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SEF Registration

Date
MEETING WITH
REGARDING RULEMAKING
01/30/2014
12:30 PM
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Citadel LLC

D.E. Shaw group

Bain Capital, LLC

Tudor Investment Corporation

AQR Capital Management, LLC

Millennium Management LLP

HBK Capital Management

Delta Strategy Group

Managed Funds Association
XIII. SEF Registration

XVII. Data Recordkeeping

Swaps Made Available to Trade

08/20/2013
2:00 PM
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Bloomberg
XIII. SEF Registration

06/26/2013
1:00 PM
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NFA
XIII. SEF Registration

Cross-Border

General

05/16/2013
2:00 PM
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Delta Strategies
XIII. SEF Registration

05/15/2013
12:00 AM
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Javelin
XIII. SEF Registration

05/14/2013
12:00 AM
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Javelin
XIII. SEF Registration

05/10/2013
1:30 PM
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WMBAA
XIII. SEF Registration

05/10/2013
12:00 AM
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WMBAA
XIII. SEF Registration

05/10/2013
12:00 AM
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Delta Strategies
XIII. SEF Registration

05/09/2013
2:00 PM
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Topics of discussion: clearing requirements; SEFs
XIII. SEF Registration

05/09/2013
12:00 AM
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Better Markets
XIII. SEF Registration

05/09/2013
12:00 AM
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Javelin
XIII. SEF Registration

05/07/2013
12:00 AM
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XIII. SEF Registration

05/01/2013
11:00 AM
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BlackRock
XIII. SEF Registration

General

04/24/2013
5:00 PM
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State Street
XIII. SEF Registration

04/24/2013
10:00 AM
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Javelin
XIII. SEF Registration

04/03/2013
3:00 PM
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TeraExchange
XIII. SEF Registration

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

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

03/12/2013
2:00 PM
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List of attendees attached.
XIII. SEF Registration

03/08/2013
3:00 PM
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TeraExchange
XIII. SEF Registration

03/05/2013
2:00 PM
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Goldman Sachs
XIII. SEF Registration

03/05/2013
11:00 AM
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Goldman Sachs
XIII. SEF Registration

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

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

XIII. SEF Registration

02/21/2013
2:00 PM
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Better Markets
XIII. SEF Registration

XXVI. Position Limits

Cross-Border

02/20/2013
4:00 PM
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TeraExchange
XIII. SEF Registration

02/20/2013
3:00 PM
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Javelin

SDMA
XIII. SEF Registration

02/14/2013
1:30 PM
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Bloomberg
XIII. SEF Registration

General

02/14/2013
12:00 PM
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Fidelity

PIMCO

Vanguard

SIFMA

Goldman Sachs Asset Management

JP Morgan
XIII. SEF Registration

02/06/2013
4:15 PM
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SIFMA AMG

Fidelity

PIMCO

Vanguard

Goldman Sachs Asset Management
XIII. SEF Registration

General

02/06/2013
2:00 PM
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JP Morgan
XIII. SEF Registration

General

02/06/2013
1:00 PM
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Fidelity

PIMCO

Vanguard

SIFMA

Goldman Sachs Asset Managment
XIII. SEF Registration

02/01/2013
2:00 PM
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AFR

Demos
XIII. SEF Registration

02/01/2013
11:30 AM
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Eris Exchange
XIII. SEF Registration

01/23/2013
2:00 PM
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Bloomberg
XIII. SEF Registration

General

01/23/2013
9:00 AM
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SIFMA AMG

PIMCO
XIII. SEF Registration

General

01/22/2013
4:00 PM
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MarketAxess

Skadden
XIII. SEF Registration

General

01/22/2013
11:00 AM
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BGC Partners

WMBA

Tradition

Tullett Prebon

ICAP

Patton Boggs
XIII. SEF Registration

General

01/17/2013
3:45 PM
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ICAP
XIII. SEF Registration

General

01/17/2013
1:30 PM
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State Street
XIII. SEF Registration

01/17/2013
11:30 AM
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ICAP
XIII. SEF Registration

General

01/17/2013
11:00 AM
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State Street

Delta Strategy Group
XIII. SEF Registration

General

01/17/2013
10:00 AM
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State Street

Delta Strategy Group
XIII. SEF Registration

01/17/2013
10:00 AM
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ICAP
XIII. SEF Registration

General

01/16/2013
12:00 PM
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CME
XIII. SEF Registration

XVI. Swap Data Repositories Registration

General

01/16/2013
11:30 AM
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Bloomberg
XIII. SEF Registration

General

01/15/2013
1:30 PM
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UBS
XIII. SEF Registration

01/15/2013
11:00 AM
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Phoenix Partners
XIII. SEF Registration

01/08/2013
10:30 AM
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MarketAxess
XIII. SEF Registration

12/19/2012
2:00 PM
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Blackrock
XIII. SEF Registration

