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DCM Core Principles

Date
MEETING WITH
REGARDING RULEMAKING
06/11/2013
2:00 PM
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CME
VII. DCO Core Principles

XII. DCM Core Principles

Cross-Border

General

02/25/2013
2:30 PM
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trueEx LLP
XII. DCM Core Principles

XIII. SEF Registration

01/15/2013
2:00 PM
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ICE
XII. DCM Core Principles

XVI. Swap Data Repositories Registration

General

11/15/2012
12:30 PM
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Javelin
XII. DCM Core Principles

XIII. SEF Registration

11/15/2012
12:30 PM
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Eris Exchange
XII. DCM Core Principles

XIII. SEF Registration

11/08/2012
11:30 AM
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Tradeweb
XII. DCM Core Principles

XIII. SEF Registration

General

10/26/2012
12:00 AM
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BGC
XII. DCM Core Principles

XIII. SEF Registration

10/26/2012
12:00 AM
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Bloomberg
XII. DCM Core Principles

XIII. SEF Registration

10/26/2012
12:00 AM
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ICAP
XII. DCM Core Principles

XIII. SEF Registration

10/26/2012
12:00 AM
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GFI
XII. DCM Core Principles

XIII. SEF Registration

10/26/2012
12:00 AM
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Tradeweb
XII. DCM Core Principles

XIII. SEF Registration

10/24/2012
6:00 PM
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Patton Boggs
XII. DCM Core Principles

XIII. SEF Registration

08/03/2012
2:30 PM
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trueEX
XII. DCM Core Principles

08/03/2012
1:30 PM
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trueEX
XII. DCM Core Principles

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

XVIII. Real Time Reporting

05/30/2012
9:15 AM
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ICE Futures US
XII. DCM Core Principles

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

05/07/2012
12:00 AM
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CME
XII. DCM Core Principles

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

05/03/2012
3:00 PM
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Nodal Exchange
XII. DCM Core Principles

XIII. SEF Registration

05/02/2012
3:30 PM
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ICAP
XII. DCM Core Principles

XIII. SEF Registration

05/02/2012
11:15 AM
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ICAP
XII. DCM Core Principles

XIII. SEF Registration

05/01/2012
3:45 PM
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Argus Media
XII. DCM Core Principles

05/01/2012
1:00 PM
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NYSE Liffe

Eris Exchange

OneChicago
XII. DCM Core Principles

05/01/2012
11:00 AM
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NYSE Liffe

Eris Exchange

OneChicago
XII. DCM Core Principles

04/26/2012
11:00 AM
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CME Group
XII. DCM Core Principles

04/26/2012
10:00 AM
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Tradeweb
XII. DCM Core Principles

XIII. SEF Registration

04/26/2012
9:00 AM
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ICAP
XII. DCM Core Principles

XIII. SEF Registration

04/19/2012
2:30 PM
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ICE Futures
XII. DCM Core Principles

04/19/2012
1:30 PM
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ICE Futures, U.S.
XII. DCM Core Principles

03/14/2012
3:00 PM
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Eris Exchange

DRW
II. Definitions

VII. DCO Core Principles

VIII. Process for Review of Swaps

XII. DCM Core Principles

XVIII. Real Time Reporting

Block Sizes for Large Notional Off-Facility Swaps

03/07/2012
10:00 AM
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ICAP Americas
XII. DCM Core Principles

XIII. SEF Registration

03/05/2012
12:15 PM
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CME, Pension funds
II. Definitions

XII. DCM Core Principles

XXVI. Position Limits

General

02/10/2012
12:45 PM
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Eaton Vance
XII. DCM Core Principles

XIII. SEF Registration

Swaps Made Available to Trade

12/06/2011
9:45 AM
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ICE Futures U.S.
VI. Segregation and Bankruptcy

XII. DCM Core Principles

12/06/2011
8:30 AM
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New York Portfolio Clearing

NYSE Euronext

NYSE Liffe U.S.
XII. DCM Core Principles

XXVI. Position Limits

10/25/2011
2:30 PM
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Eris Exchange

Green X

NYSE Euronest

OneChicago

Delta Strategy Group
XII. DCM Core Principles

10/13/2011
11:30 AM
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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
II. Definitions

