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Real-Time Reporting

Date
MEETING WITH
REGARDING RULEMAKING
03/28/2013
1:00 PM
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VIII. Process for Review of Swaps

XVIII. Real Time Reporting

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

XVII. Data Recordkeeping

XVIII. Real Time Reporting

01/14/2013
1:30 PM
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LCH. Clearnet

SwapClear US
XVIII. Real Time Reporting

General

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

XVIII. Real Time Reporting

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

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

XVIII. Real Time Reporting

07/05/2012
10:00 AM
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IST Global Oil Americas

BP America
XVIII. Real Time Reporting

General

06/14/2012
4:00 PM
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Barclays Capital, Inc.

BNP Paribas

CIBC World Markets Corp.

Credit Suisse

Deutsche Bank AG

HSBC Bank USA

Institute of International Bankers (IIB)

Mizuho Corporate Bank, Ltd.

Royal Bank of Canada

Standard Chartered Bank

UBS
I. Registration

II. Definitions

XVII. Data Recordkeeping

XVIII. Real Time Reporting

06/06/2012
10:30 AM
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Managed Funds Association

Citadel Investment Group

King Street Capital Management

HBK Investments
XVIII. Real Time Reporting

Block Sizes for Large Notional Off-Facility Swaps

06/04/2012
10:00 AM
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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.
XVIII. Real Time Reporting

Block Sizes for Large Notional Off-Facility Swaps

05/07/2012
11:00 AM
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Pierpont Securities LLC

Pierpoint Derivatives LLC
XVIII. Real Time Reporting

Block Sizes for Large Notional Off-Facility Swaps

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

Block Sizes for Large Notional Off-Facility Swaps

04/18/2012
1:00 PM
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ICAP Energy LLC

ICAP Americas
XVIII. Real Time Reporting

Block Sizes for Large Notional Off-Facility Swaps

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
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

02/14/2012
12:00 PM
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Javelin

Delta Strategy Group
XVIII. Real Time Reporting

Block Sizes for Large Notional Off-Facility Swaps

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

American Public Power Association (APPA)
II. Definitions

XVII. Data Recordkeeping

XVIII. Real Time Reporting

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

01/25/2012
2:30 PM
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Javelin Capital Markets
XVIII. Real Time Reporting

Block Sizes for Large Notional Off-Facility Swaps

01/17/2012
1:00 PM
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Goldman Sachs
XVIII. Real Time Reporting

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

12/19/2011
2:00 PM
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Better Markets
XVII. Data Recordkeeping

XVIII. Real Time Reporting

12/19/2011
11:00 AM
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Coalition for Derivatives End-Users
XVII. Data Recordkeeping

XVIII. Real Time Reporting

12/19/2011
10:00 AM
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The Farm Credit Council
II. Definitions

XVII. Data Recordkeeping

XVIII. Real Time Reporting

12/16/2011
12:30 PM
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Southwest Airlines

Chesapeake Energy

Delta Strategy Group
XVIII. Real Time Reporting

12/15/2011
4:30 PM
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Goldman Sachs
XVII. Data Recordkeeping

XVIII. Real Time Reporting

12/15/2011
2:00 PM
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National Rural Electric Cooperative Association
II. Definitions

XVII. Data Recordkeeping

XVIII. Real Time Reporting

12/15/2011
1:00 PM
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Working Group of Commercial Energy Firms
XVII. Data Recordkeeping

XVIII. Real Time Reporting

12/15/2011
10:00 AM
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Skadden, Arps, Slate, Meagher & Flom LLP
XVII. Data Recordkeeping

XVIII. Real Time Reporting

12/14/2011
5:00 PM
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IntercontinentalExchange
XVII. Data Recordkeeping

XVIII. Real Time Reporting

12/14/2011
3:30 PM
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Airlines for America
XVII. Data Recordkeeping

XVIII. Real Time Reporting

12/14/2011
1:30 PM
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SIFMA
XVII. Data Recordkeeping

XVIII. Real Time Reporting

12/12/2011
3:00 PM
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Deposit Trust & Clearing Corporation
XVII. Data Recordkeeping

XVIII. Real Time Reporting

12/12/2011
2:00 PM
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Large Public Power Council
XVII. Data Recordkeeping

XVIII. Real Time Reporting

12/12/2011
11:45 AM
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BlackRock
XVII. Data Recordkeeping

XVIII. Real Time Reporting

12/12/2011
10:30 AM
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WMBAA
XVII. Data Recordkeeping