12/19/2012
11:00 AM
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Tradeweb
XIII. SEF Registration

12/10/2012
10:00 AM
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ICAP
XIII. SEF Registration

12/06/2012
3:15 PM
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JP Morgan
XIII. SEF Registration

General

12/06/2012
9:00 AM
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Mark Brickell
XIII. SEF Registration

12/05/2012
2:30 PM
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XIII. SEF Registration

12/03/2012
11:00 AM
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ISDA

Morgan Stanley

Wellington

Goldman Sachs

Bank of America
XIII. SEF Registration

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

11/14/2012
5:00 PM
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UBS
XIII. SEF Registration

11/13/2012
2:00 PM
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Goldman Sachs
XIII. SEF Registration

11/13/2012
10:00 AM
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Goldman Sachs
XIII. SEF Registration

11/09/2012
3:15 PM
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FXall

Latham & Watkins
XIII. SEF Registration

11/08/2012
3:30 PM
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MarketAxess

Skadden
XIII. SEF Registration

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

XIII. SEF Registration

General

11/06/2012
3:00 PM
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Tradeweb

Capitol Counsel LLC
XIII. SEF Registration

11/06/2012
10:00 AM
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Barclays
XIII. SEF Registration

11/06/2012
9:00 AM
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Barclays
XIII. SEF Registration

11/05/2012
2:00 PM
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Bloomberg
XIII. SEF Registration

XVI. Swap Data Repositories Registration

11/05/2012
12:00 AM
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Bloomberg
XIII. SEF Registration

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

09/07/2012
12:45 PM
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Bank of America Merrill Lynch

Deutsche Bank

Goldman Sachs

ISDA

PIMCO

Societs Generale
VI. Segregation and Bankruptcy

VII. DCO Core Principles

VIII. Process for Review of Swaps

XIII. SEF Registration

XVIII. Real Time Reporting

09/07/2012
11:00 AM
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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

VII. DCO Core Principles

VIII. Process for Review of Swaps

XIII. SEF Registration

XVIII. Real Time Reporting

09/06/2012
10:00 AM
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ICAP

TriOptima
XIII. SEF Registration

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

07/16/2012
4:00 PM
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INFX 

Latham & Watkins LLP
XIII. SEF Registration

07/16/2012
4:00 PM
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INFX 

Latham & Watkins LLP
XIII. SEF Registration

07/16/2012
2:30 PM
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INFX

Latham & Watkins LLP
XIII. SEF Registration

General

06/05/2012
10:00 AM
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Bloomberg LP
XIII. SEF Registration

XVI. Swap Data Repositories Registration

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

05/30/2012
4:15 PM
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ISDA

Morgan Stanley

DE Shaw

Bank of America/Merrill Lynch

Barclay's
VII. DCO Core Principles

IX. Governance & Possible Limits

XI. End-user Exception

XIII. SEF Registration

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

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

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

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

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

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

05/02/2012
10:00 AM
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XIII. SEF Registration

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

04/30/2012
2:00 PM
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Maryknoll Office for Global Concerns

Tri-State Coalition for Responsible Investment

Missionary Oblates of Mary Immaculate/Interfaith Center for Corporate Responsibility

U.S. Conference of Catholic Bishops

ActionAid

National Family Farm Coalition

Institute for Agriculture and Trade Policy
XIII. SEF Registration

XXVI. Position Limits

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

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

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

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

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

04/13/2012
1:00 PM
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Cleary

Citicorp (CBNA)
XIII. SEF Registration

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

Citadel

UBS
VIII. Process for Review of Swaps

XIII. SEF Registration

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

Swaps Made Available to Trade

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

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

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

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

03/14/2012
7:00 PM
More Info
List of attendees attached.
VIII. Process for Review of Swaps

XIII. SEF Registration

XVI. Swap Data Repositories Registration

03/14/2012
4:00 PM
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ICAP
XIII. SEF Registration

XVIII. Real Time Reporting

Block Sizes for Large Notional Off-Facility Swaps

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
II. Definitions

XIII. SEF Registration

XXVIII. Volcker Rule

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

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

XIII. SEF Registration

03/02/2012
12:30 PM
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ICAP
XIII. SEF Registration

Swaps Made Available to Trade

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

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

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

02/14/2012
2:30 PM
More Info
ICAP
XIII. SEF Registration

General

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

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

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

XIII. SEF Registration

Swaps Made Available to Trade

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

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

01/31/2012
3:30 PM
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Wholesale Market Brokers' Association (WMBA):

BGC Partners, Inc.

ICAP

GFI Group, Inc.