V. Capital & Margin

VII. DCO Core Principles

XII. DCM Core Principles

XXVI. Position Limits

10/13/2011
11:00 AM
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NYSE Liffe US
XII. DCM Core Principles

09/21/2011
5:00 PM
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CME
XII. DCM Core Principles

XXVI. Position Limits

09/14/2011
4:00 PM
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UBS Americas, Inc.
II. Definitions

V. Capital & Margin

XII. DCM Core Principles

XIII. SEF Registration

09/02/2011
12:00 AM
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Skadden Arps

CME
XII. DCM Core Principles

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

08/24/2011
12:00 AM
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Skadden
XII. DCM Core Principles

08/17/2011
11:00 AM
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Skadden
XII. DCM Core Principles

General

08/09/2011
4:00 PM
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Green Exchange LLC
XII. DCM Core Principles

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

XXVI. Position Limits

08/02/2011
10:00 AM
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Chicago Mercantile Exchange
XII. DCM Core Principles

XXVI. Position Limits

07/20/2011
11:15 AM
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JP Morgan Chase
XII. DCM Core Principles

XXVI. Position Limits

05/11/2011
4:30 PM
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CME
XII. DCM Core Principles

XXVI. Position Limits

05/11/2011
2:30 PM
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Chicago Mercantile Exchange
VI. Segregation and Bankruptcy

VII. DCO Core Principles

XII. DCM Core Principles

XXVI. Position Limits

02/15/2011
12:30 PM
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Nodal Exchange
XII. DCM Core Principles

XIII. SEF Registration

02/14/2011
11:00 AM
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Nodal Exchange
XII. DCM Core Principles

XIII. SEF Registration

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

12/21/2010
10:30 AM
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MF Global
VI. Segregation and Bankruptcy

VII. DCO Core Principles

XII. DCM Core Principles

XIII. SEF Registration

12/15/2010
2:30 PM
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CME Group
VII. DCO Core Principles

XII. DCM Core Principles

XIII. SEF Registration

XXVI. Position Limits

12/08/2010
2:00 PM
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MFA

Delta Strategy Group

King Street Capital Management

BlueMountain Capital Management, LLC

Citadel LLC

Brevan Howard, Inc.

Tudor Investment Corporation
II. Definitions

VI. Segregation and Bankruptcy

IX. Governance & Possible Limits

XII. DCM Core Principles

XIII. SEF Registration

XVI. Swap Data Repositories Registration

XXIII. Anti-Manipulation

XXIV. Disruptive Trading Practices

11/29/2010
2:00 PM
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Better Markets, Inc. (BMI)
V. Capital & Margin

IX. Governance & Possible Limits

XII. DCM Core Principles

XIII. SEF Registration

XXVI. Position Limits

10/26/2010
4:00 PM
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CME Group (CME)

Delta Strategy Group (DSG)

Skadden, Arps, Slate, Meagher & Flom LLP (S)
XII. DCM Core Principles

10/14/2010
1:00 PM
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Goldman Sachs
XII. DCM Core Principles

XIII. SEF Registration

XVIII. Real Time Reporting

XXVI. Position Limits

10/06/2010
2:30 PM
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Eris

DRW Trading Group
II. Definitions

XII. DCM Core Principles

XIII. SEF Registration

10/06/2010
1:30 PM
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Eris Exchange
XII. DCM Core Principles

XV. Rule Certification

10/06/2010
9:00 AM
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Eris Exchange, DRW Trading
XII. DCM Core Principles

09/21/2010
11:00 AM
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Patton Boggs

BGC

ICAP

GFI

Tullett Prebon
VII. DCO Core Principles

XII. DCM Core Principles

XIII. SEF Registration

General

09/15/2010
12:00 PM
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IntercontinentalExchange
XII. DCM Core Principles

XIII. SEF Registration

XIV. FBOT Registration

XV. Rule Certification

09/13/2010
3:00 PM
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Jefferies and Company, Inc.
III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards - Internal

VII. DCO Core Principles

IX. Governance & Possible Limits

XII. DCM Core Principles

XVIII. Real Time Reporting

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
07/30/2010
10:00 AM
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National Futures Association (NFA)
All

See Also:

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CFTC's Commitment to Open Government

Gavel and Book

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