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Registration - Swap Dealers and Major Swap Participants

Date
MEETING WITH
REGARDING RULEMAKING
03/30/2016
10:00 AM
More Info
American Bankers Association (ABA)

BB&T Corporation

BOK Financial

Comerica Bank

Huntington National Bank

Regions Bank
I. Registration

II. Definitions

02/24/2016
3:00 PM
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RGM Advisors

Deutsche Bank Securities

Delta Strategy Group

DRW Trading Group
I. Registration

XXIV. Disruptive Trading Practices

02/24/2016
2:00 PM
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FIA; Delta Strategies; Deutsche Bank Securities; FIA PTG; RGM Advisors
I. Registration

XXIV. Disruptive Trading Practices

02/22/2016
1:15 PM
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Modern Markets Initiative (MMI); Global Trading Systems; DLA Piper
I. Registration

XXIV. Disruptive Trading Practices

01/28/2016
2:30 PM
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Modern Markets Initiative

Global Trading Systems

DLA Piper
I. Registration

XXIV. Disruptive Trading Practices

01/28/2016
2:30 PM
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Modern Markets Initiative

DLA Piper
I. Registration

XXIV. Disruptive Trading Practices

01/19/2016
3:00 PM
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EPSA

Sutherland

EEI

Southern Co

Gibson Dunn

GE

AGA
I. Registration

XXIV. Disruptive Trading Practices

Automated Trading

01/15/2016
11:00 AM
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ICE
I. Registration

XXIV. Disruptive Trading Practices

01/12/2016
2:00 PM
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NextEra Energy

Delta Strategy Group
I. Registration

II. Definitions

01/12/2016
1:00 PM
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NextEra Energy, Inc.

Delta Strategy Group
I. Registration

II. Definitions

12/01/2015
4:00 PM
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Macquarie (Macquarie)
I. Registration

II. Definitions

V. Capital & Margin

11/12/2015
12:00 PM
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NextEra Energy, Inc. (NextEra Energy)

Capitol Counsel LLC (Capitol Counsel)
I. Registration

II. Definitions

03/13/2013
12:00 AM
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BP
I. Registration

XXVI. Position Limits

Cross-Border

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

02/04/2013
1:30 PM
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ISE

Eurex
I. Registration

XIV. FBOT Registration

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

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

07/12/2012
11:15 AM
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Societe Generale

Skadden
I. Registration

06/15/2012
8:30 AM
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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
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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

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

V. Capital & Margin

General

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

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

II. Definitions

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

09/28/2011
9:00 AM
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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
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Goldman Sachs & Co.
I. Registration

II. Definitions

V. Capital & Margin

06/14/2011
1:00 PM
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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
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Goldman Sachs
I. Registration

II. Definitions

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

II. Definitions

05/18/2011
1:00 PM
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Winton Capital

King Street

Tudor

DE Shaw

Serengeti

MFA

Delta
I. Registration

XXVI. Position Limits

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

II. Definitions

05/18/2011
12:00 PM
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Winton Capital

King Street

Tudor

DE Shaw

Serengeti

MFA

Delta Strategies
I. Registration

XXVI. Position Limits

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

VII. DCO Core Principles

XXVI. Position Limits

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

II. Definitions

03/31/2011
3:00 PM
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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
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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
03/16/2011
3:30 PM
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Institute of International Bankers
I. Registration

II. Definitions

01/28/2011
10:00 AM
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NYSE

Tradeweb

FXall

LCH.Clearnet
I. Registration

VII. DCO Core Principles

IX. Governance & Possible Limits

01/28/2011
9:30 AM
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FXall

LCH.Clearnet

NYSE Euronext

Tradeweb
I. Registration

IX. Governance & Possible Limits

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

II. Definitions

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

II. Definitions

IV. Business Conduct Standards – Internal

V. Capital & Margin

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

II. Definitions

IV. Business Conduct Standards - Internal
11/10/2010
9:30 AM
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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
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Cargill Risk Management
I. Registration

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

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

II. Definitions

V. Capital & Margin

10/08/2010
10:00 AM
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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
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J.P. Morgan Chase & Co.
I. Registration

II. Definitions

V. Capital & Margin

VI. Segregation and Bankruptcy

VII. DCO Core Principles

VIII. Process for Review of Swaps

IX. Governance & Possible Limits

X. Systemically Important DCO Rules

XI. End-user Exception

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

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

III. Business Conduct Standards w/ Counterparties

XIII. SEF Registration

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
08/18/2010
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
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 PDF Image
Rabobank Nederland, From External Meeting on 4/8/2011
01/14/2011
Summary of Meeting re Edge Act Banks PDF Image
Edge Act Corporations, From External Meeting on 1/14/2011
01/14/2011
Summary of Foreign Banks Meeting PDF Image
Foreign Banks, 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:

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CFTC's Commitment to Open Government

Gavel and Book

Follow the Status of Enforcement Actions