Patton Boggs

Tradition

Tullett Prebon
VII. DCO Core Principles

XIII. SEF Registration

XVIII. Real Time Reporting

Block Sizes for Large Notional Off-Facility Swaps

01/31/2012
2:45 PM
More Info
ICAP
VII. DCO Core Principles

XIII. SEF Registration

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

Ogilvy Govt Relations
XIII. SEF Registration

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
12:00 PM
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Bloomberg
XIII. SEF Registration

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

12/06/2011
2:45 PM
More Info
BGC

GFI

ICAP

Patton Boggs LLP

Tradition Financial Services

Tullet Prebon
XIII. SEF Registration

XVII. Data Recordkeeping

XVIII. Real Time Reporting

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

12/06/2011
11:00 AM
More Info
Barclays Capital

D.E. Shaw & Co.

International Swaps & Derivatives Association (ISDA)

JPMorgan Chase & Co.

Morgan Stanley

PIMCO
VI. Segregation and Bankruptcy

VIII. Process for Review of Swaps

XIII. SEF Registration

XVII. Data Recordkeeping

XVIII. Real Time Reporting

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

11/18/2011
2:00 PM
More Info
Barclays Capital
XIII. SEF Registration

11/18/2011
1:00 PM
More Info
Evolution Markets
II. Definitions

XIII. SEF Registration

11/16/2011
11:00 AM
More Info
IntercontinentalExchange
XIII. SEF Registration

11/14/2011
3:30 PM
More Info
Thomson Reuters
IX. Governance & Possible Limits

XIII. SEF Registration

11/04/2011
12:00 AM
More Info
ICAP

Delta Strategies
XIII. SEF Registration

11/03/2011
1:00 PM
More Info
Tullett Prebon

ICAP

GFI

BGC

Tradition

Patton Boggs
XIII. SEF Registration

10/06/2011
10:00 AM
More Info
Markit

MarkitSERV

Latham & Wakins (as counsel)
II. Definitions

IV. Business Conduct Standards – Internal

XIII. SEF Registration

XVII. Data Recordkeeping

XVIII. Real Time Reporting

09/22/2011
11:30 AM
More Info
ICAP
XIII. SEF Registration

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

V. Capital & Margin

XII. DCM Core Principles

XIII. SEF Registration

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

09/07/2011
3:00 PM
More Info
Ogilvy

Spring Trading
XIII. SEF Registration

General

08/18/2011
4:00 PM
More Info
Javelin
XIII. SEF Registration

General

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

06/23/2011
11:00 AM
More Info
Ogilvy GR

Geneva Energy Markets

Geneva Trading
XIII. SEF Registration

XXVI. Position Limits

06/23/2011
10:00 AM
More Info
Geneva Energy Markets LLC (Geneva Energy)

Geneva Trading USA LLC (Geneva Trading)

Ogilvy Government Relations (Ogilvy)
V. Capital & Margin

XIII. SEF Registration

06/23/2011
9:30 AM
More Info
Spring Trading
XIII. SEF Registration

06/22/2011
3:00 PM
More Info
Spring Trading, LLC (Spring Trading)

Ogilvy Government Relations (Ogilvy)
XIII. SEF Registration

06/22/2011
12:30 PM
More Info
Futures Industry Association Board of Directors
II. Definitions