XVIII. Real Time Reporting

12/09/2011
2:00 PM
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SIFMA
XVII. Data Recordkeeping

XVIII. Real Time Reporting

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

12/08/2011
10:30 AM
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ICAP
XVII. Data Recordkeeping

XVIII. Real Time Reporting

12/06/2011
2:45 PM
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BGC

GFI

ICAP

Patton Boggs LLP

Tradition Financial Services

Tullet Prebon
XIII. SEF Registration

XVII. Data Recordkeeping

XVIII. Real Time Reporting

12/06/2011
11:00 AM
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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

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

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

08/30/2011
3:00 PM
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FXall

Winston & Strawn
XVIII. Real Time Reporting

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

PPM America

Robertu & White

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

XVIII. Real Time Reporting

07/11/2011
4:00 PM
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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
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EU-US Financial Regulation Technical Working Group
XVIII. Real Time Reporting

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

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

XIII. SEF Registration

XVIII. Real Time Reporting

XXVI. Position Limits

XXVII. Investment Adviser Reporting

06/10/2011
9:30 AM
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BlackRock
XVIII. Real Time Reporting

06/09/2011
9:00 AM
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Markit
XVIII. Real Time Reporting

06/08/2011
12:00 AM
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ICE
XVIII. Real Time Reporting

06/07/2011
4:30 PM
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Markit
XVIII. Real Time Reporting

06/07/2011
12:00 AM
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ICAP
XVIII. Real Time Reporting

06/07/2011
12:00 AM
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Goldman Sachs

HSBC
XVIII. Real Time Reporting

06/02/2011
12:00 PM
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EDM
XVII. Data Recordkeeping

XVIII. Real Time Reporting

05/25/2011
12:00 AM
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Barclays
XVIII. Real Time Reporting

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

XVIII. Real Time Reporting

General

05/17/2011
2:30 PM
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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

05/12/2011
1:00 PM
More Info
BP
XVI. Swap Data Repositories Registration

XVII. Data Recordkeeping

XVIII. Real Time Reporting

04/27/2011
2:30 PM
More Info
Securities and Exchange Commission (SEC)

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

BlackRock

Davis Polk

Fidelity Investments (Fidelity)

PIMCO

Vanguard

Goldman Sachs

MFS Investment Management (MFS)

Wellington Capital Management (Wellington)
XVIII. Real Time Reporting

04/27/2011
12:00 PM
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Depository Trust & Clearing Corporation (DTCC)
XVI. Swap Data Repositories Registration

XVIII. Real Time Reporting

04/21/2011
4:00 PM
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Securities and Exchange Commission ("SEC")

International Swaps and Derivatives Association ("ISDA")
XVIII. Real Time Reporting

04/21/2011
2:00 PM
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Securities and Exchange Commission ("SEC")

Depository Trust & Clearing Corporation (“DTCC”)
XVIII. Real Time Reporting

04/21/2011
11:00 AM
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International Swaps and Derivatives Association ("ISDA")

Mayer Brown

Kalorama Partners
XVIII. Real Time Reporting

04/13/2011
3:45 PM
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Depository & Trust Clearing Corporation (DTCC)
XVI. Swap Data Repositories Registration

XVIII. Real Time Reporting

04/13/2011
11:15 AM
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Fidelity Investments (Fidelity)

Vanguard
XVIII. Real Time Reporting

04/13/2011
9:30 AM
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American Council of Life Insurers

Genworth

Manulife

John Hancock Life

New York Life Insurance Company (New York Life)

Northwestern Mutual

Prudential

MetLife

Allstate Life
XVIII. Real Time Reporting

04/08/2011
4:00 PM
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Rabobank

Davis Polk
I. Registration

II. Definitions

III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards – Internal

V. Capital & Margin

XVII. Data Recordkeeping

XVIII. Real Time Reporting

General

04/06/2011
2:00 PM
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ISDA

Kalorama Partners

Mayer  Brown
II. Definitions

XIII. SEF Registration

XVIII. Real Time Reporting

XXI. Joint Rules w/ SEC

03/31/2011
3:00 PM
More Info
Working Group of Commercial Energy Firms
I. Registration

II. Definitions

III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards – Internal

V. Capital & Margin

XVII. Data Recordkeeping

XVIII. Real Time Reporting

General

03/29/2011
12:00 AM
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Morgan Stanley
XVIII. Real Time Reporting

03/22/2011
5:00 PM
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Credit Suisse, Deutsche Bank, Citi, JP Morgan, Barclays, Morgan Stanley, Goldman Sachs, UBS
I. Registration

