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Business Conduct Standards with Counterparties

Date
MEETING WITH
REGARDING RULEMAKING
08/20/2013
12:30 PM
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BlackRock

Fidelity

Goldman Sachs Asset Management

Jones Day

MFS

Wellington

SIFMA Asset Management Group
III. Business Conduct Standards w/ Counterparties

06/14/2013
11:30 AM
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Covington

CRT Capital

Faros Trading
III. Business Conduct Standards w/ Counterparties

06/11/2013
9:30 AM
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BOA

Merrill Lynch
III. Business Conduct Standards w/ Counterparties

Cross-Border

05/01/2013
12:00 PM
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BlackRock
III. Business Conduct Standards w/ Counterparties

General

04/24/2013
2:30 PM
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SIFMA Asset Management Group
III. Business Conduct Standards w/ Counterparties

General

04/19/2013
10:45 AM
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State Street
III. Business Conduct Standards w/ Counterparties

General

09/11/2012
10:00 AM
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Morgan Stanley
III. Business Conduct Standards w/ Counterparties

07/17/2012
1:00 PM
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Markit

arkitSERV

M

Markit Valuations

DTCC

Latham & Watkins
III. Business Conduct Standards w/ Counterparties

V. Capital & Margin

General

06/14/2012
10:00 AM
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US Bank
III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards – Internal

General

03/14/2012
11:00 AM
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BP
II. Definitions

III. Business Conduct Standards w/ Counterparties

V. Capital & Margin

XXVI. Position Limits

02/21/2012
4:00 PM
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Consumer Federation of America

Better Markets, Inc.
III. Business Conduct Standards w/ Counterparties

02/21/2012
10:00 AM
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Consumer Federation of America

Better Markets, Inc.
II. Definitions

III. Business Conduct Standards w/ Counterparties

02/21/2012
9:00 AM
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Consumer Federation of America ("CFA")

Better Markets, Inc.
III. Business Conduct Standards w/ Counterparties

02/16/2012
10:00 AM
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BlackRock
II. Definitions

III. Business Conduct Standards w/ Counterparties

VIII. Process for Review of Swaps

General

02/08/2012
12:00 AM
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Commodity Markets Oversight Council Coalition:

New England Fuel Institute

Maryknoll

Better Markets

American Public Gas Association

Petroleum Marketers Association of America

American Feed Industry Association

National Farmers Union

Airlines for America

National Council of Chain Restaurants

Americans for Financial Reform

Institute for Agriculture & Trade Policy

Clark & Weinstock

Consumer Federation of America

New York Oil Heating Association

University of Maryland

American Bakers' Association

National Association of Shell Marketrs

American Trucking Association

Institute for Agriculture & Trade Policy
III. Business Conduct Standards w/ Counterparties

XXVI. Position Limits

XXVIII. Volcker Rule

General

01/17/2012
12:00 PM
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Goldman Sachs
III. Business Conduct Standards w/ Counterparties

General

01/10/2012
5:10 PM
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Skadden Arps
III. Business Conduct Standards w/ Counterparties

01/09/2012
2:00 PM
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Consumer Federation of America (CFA)

Americans for Financial Reform (AFR)

American Federation of State, County and Municipal Employees (AFSCME)

AFL-CIO Office of Investment
III. Business Conduct Standards w/ Counterparties

01/09/2012
11:00 AM
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Committee on Investment of Employee Benefit Assets (CIEBA)

American Benefits Council (ABC) 

European Pension Federation (EFRP)

Franklin Advisors, Inc.

General Motors Pension Fund

NISA Investment Advisors
III. Business Conduct Standards w/ Counterparties

01/06/2012
1:00 PM
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Morgan Stanley
III. Business Conduct Standards w/ Counterparties

VI. Segregation and Bankruptcy

01/06/2012
12:00 PM
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Morgan Stanley
III. Business Conduct Standards w/ Counterparties

General

01/05/2012
4:30 PM
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BlackRock

Davis Polk

Fidelity

GM Asset Management

Goldman Sachs Asset Management

SIFMA

SIFMA Asset Management Group
III. Business Conduct Standards w/ Counterparties

VI. Segregation and Bankruptcy

01/05/2012
4:00 PM
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BlackRock