XIII. SEF Registration

XVIII. Real Time Reporting

XXVI. Position Limits

XXVII. Investment Adviser Reporting

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

General

06/15/2011
12:30 PM
More Info
ICAP
XIII. SEF Registration

XVI. Swap Data Repositories Registration

06/14/2011
3:00 PM
More Info
SIFMA

GSAM

PIMCO

AllianceBernstein

SIFMA-AMG

Fidelity

Wellington

Vanguard
XIII. SEF Registration

06/14/2011
2:00 PM
More Info
PIMCO

GSAM

Wellington

Fidelity

Vanguard Asset Management Group

BlackRock

Alliance Bernstein

SIFMA
XIII. SEF Registration

06/14/2011
2:00 PM
More Info
Davis Polk

PIMCO

GSAM

Wellington

Fedility

The Vanguard Assest Management Group

Alliance Bernstein

GSAM

SIFMA

SIFMA-AMG
XIII. SEF Registration

05/26/2011
3:30 PM
More Info
FXAll
XIII. SEF Registration

05/26/2011
2:00 PM
More Info
FXall
XIII. SEF Registration

05/26/2011
11:00 AM
More Info
FXAll
XIII. SEF Registration

05/19/2011
2:00 PM
More Info
Javelin
IV. Business Conduct Standards – Internal

VII. DCO Core Principles

VIII. Process for Review of Swaps

XIII. SEF Registration

05/19/2011
11:45 AM
More Info
Thomson Reuters
XIII. SEF Registration

XIV. FBOT Registration

05/18/2011
9:30 AM
More Info
ICAP
XIII. SEF Registration

XVIII. Real Time Reporting

General

05/17/2011
2:30 PM
More Info
ICAP
VII. DCO Core Principles

VIII. Process for Review of Swaps

XIII. SEF Registration

XVI. Swap Data Repositories Registration

XVIII. Real Time Reporting

05/17/2011
1:00 PM
More Info
Citi

JP Morgan

Morgan Stanley
II. Definitions

V. Capital & Margin

VI. Segregation and Bankruptcy

VIII. Process for Review of Swaps

XIII. SEF Registration

XVIII. Real Time Reporting

05/17/2011
11:15 AM
More Info
Citadel

King Street

Blue Mountain

D.E. Shaw
IV. Business Conduct Standards – Internal

V. Capital & Margin

VI. Segregation and Bankruptcy

VII. DCO Core Principles

VIII. Process for Review of Swaps

XIII. SEF Registration

05/17/2011
10:00 AM
More Info
BlackRock

Wellington

Goldman Sachs Asset Management
IV. Business Conduct Standards - Internal

VI. Segregation and Bankruptcy

VII. DCO Core Principles

VIII. Process for Review of Swaps

XIII. SEF Registration
05/11/2011
2:00 PM
More Info
ISDA

Kalorama Partners
II. Definitions

XIII. SEF Registration

04/29/2011
3:45 PM
More Info
GFI Group

ICAP

Tradweb

Tradition

Tullett Prebon

BGC Partners

Patton Boggs
XIII. SEF Registration

04/13/2011
11:30 AM
More Info
Credit Suisse

Millennium Capital

Marathon Capital

TRowe Price

BlackRock

Blue Mountain

Goldman Sachs Asset Management

King Street
II. Definitions

V. Capital & Margin

XIII. SEF Registration

04/12/2011
2:30 PM
More Info
FXall
XIII. SEF Registration

04/06/2011
2:00 PM
More Info
ISDA

Kalorama Partners

Mayer  Brown
II. Definitions

XIII. SEF Registration

XVIII. Real Time Reporting

XXI. Joint Rules w/ SEC

03/10/2011
10:30 AM
More Info
UBS
XIII. SEF Registration

XVIII. Real Time Reporting

General

03/09/2011
12:00 PM
More Info
Morgan Stanely
II. Definitions

III. Business Conduct Standards w/ Counterparties

XIII. SEF Registration

XVIII. Real Time Reporting

03/09/2011
11:00 AM
More Info
Morgan Stanley
III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards – Internal

XIII. SEF Registration

XVIII. Real Time Reporting

03/09/2011
11:00 AM
More Info
Morgan Stanley
III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards – Internal

XIII. SEF Registration

XVIII. Real Time Reporting

03/03/2011
2:00 PM
More Info
National Futures Association (NFA)
XIII. SEF Registration

02/28/2011
2:00 PM
More Info
Morgan Stanley
III. Business Conduct Standards w/ Counterparties

XIII. SEF Registration

XVIII. Real Time Reporting

02/23/2011
11:00 AM
More Info
Morgan Stanley
III. Business Conduct Standards w/ Counterparties

XIII. SEF Registration

XVIII. Real Time Reporting

02/22/2011
10:00 AM
More Info
Getco
XIII. SEF Registration

XVI. Swap Data Repositories Registration

XXIV. Disruptive Trading Practices

02/18/2011
1:30 PM
More Info
UBS Securities
IX. Governance & Possible Limits

XIII. SEF Registration

02/16/2011
2:30 PM
More Info
IntercontinentalExchange (ICE)
II. Definitions

VII. DCO Core Principles

VIII. Process for Review of Swaps

XIII. SEF Registration

XVII. Data Recordkeeping

02/16/2011
12:00 PM
More Info
TruMarx, Delta Strategies
XIII. SEF Registration

02/16/2011
9:00 AM
More Info
TruMarx Data Partners

Delta Strategy Group
XIII. SEF Registration

02/15/2011
2:00 PM
More Info
Nodal Exchange
XIII. SEF Registration

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

XIII. SEF Registration

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)
III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards – Internal

XIII. SEF Registration

XVIII. Real Time Reporting

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

XIII. SEF Registration

02/11/2011
1:30 PM
More Info
SIFMA

HSBC
XIII. SEF Registration

XVI. Swap Data Repositories Registration

XVIII. Real Time Reporting

02/11/2011
1:00 PM
More Info
SIFMA
XIII. SEF Registration

XVI. Swap Data Repositories Registration

XVIII. Real Time Reporting

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)
III. Business Conduct Standards w/ Counterparties

XIII. SEF Registration

XVIII. Real Time Reporting

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

02/04/2011
1:00 PM
More Info
Barclays Capital
IX. Governance & Possible Limits

XIII. SEF Registration

XXVI. Position Limits

General

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

X. Systemically Important DCO Rules

XII. DCM Core Principles

XIII. SEF Registration

02/04/2011
10:00 AM
More Info
Barclays Capital
XIII. SEF Registration

XVIII. Real Time Reporting

02/04/2011
9:30 AM
More Info
Barclays Capital, Goldman Sachs
XIII. SEF Registration