II. Definitions

III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards – Internal

XVII. Data Recordkeeping

XVIII. Real Time Reporting

03/22/2011
12:00 PM
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European Parliament
II. Definitions

VII. DCO Core Principles

XI. End-user Exception

XVIII. Real Time Reporting

03/10/2011
12:00 PM
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UBS
XVIII. Real Time Reporting

03/10/2011
11:00 AM
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UBS
IX. Governance & Possible Limits

XVIII. Real Time Reporting

03/10/2011
10:30 AM
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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
10:00 AM
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Institute of International Bankers

Royal Bank of Canada

Barclays Capital

BNP Paribas

Credit Suisse

Deutsche Bank

HSBC

Rabobank

Societe Generale

The Royal Bank of Scotland

UBS

Clearly Gottlieb
II. Definitions

III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards – Internal

V. Capital & Margin

XVII. Data Recordkeeping

XVIII. Real Time Reporting

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

XIII. SEF Registration

XVIII. Real Time Reporting

02/24/2011
11:00 AM
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Coalition for Derivatives End-Users

Agriculture Retailers Association

Chesapeake Energy

Energy Future Holdings

General Motors

Ford

Chatham

U.S. Chamber of Commerce

Business Roundtable

Proctor & Gamble
XVIII. Real Time Reporting

02/23/2011
4:00 PM
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Wholesale Market Brokers Association (WMBA)

BGC Cantor

ICAP

Tradition Financial Services ("Tradition")

Tullett Prebon

GFI Group ("GFI")

Patton Boggs
XVIII. Real Time Reporting

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

XIII. SEF Registration

XVIII. Real Time Reporting

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

02/11/2011
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

02/07/2011
10:30 AM
More Info
Edison Electric Institute (“EEI”)

Dominion Resources Services, Inc. (“Dominion”)

Exelon Corporation (“Exelon”)

Bracewell & Giuliani (“Bracewell”)

NextEra Energy (“NextEra”)

Dayton Power & Light (“DPL”)

Consolidated Edision

American Electric Power (“AEP”)

Constellation Energy
XVIII. Real Time Reporting

02/04/2011
3:00 PM
More Info
Committee on Investment of Employee Benefit Assets ("CIEBA")

American Benefits Council ("ABC")

NISA Investment Advisors

Lockheed Martin

Davis & Harman

General Motors

Winston Strawn

Skadden Arps
XVIII. Real Time Reporting

02/04/2011
1:30 PM
More Info
PIMCO
XVIII. Real Time Reporting

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

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

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

XVIII. Real Time Reporting

01/24/2011
3:00 PM
More Info
Barclays
XVIII. Real Time Reporting

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

01/13/2011
3:00 PM
More Info
Markit

Winston & Strawn

Securities and Exchange Commission (SEC)
XVI. Swap Data Repositories Registration

XVII. Data Recordkeeping

XVIII. Real Time Reporting

01/13/2011
12:00 AM
More Info
NYMEX
XVIII. Real Time Reporting

12/15/2010
4:00 PM
More Info
Darrell Duffie
XVII. Data Recordkeeping

XVIII. Real Time Reporting

12/15/2010
11:00 AM
More Info
Argus

McDermott
XVIII. Real Time Reporting

12/08/2010
3:00 PM
More Info
MFA

Blue Mountain Capital Management LLC

Brevan Howard Inc.

Tudor Investment Corporation

Delta Strategy Group

King Street Capital Management
XVIII. Real Time Reporting

12/03/2010
2:45 PM
More Info
NextEra Energy Resources, LLC
II. Definitions

V. Capital & Margin

XI. End-user Exception

XVII. Data Recordkeeping

XVIII. Real Time Reporting

12/03/2010
2:00 PM
More Info
Ernst & Young LLP

FTI Consulting, Inc.

SolutionPoint International, Inc.

University of Maryland School of Law

All Stars Project, Inc.

