Enforcement Actions