XVIII. Real Time Reporting

01/31/2011
6:00 PM
More Info
Goldman Sachs
XIII. SEF Registration

XVIII. Real Time Reporting

01/31/2011
1:00 PM
More Info
Wholesale Markets Brokers' Association Americas (WMBAA)
XIII. SEF Registration

01/27/2011
11:30 AM
More Info
WMBAA

GFI
XIII. SEF Registration

01/27/2011
9:00 AM
More Info
IntercontinentalExchange (ICE)
XIII. SEF Registration

01/21/2011
1:00 PM
More Info
Credit Suisse
IX. Governance & Possible Limits

XIII. SEF Registration

01/21/2011
10:00 AM
More Info
Pivot Inc.
XIII. SEF Registration

01/19/2011
3:00 PM
More Info
Barclays Capital
XIII. SEF Registration

01/19/2011
2:30 PM
More Info
ICE
XIII. SEF Registration

01/19/2011
1:00 PM
More Info
Evolution Markets

Ogilvy Government Relations
XIII. SEF Registration

12/22/2010
9:00 AM
More Info
ICAP plc (ICAP)
XIII. SEF Registration

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

VII. DCO Core Principles

XII. DCM Core Principles

XIII. SEF Registration

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

XII. DCM Core Principles

XIII. SEF Registration

XXVI. Position Limits

12/15/2010
2:00 PM
More Info
CME
XIII. SEF Registration

XXVI. Position Limits

12/14/2010
11:30 AM
More Info
Deshaw
XIII. SEF Registration

XXVI. Position Limits

12/13/2010
9:00 AM
More Info
Tradeweb
XIII. SEF Registration

12/13/2010
12:00 AM
More Info
ICE
XIII. SEF Registration

XXVI. Position Limits

12/10/2010
1:15 PM
More Info
Bloomberg
XIII. SEF Registration

12/10/2010
9:00 AM
More Info
Tradeweb
XIII. SEF Registration

12/08/2010
2:00 PM
More Info
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

12/07/2010
9:30 AM
More Info
Goldman Sachs
XIII. SEF Registration

XXVI. Position Limits

12/07/2010
9:30 AM
More Info
Wholesale Markets Brokers Association (WMBA)
XIII. SEF Registration

12/06/2010
6:00 PM
More Info
Blackbird Holdings, Inc. (Blackbird)
XIII. SEF Registration

12/06/2010
2:30 PM
More Info
ICAP North America, Inc.
XIII. SEF Registration

12/06/2010
2:00 PM
More Info
TABB Group
XIII. SEF Registration

12/06/2010
10:00 AM
More Info
BGC Partners (BGC)

GFI Group Inc. (GFI)

ICAP plc (ICAP)

Tradition (North America) Inc. (Tradition)

Tullet Prebon Ltd (Tullett)

Patton Boggs LLP (Patton Boggs)
XIII. SEF Registration

12/03/2010
2:00 PM
More Info
Credit Suisse
XIII. SEF Registration

12/03/2010
1:00 PM
More Info
Credit Suisse
XIII. SEF Registration

12/03/2010
12:30 PM
More Info
Tradeweb
XIII. SEF Registration

12/03/2010
10:00 AM
More Info
Wholesale Markets Brokers Association, Americas
XIII. SEF Registration

XVII. Data Recordkeeping

12/02/2010
2:30 PM
More Info
Patton Boggs, Wholesale Markets Brokers' Association
XIII. SEF Registration

12/02/2010
12:30 PM
More Info
Goldman Sachs
XIII. SEF Registration

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

IX. Governance & Possible Limits

XII. DCM Core Principles

XIII. SEF Registration

XXVI. Position Limits

11/23/2010
9:30 AM
More Info
TABB Group
XIII. SEF Registration

11/18/2010
3:00 PM
More Info
BNY Mellon
XIII. SEF Registration

11/18/2010
2:00 PM
More Info
BNY Mellon
XIII. SEF Registration

11/18/2010
1:00 PM
More Info
Tradeweb (T)
XIII. SEF Registration

11/18/2010
11:30 AM
More Info
Tradeweb
XIII. SEF Registration

11/18/2010
10:00 AM
More Info
BNY Mellon (BNYM)
XIII. SEF Registration

11/17/2010
1:30 PM
More Info
Highbridge Capital (HC)

Citadel (C)

The Hartford (H)

Eaton Vance (EV)

UBS
XIII. SEF Registration

XVIII. Real Time Reporting

11/17/2010
11:30 AM
More Info
ICE
XIII. SEF Registration

11/17/2010
10:00 AM
More Info
IntercontinentalExchange (ICE)
XIII. SEF Registration