NextEra Energy Resources, LLC

Elliot Management Corporation
V. Capital & Margin

VII. DCO Core Principles

XVI. Swap Data Repositories Registration

XVII. Data Recordkeeping

XVIII. Real Time Reporting

11/23/2010
9:00 AM
More Info
NAREIT

Chatham Financial

GE Capital

National Association of Manufacturers

Financial Executives International

Ford

Forest City

Boeing

General Motors

Gibson Dunn
XVIII. Real Time Reporting

11/19/2010
8:30 AM
More Info
BlackRock
VI. Segregation and Bankruptcy

XVIII. Real Time Reporting

11/18/2010
8:30 AM
More Info
BlackRock
VI. Segregation and Bankruptcy

XVIII. Real Time Reporting

11/18/2010
8:30 AM
More Info
JPMorgan Chase
XVIII. Real Time Reporting

11/17/2010
2:00 PM
More Info
NASDAQ OMX
XVII. Data Recordkeeping

XVIII. Real Time Reporting

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
1:00 PM
More Info
DC Bar Association Members
II. Definitions

VII. DCO Core Principles

VIII. Process for Review of Swaps

XIV. FBOT Registration

XVII. Data Recordkeeping

XVIII. Real Time Reporting

11/16/2010
10:30 AM
More Info
Chesapeake Energy (CE)

Delta Strategy Group (DSG)
XVIII. Real Time Reporting

XXVI. Position Limits

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

Clifford Chance
II. Definitions

VII. DCO Core Principles

XIII. SEF Registration

XVIII. Real Time Reporting

11/04/2010
10:00 AM
More Info
SIFMA, Morgan Stanley, Credit Suisse and Citi
XVI. Swap Data Repositories Registration

XVII. Data Recordkeeping

XVIII. Real Time Reporting

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

ICAP
XIII. SEF Registration

XVIII. Real Time Reporting

11/02/2010
3:30 PM
More Info
Winston & Strawn

CME Group

Chesapeake Energy

Citadel

Caterpillar, Inc.

Delta Strategies

U.S. Chamber of Commerce

The Boeing Company

TruMarx Data Partners Inc.

GTCR Golder Rauner

The PrivateBank & Trust Co.

McGuire Woods

Chatham

Deere & Company

IMC Financial Markets

Inland
II. Definitions

V. Capital & Margin

XI. End-user Exception

XVIII. Real Time Reporting

XXVI. Position Limits

11/02/2010
11:30 AM
More Info
Wholesale Market Brokers Association

BGC Partners

GFI Group

ICAP plc

Tullett Prebon Ltd.

Patton Boggs LLP
XVIII. Real Time Reporting

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

XVIII. Real Time Reporting

10/26/2010
10:00 AM
More Info
CME Group
XVI. Swap Data Repositories Registration

XVII. Data Recordkeeping

XVIII. Real Time Reporting

10/21/2010
12:00 AM
More Info
Merchants Data Repository

BNY Mellon (BNY)

Northern Trust Corporation
XVIII. Real Time Reporting

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)
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
1:00 PM
More Info
Goldman Sachs
XII. DCM Core Principles

XIII. SEF Registration

XVIII. Real Time Reporting

XXVI. Position Limits

10/13/2010
12:00 AM
More Info
Financial Services Forum
XVIII. Real Time Reporting

10/06/2010
1:00 PM
More Info
Bank of America

Sullivan & Cromwell
XVIII. Real Time Reporting

10/06/2010
9:00 AM
More Info
Shell Energy North America
V. Capital & Margin

XVIII. Real Time Reporting

XXVI. Position Limits

10/06/2010
9:00 AM
More Info
XVIII. Real Time Reporting

XXVI. Position Limits

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
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

09/28/2010
2:00 PM
More Info
Energy End User Coalition
V. Capital & Margin

XVII. Data Recordkeeping

XVIII. Real Time Reporting

09/28/2010
1:30 PM
More Info
MarkitSERV

Depository Trust & Clearing Corporation (DTCC)

Winston & Strawn
XVIII. Real Time Reporting

09/27/2010
4:00 PM
More Info
Barclays

Winston & Strawn
XVIII. Real Time Reporting

XXVI. Position Limits

09/27/2010
12:30 PM
More Info
BNP Paribas Fortis
II. Definitions

XVIII. Real Time Reporting

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

09/23/2010
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
11:30 AM
More Info
Barclays Capital

Winston & Strawn
XVIII. Real Time Reporting

09/22/2010
4:00 PM
More Info
FINRA
XVIII. Real Time Reporting

09/22/2010
2:00 PM
More Info
Sullivan & Cromwell

BNP Paribas Commodities
II. Definitions

XVIII. Real Time Reporting

XXVI. Position Limits

XXVIII. Volcker Rule

09/22/2010
1:00 PM
More Info
BNP Paribas
II. Definitions

XVIII. Real Time Reporting

XXVI. Position Limits

XXVIII. Volcker Rule

09/22/2010
12:00 PM
More Info
BNP Paribas

Sullivan & Cromwell
II. Definitions

XVIII. Real Time Reporting

XXVI. Position Limits

XXVIII. Volcker Rule

09/21/2010
11:00 AM
More Info
Horizons Exchange Traded Funds
XVIII. Real Time Reporting

