Font Size: AAA // Print // Bookmark

Registration - Swap Dealers and Major Swap Participants

Date
MEETING WITH
REGARDING RULEMAKING
03/13/2013
12:00 AM
More Info
BP
I. Registration

XXVI. Position Limits

Cross-Border

03/08/2013
4:00 PM
More Info
NFA
I. Registration

02/04/2013
1:30 PM
More Info
ISE

Eurex
I. Registration

XIV. FBOT Registration

01/24/2013
2:00 PM
More Info
Delta Strategy Group
I. Registration

07/27/2012
3:00 PM
More Info
NFA
I. Registration

07/12/2012
11:15 AM
More Info
Societe Generale

Skadden
I. Registration

06/15/2012
8:30 AM
More Info
Davis Polk

Fidelity

Goldman Sachs Asset Management

MFS

PIMCO

SIFMA

SIFMA Asset Management Group

Vanguard
I. Registration

XXVII. Investment Adviser Reporting

06/14/2012
4:00 PM
More Info
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

06/12/2012
11:00 AM
More Info
Nomura
I. Registration

V. Capital & Margin

General

06/08/2012
2:00 PM
More Info
UBS
I. Registration

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

II. Definitions

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

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

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

II. Definitions

III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards – Internal

V. Capital & Margin

10/04/2011
11:00 AM
More Info
NFA
I. Registration

09/28/2011
9:00 AM
More Info
Morgan Stanley
I. Registration

II. Definitions

III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards – Internal

V. Capital & Margin

09/22/2011
10:00 AM
More Info
Goldman Sachs & Co.
I. Registration

II. Definitions

V. Capital & Margin

06/14/2011
1:00 PM
More Info
Mizuho Securities USA, Inc. (MSUSA)

Sherman & Sterling LLP (Sherman & Sterling)

Sapient Global Markets (Sapient)
I. Registration

II. Definitions

III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards – Internal

V. Capital & Margin

05/25/2011
3:00 PM
More Info
Goldman Sachs
I. Registration

II. Definitions

05/19/2011
5:30 PM
More Info
JPMorgan Chase
I. Registration

II. Definitions

05/18/2011
1:00 PM
More Info
Winton Capital

King Street

Tudor

DE Shaw

Serengeti

MFA

Delta
I. Registration

XXVI. Position Limits

05/18/2011
1:00 PM
More Info
Bunge
I. Registration

II. Definitions

05/18/2011
12:00 PM
More Info
Winton Capital

King Street

Tudor

DE Shaw

Serengeti

MFA

Delta Strategies
I. Registration

XXVI. Position Limits

04/28/2011
3:00 PM
More Info
AIMA
I. Registration

VII. DCO Core Principles

XXVI. Position Limits

04/15/2011
11:30 AM
More Info
Goldman Sachs Bank USA
I. Registration

II. Definitions

04/08/2011
4:00 PM
More Info
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

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

03/22/2011
5:00 PM
More Info
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

03/16/2011
3:30 PM
More Info
Institute of International Bankers
I. Registration

II. Definitions

01/28/2011
10:00 AM
More Info
NYSE

Tradeweb

FXall

LCH.Clearnet
I. Registration

VII. DCO Core Principles

IX. Governance & Possible Limits

01/28/2011
9:30 AM
More Info
FXall

LCH.Clearnet

NYSE Euronext

Tradeweb
I. Registration

IX. Governance & Possible Limits

01/27/2011
9:30 AM
More Info
ABASA member banks; Cecilia Calaby, ABASA; Paul Architzel, Wilmer Hale
I. Registration

II. Definitions

01/14/2011
2:00 PM
More Info
Sullivan and Cromwell, LLP
I. Registration

II. Definitions

01/14/2011
10:00 AM
More Info
Barclays Bank plc

BNP Paribas S.A.

Deutsche Bank AG

Societe Generale

The Royal Bank of Scotland Group plc

UBS AG

The Royal Bank of Canada

Davis, Polk, and Wardwell, LLP
I. Registration

II. Definitions

IV. Business Conduct Standards – Internal

12/07/2010
11:00 AM
More Info
Managed Funds Association
I. Registration

II. Definitions

IV. Business Conduct Standards – Internal

V. Capital & Margin

11/15/2010
2:00 PM
More Info
Societe Generale
I. Registration

II. Definitions

IV. Business Conduct Standards - Internal

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
3:00 PM
More Info
Cargill Risk Management
I. Registration

11/09/2010
2:00 PM
More Info
LCH Clearnet
I. Registration

11/09/2010
11:00 AM
More Info
Electric Power Supply Association (EPSA)
I. Registration

II. Definitions

V. Capital & Margin

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
8:30 AM
More Info
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

09/29/2010
1:00 PM
More Info
Natural Gas Supply Association
I. Registration

II. Definitions

III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards - Internal

V. Capital & Margin

VI. Segregation and Bankruptcy

VIII. Process for Review of Swaps

XI. End-user Exception

XXVI. Position Limits

09/29/2010
9:30 AM
More Info
Winton Capital, Managed Funds Association
I. 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

09/15/2010
1:30 PM
More Info
Morgan Stanley
I. Registration

II. Definitions

III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards - Internal

V. Capital & Margin

09/15/2010
12:30 PM
More Info
Morgan Stanley
I. Registration

II. Definitions

III. Business Conduct Standards w/ Counterparties

V. Capital & Margin

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
08/18/2010
2:00 PM
More Info
FIA
All
08/05/2010
2:00 PM
More Info
BlackRock
All
07/30/2010
10:00 AM
More Info
National Futures Association (NFA)
All
Date
SUBMISSION
05/11/2012
bbva handout_1676 PDF Image
From External Meeting on 5/11/2012
10/05/2011
Documents from 10/5 meeting PDF Image
JP Morgan, From External Meeting on 10/5/2011
04/15/2011
Goldman Sachs Meeting Notes 2011 04 15_702 PDF Image
From External Meeting on 4/15/2011
04/08/2011
April 11 Mtg. Summary with Rabobank_752 PDF Image
From External Meeting on 4/8/2011
01/14/2011
Summary of Foreign Banks Meeting PDF Image
Foreign Banks, From External Meeting on 1/14/2011
01/14/2011
Summary of Meeting re Edge Act Banks PDF Image
Edge Act Corporations, From External Meeting on 1/14/2011
09/29/2010
Natural Gas Supply Association PDF Image
Natural Gas Supply Association
09/29/2010
NGSA CFTC Comments_09.28.2010_100 PDF Image
Natural Gas Supply Association (NGSA), From External Meeting on 9/29/2010
09/15/2010
Meeting Summary with Morgan Stanley_14 PDF Image
Morgan Stanley, From External Meeting on 9/15/2010
09/01/2010
dmb argus_72 PDF Image
Argus Oil Market Regulation Summit 2010

See Also:

OpenGov Logo

CFTC's Commitment to Open Government

Gavel and Book

Follow the Status of Enforcement Actions