11/16/2010
11:00 AM
More Info
FXall

Rich Feuer Group (RFG)
XIII. SEF Registration

11/15/2010
3:00 PM
More Info
NYSE Euronext
XIII. SEF Registration

XIV. FBOT Registration

11/15/2010
12:30 PM
More Info
IntercontinentalExchange (ICE)
XIII. SEF Registration

11/12/2010
9:30 AM
More Info
MetLife

Clifford Chance
II. Definitions

VII. DCO Core Principles

XIII. SEF Registration

XVIII. Real Time Reporting

11/10/2010
9:30 AM
More Info
D.E. Shaw & Co., L.P. (D.E. Shaw)

Deutsche Bank

International Swaps and Derivatives Association (ISDA) 

Kalorama Partners LLC (Kalorama)
I. Registration

IX. Governance & Possible Limits

XIII. SEF Registration

XVI. Swap Data Repositories Registration

11/09/2010
1:00 PM
More Info
LCH Clearnet

Rich Feuer Group
IX. Governance & Possible Limits

XIII. SEF Registration

11/09/2010
11:30 AM
More Info
OTC

Vitol

Constellation Energy

Conoco Phillips
II. Definitions

XIII. SEF Registration

11/09/2010
10:45 AM
More Info
Energy Working Group, Vitol, Hunton & Williams, Constellation, ConocoPhillips
XIII. SEF Registration

XXVI. Position Limits

11/03/2010
5:00 PM
More Info
BGC Partners (BGC)

ICAP plc (ICAP)

GFI Group Inc. (GFI)

Tradition (North America) Inc. (Tradition)

Tullet Prebon Ltd (Tullett Prebon)

Patton Boggs (Patton Boggs LLP)
XIII. SEF Registration

11/03/2010
10:00 AM
More Info
Patton Boggs

ICAP
XIII. SEF Registration

XVIII. Real Time Reporting

11/02/2010
12:00 PM
More Info
European Commission, Futures Industry Association
VII. DCO Core Principles

XIII. SEF Registration

XXVI. Position Limits

11/02/2010
2:30 AM
More Info
Jump Trading
XIII. SEF Registration

XXIV. Disruptive Trading Practices

11/01/2010
8:00 PM
More Info
Chopper Trading LLC

Chicago Trading Co.

Allston

Gelber Group

RGM

Getco

Infinium

DRW
VII. DCO Core Principles

XIII. SEF Registration

XXIV. Disruptive Trading Practices

10/28/2010
2:30 PM
More Info
IntercontinentalExchange (ICE)
XIII. SEF Registration

XVIII. Real Time Reporting

10/25/2010
11:00 AM
More Info
TradeWeb
XIII. SEF Registration

10/25/2010
10:00 AM
More Info
Tradeweb
II. Definitions

XIII. SEF Registration

10/22/2010
10:30 AM
More Info
BlackRock
XIII. SEF Registration

10/22/2010
9:30 AM
More Info
BlackRock
VIII. Process for Review of Swaps

XIII. SEF Registration

10/19/2010
1:00 PM
More Info
BlackRock (BR)
XIII. SEF Registration

XVI. Swap Data Repositories Registration

XVII. Data Recordkeeping

XVIII. Real Time Reporting

10/14/2010
3:15 PM
More Info
Barclays Capital Inc. (BC)

Winston & Strawn LLP (WS)
XIII. SEF Registration

XVI. Swap Data Repositories Registration

XVIII. Real Time Reporting

10/14/2010
2:00 PM
More Info
UBS
II. Definitions

XIII. SEF Registration

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

XIII. SEF Registration

XVIII. Real Time Reporting

XXVI. Position Limits

10/14/2010
10:00 AM
More Info
UBS
II. Definitions

XIII. SEF Registration

XVI. Swap Data Repositories Registration

10/13/2010
4:00 PM
More Info
JPMC
XIII. SEF Registration

10/13/2010
2:30 PM
More Info
Financial Services Forum
V. Capital & Margin

XIII. SEF Registration

10/13/2010
2:00 PM
More Info
JP Morgan Chase & Co. (JPM)

LTD Group (LTD)
XIII. SEF Registration

General

10/13/2010
1:00 PM
More Info
JP Morgan
XIII. SEF Registration

General

10/12/2010
5:30 PM
More Info
Bloomberg (B)

Williams & Jensen, PLLC (WJ)
XIII. SEF Registration

XVI. Swap Data Repositories Registration

10/08/2010
10:00 AM
More Info
Members of MFA.
I. Registration

II. Definitions

XI. End-user Exception

XIII. SEF Registration

XXI. Joint Rules w/ SEC

XXVI. Position Limits

General

10/06/2010
2:30 PM
More Info
Eris

DRW Trading Group
II. Definitions

XII. DCM Core Principles

XIII. SEF Registration

10/06/2010
1:00 PM
More Info
Javelin (J)