XXVI. Position Limits

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

XVIII. Real Time Reporting

XXVI. Position Limits

09/21/2010
9:30 AM
More Info
U.S. Chamber of Commerce
II. Definitions

V. Capital & Margin

XVIII. Real Time Reporting

09/20/2010
11:30 AM
More Info
Goldman Sachs
XVIII. Real Time Reporting

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)
II. Definitions

V. Capital & Margin

XI. End-user Exception

XVII. Data Recordkeeping

XVIII. Real Time Reporting

XXVI. Position Limits

09/13/2010
3:00 PM
More Info
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

09/10/2010
10:30 AM
More Info
TriOptima
XVI. Swap Data Repositories Registration

XVII. Data Recordkeeping

XVIII. Real Time Reporting
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
09/01/2010
12:00 AM
More Info
DeutscheBank
XVIII. Real Time Reporting

08/30/2010
3:00 PM
More Info
Coalition for Derivatives End Users
II. Definitions

III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards - Internal

V. Capital & Margin

VII. DCO Core Principles

XVII. Data Recordkeeping

XVIII. Real Time Reporting
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
12:00 AM
More Info
Depository Trust & Clearing Corporation (DTCC)
XVIII. Real Time Reporting

08/24/2010
12:00 AM
More Info
CME Clearinghouse
XVIII. Real Time Reporting

08/18/2010
2:00 PM
More Info
FIA
All
08/17/2010
12:00 AM
More Info
TriOptima
XVIII. Real Time Reporting

08/13/2010
11:00 AM
More Info
Morgan Stanley
XVIII. Real Time Reporting
08/13/2010
8:00 AM
More Info
Markit
XVIII. Real Time Reporting
08/12/2010
10:00 AM
More Info
Blue Mountain Capital Management
XVIII. Real Time Reporting
08/10/2010
12:45 PM
More Info
NFA
XVIII. Real Time Reporting
08/10/2010
12:00 AM
More Info
BlackRock
XVIII. Real Time Reporting

08/05/2010
2:00 PM
More Info
BlackRock
All
08/04/2010
12:00 AM
More Info
European Commission
XVIII. Real Time Reporting

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
04/19/2012
Kinetix Trading Solutions Presentation_1548 PDF Image
From External Meeting on 4/19/2012
04/21/2011
04/08/2011
April 11 Mtg. Summary with Rabobank_752 PDF Image
From External Meeting on 4/8/2011
03/01/2011
03/01/2011
Where is the Value in High Frequency Trading? PDF Image
Álvaro Cartea and José Penalva
02/14/2011
Proposed Real-Time Reporting Rules; CFTC RIN 3038?AD08; SEC File No. S7?34?10 PDF Image
Colin D. Lloyd, Cleary Gottlieb Steen & Hamilton LLP
01/18/2011
SBSR Letter PDF Image
Cameron, Tim
12/28/2010
11/24/2010
11/20/2010
11/19/2010
11/17/2010
11/17/2010
OTC Derivative Data November 2010 NASDAQ OMX_334 PDF Image
NASDAQ OMX, From External Meeting on 11/17/2010
10/28/2010
Letter re Swap and Security-Based Swap Execution Facilities PDF Image
Cleary Gottlieb Steen and Hamilton LLP
10/25/2010
Re: Swap Execution Facilities under Dodd-Frank PDF Image
Cleary Gottlieb Steen & Hamilton LLP
10/20/2010
Middleware_10-28_Slides FINAL_262 PDF Image
CIEBA and American Benefits Council, From External Meeting on 10/20/2010
10/19/2010
(10-19-10) Presentation Materials - BlackRock_182 PDF Image
BlackRock, From External Meeting on 10/19/2010
09/28/2010
SDR Real-time reporting 09-28-10 FINAL_101 PDF Image
MarkitSERV, From External Meeting on 9/28/2010
09/20/2010
09/20/2010
Goldman Sachs 9-20-10 RTPR_24 PDF Image
The Goldman Sachs Group, Inc., From External Meeting on 9/20/2010
09/15/2010
09/15/2010
CFTC Agenda - September 15 20101 (2)_26 PDF Image
NFP Energy End User Coalition, From External Meeting on 9/15/2010
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