Venable LLP (V)
XIII. SEF Registration

10/05/2010
4:30 PM
More Info
NYSE Euronext

IntercontinentalExchange

DRW Trading Group
II. Definitions

XIII. SEF Registration

XIV. FBOT Registration

10/05/2010
9:30 AM
More Info
Bloomberg (B)

Williams & Jensen, PLLC (WJ)
XIII. SEF Registration

10/05/2010
8:30 AM
More Info
Financial Industry Regulatory Authority (FINRA)
XIII. SEF Registration

XVIII. Real Time Reporting

XXIV. Disruptive Trading Practices

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

VII. DCO Core Principles

X. Systemically Important DCO Rules

XIII. SEF Registration

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

VII. DCO Core Principles

X. Systemically Important DCO Rules

XIII. SEF Registration

10/04/2010
2:30 PM
More Info
Markit

MarkitSERV

Depository Trust & Clearing Corporation (DTCC)

Winston & Strawn
II. Definitions

XIII. SEF Registration

XVI. Swap Data Repositories Registration

XVIII. Real Time Reporting

10/04/2010
9:00 AM
More Info
Wholesale Markets Brokers' Association, Americas
XIII. SEF Registration

09/29/2010
2:00 PM
More Info
NYSE Euronext (NYSE-E)

NYSE Liffe (NYSE-L)
XIII. SEF Registration

09/29/2010
8:30 AM
More Info
NYSE
VIII. Process for Review of Swaps

XIII. SEF Registration

09/28/2010
11:30 AM
More Info
NYSE Euronext

NYSE Liffe US
VIII. Process for Review of Swaps

XIII. SEF Registration

09/28/2010
11:00 AM
More Info
The Goldman Sachs Group, Inc. (GS)

Winston & Strawn LLP (WS)
XIII. SEF Registration

09/28/2010
9:30 AM
More Info
Morgan Stanley (MS)
XIII. SEF Registration

09/24/2010
1:00 PM
More Info
The National Futures Association (NFA)
I. Registration

III. Business Conduct Standards w/ Counterparties

XIII. SEF Registration

XVIII. Real Time Reporting

09/24/2010
9:00 AM
More Info
ICAP
XIII. SEF Registration

09/23/2010
1:30 PM
More Info
London Stock Exchange (LSE)

Patton Boggs
XIII. SEF Registration

XVI. Swap Data Repositories Registration

XVII. Data Recordkeeping

XVIII. Real Time Reporting

09/23/2010
11:00 AM
More Info
GFI Group (GFI)

Winston & Strawn LLP (WS)
XIII. SEF Registration

09/21/2010
11:00 AM
More Info
Patton Boggs

BGC

ICAP

GFI

Tullett Prebon
VII. DCO Core Principles

XII. DCM Core Principles

XIII. SEF Registration

General

09/21/2010
10:30 AM
More Info
Goldman Sachs
XIII. SEF Registration

XVIII. Real Time Reporting

XXVI. Position Limits

09/17/2010
3:00 PM
More Info
The National Futures Association (NFA)
XIII. SEF Registration

09/16/2010
12:00 PM
More Info
NASDAQ

International Derivatives Clearing Group
II. Definitions

VIII. Process for Review of Swaps

XIII. SEF Registration

09/16/2010
10:30 AM
More Info
ISDA

MorganStanley

CitiBank

Societe Generale

Deutsche Bank

DE Shaw
II. Definitions

V. Capital & Margin

VIII. Process for Review of Swaps

XIII. SEF Registration

09/16/2010
9:30 AM
More Info
International Swaps and Derivatives Association's Regional Conference
II. Definitions

V. Capital & Margin

VIII. Process for Review of Swaps

XIII. SEF Registration

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

XIII. SEF Registration

XIV. FBOT Registration

XV. Rule Certification

09/10/2010
9:30 AM
More Info
ICAP
XIII. SEF Registration
09/09/2010
3:30 PM
More Info
Bloomberg

Williams & Jensen
XIII. SEF Registration

General

09/09/2010
2:00 PM
More Info
Bloomberg (B)

Williams & Jensen PLLC (WJ)
XIII. SEF Registration

09/09/2010
1:00 PM
More Info
Bloomberg
XIII. SEF Registration

09/09/2010
12:30 PM
More Info
Bloomberg (B)

Williams& Jensen, PLLC (WJ)
XIII. SEF Registration
09/09/2010
10:00 AM
More Info
SURFACExchange (SE)
XIII. SEF Registration
09/07/2010
4:00 PM
More Info
MarketAxess (MA)

Skadden, Arps, Slate, Meagher& Flom LLP (S)
XIII. SEF Registration
09/07/2010
4:00 PM
More Info
FXALL
II. Definitions

XIII. SEF Registration

09/07/2010
3:00 PM
More Info
MarketAxess

Skadden, Arps, Slate, Meagher & Flom LLP (S)
XIII. SEF Registration

09/07/2010
2:00 PM
More Info
FXALL

Winston and Strawn
II. Definitions

XIII. SEF Registration
09/07/2010
1:00 PM
More Info
Tradeweb (T)
XIII. SEF Registration
09/01/2010
2:00 PM
More Info
Deutsche Bank (DB)

Davis Polk& Wardwell LLP (DP)
XIII. SEF Registration
09/01/2010
8:00 AM
More Info
Represenatives of various energy companies, financial firms, consultants, and other interested persons.  The session was open to the press.
All
08/31/2010
2:00 PM
More Info
The National Futures Association (NFA)
XIII. SEF Registration
08/27/2010
1:00 PM
More Info
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
08/26/2010
1:00 PM
More Info
Union Bank of Switzerland (UBS)
XIII. SEF Registration
08/24/2010
1:00 PM
More Info
ICE
XIII. SEF Registration

XIV. FBOT Registration
08/24/2010
9:00 AM
More Info
IntercontinentalExchange (ICE)

Winston& Strawn LLP (W&S)
XIII. SEF Registration
08/19/2010
11:00 AM
More Info
MarkitSERV (MS)

The Depository Trust& Clearing Corporation (DTCC)
XIII. SEF Registration
08/18/2010
2:00 PM
More Info
FIA
All
08/11/2010
4:00 PM
More Info
JP Morgan Chase
II. Definitions

XIII. SEF Registration
08/10/2010
10:30 AM
More Info
The National Futures Association (NFA)
XIII. SEF Registration
08/05/2010
2:00 PM
More Info
BlackRock
All
08/03/2010
2:00 PM
More Info
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
More Info
National Futures Association (NFA)
All
Date
SUBMISSION
03/01/2013
SIFMA Asset Management Group_2064 PDF Image
From External Meeting on 3/1/2013
01/17/2013
Additional ex parte comment_2007 PDF Image
From External Meeting on 1/17/2013
07/16/2012
INFX SEF Meeting Agenda and diagram_1781 PDF Image
From External Meeting on 7/16/2012
05/14/2012
SEF Cost Summary_1659 PDF Image
From External Meeting on 5/14/2012
03/14/2012
Evercore 2012 Boca Dinner Attendees_1440 PDF Image
From External Meeting on 3/14/2012
03/12/2012
AFR March 12 2012 Meeting Agenda_1433 PDF Image
From External Meeting on 3/12/2012
03/12/2012
AFR March 12 2012 Handout 2012_03_16_12_03_16_1433 PDF Image
From External Meeting on 3/12/2012
05/26/2011
Discussion Points for Meeting with CFTC Chairman Gensler PDF Image
FXall, From External Meeting on 5/26/2011
05/19/2011
OTC Derivative Implementation Discussion Points PDF Image
Javelin, From External Meeting on 5/19/2011
02/21/2011
Introducing ODEX PDF Image
Raymond May
12/06/2010
12/06/2010
Blackbird Presentation Materials 12-06-10_378 PDF Image
Blackbird, From External Meeting on 12/6/2010
11/24/2010
10/28/2010
Letter re Swap and Security-Based Swap Execution Facilities PDF Image
Cleary Gottlieb Steen and Hamilton LLP
10/25/2010
10/22/2010
10/19/2010
(10-19-10) Presentation Materials - BlackRock_182 PDF Image
BlackRock, From External Meeting on 10/19/2010
10/13/2010
Potential Questions PDF Image
Financial Services Forum
10/13/2010
Potential_questions.10.8.10_189 PDF Image
Financial Services Forum, From External Meeting on 10/13/2010
10/06/2010
(10-06-10) Presentation Materials - Javelin_140 PDF Image
Javelin, From External Meeting on 10/6/2010
10/05/2010
10/05/2010
(10-04-10) Presentation Materials - Bloomberg_148 PDF Image
Bloomberg, From External Meeting on 10/5/2010
09/28/2010
Discussion with the CFTC - Execution Requirement and Swap Execution Facilities PDF Image
Goldman Sachs Group, Inc., From External Meeting on 9/28/2010
09/22/2010
SEF Registration Requirements and Core Principle Rulemaking, Interpretation & Guidance PDF Image
Mark D. Young - Skadden, Arps, Slate, Meagher & Flom LLP -
09/16/2010
Delegate List - 2010 ISDA Regional Conference PDF Image
Delegate List - 2010 ISDA Regional Conference
09/16/2010
ISDA 2010 Regional Conference Participants_19 PDF Image
ISDA, From External Meeting on 9/16/2010
09/01/2010
dmb argus_72 PDF Image
Argus Oil Market Regulation Summit 2010
08/24/2010
08/24/2010
08/23/2010
08/03/2010
Title VII Rulemakings PDF Image
SEC/CFTC and ISDA/SIFMA
07/23/2010

See Also:

OpenGov Logo

CFTC's Commitment to Open Government

Gavel and Book

Follow the Status of Enforcement Actions