Davis Polk

Fidelity

GM Asset Management

Goldman Sachs Asset Management

SIFMA
III. Business Conduct Standards w/ Counterparties

01/05/2012
3:00 PM
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ISDA

Morgan Stanley

J.P. Morgan

Goldman Sachs

Mayer Brown
III. Business Conduct Standards w/ Counterparties

VI. Segregation and Bankruptcy

01/05/2012
2:45 PM
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BlackRock

Davis Polk

Fidelity

GM Asset Management

Goldman Sachs Asset Management

SIFMA Asset Management Group
III. Business Conduct Standards w/ Counterparties

01/05/2012
2:00 PM
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J.P. Morgan Chase
III. Business Conduct Standards w/ Counterparties

01/05/2012
2:00 PM
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American Benefits Council (ABC)

The Committee on Investment of Employee Benefit Assets (CIEBA)

General Motors Investment Managment Corp. (GMIMCO)

Xerox

Weyerhaeuser

Chrysler

Lockheed Martin

IBM

Venable

Skadden

Davis & Harman
III. Business Conduct Standards w/ Counterparties

01/05/2012
1:30 PM
More Info
Skadden

GMIMCO

Xerox

Lockheed Martin

IBM

ABC

CIEBA

Davis & Harman, behalf of Chrysler

Chris Condeluci Venable, on behalf of Chrysler

Jordan Moon Chrysler

Fred Miller, Weyerhaeuser
III. Business Conduct Standards w/ Counterparties

01/05/2012
1:00 PM
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BlackRock

Davis Polk

Fidelity

Goldman Sachs Assest Managment

SIFMA

SIFMA Assest Managment Group
III. Business Conduct Standards w/ Counterparties

01/05/2012
1:00 PM
More Info
Skadden, Arps, Slate, Meagher & Flom LLP

General Motors Investment Management Corporation Outsources (GMIMCO)

Xerox

Lcokheed Martin

IBM

ABC

Committee on the Investment of Employee Benefit Assets (CIEBA)

Davis-Harman

Venable
III. Business Conduct Standards w/ Counterparties

01/05/2012
11:15 AM
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California Public Employees' Retirement System

Teachers Retirement System of Texas

State of Wisconsin Investment Board

Lussier, Gregor, Vienna & Assoiciates
III. Business Conduct Standards w/ Counterparties

VI. Segregation and Bankruptcy

01/05/2012
10:00 AM
More Info
American Benefits Council

Committee on Investment of Employee Benefits

NISA Investment Advisors

Skadden, Arps

Xerox

Lockheed Martin

IBM

Venable
III. Business Conduct Standards w/ Counterparties

11/03/2011
2:00 PM
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Consumer Federation of America (CFA)

Americans for Financial Reform (AFR)
III. Business Conduct Standards w/ Counterparties

10/14/2011
6:00 PM
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Americans for Financial Reform (AFR)
III. Business Conduct Standards w/ Counterparties

10/13/2011
9:00 AM
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Consumer Federation of America (CFA)

Americans for Financial Reform (AFR)

Better Markets
III. Business Conduct Standards w/ Counterparties

10/06/2011
5:00 PM
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Consumer Federation of America (CFA)
III. Business Conduct Standards w/ Counterparties

10/05/2011
10:45 AM
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Califiornia Public Employees' Retirement System (CalPERS)

Colorado Public Employees' Retirement Association (Colorado PERA)

Missouri State Employees' Retirement System (MOSERS)

State of Wisconsin Investment Board (SWIB)

Teacher Retirement System of Texas (TRS)
III. Business Conduct Standards w/ Counterparties

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
2:20 PM
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The Church Alliance
II. Definitions

III. Business Conduct Standards w/ Counterparties

XI. End-user Exception

10/04/2011
12:00 PM
More Info
Senator Johnson and Representative Frank
III. Business Conduct Standards w/ Counterparties

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

09/21/2011
3:00 PM
More Info
Consumer Federation of America (CFA)

Americans for Financial Reform (AFR)

Better Markets
III. Business Conduct Standards w/ Counterparties

09/19/2011
4:00 PM
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Teacher Retirement System of Texas (TRS)

Missouri State Employees' Retirement System (MOSERS)

California Public Employees' Retirement System (CalPERS)

State of Wisconsin Investment Board (SWIB)

Lussier, Gregor, Vienna & Assoc.

NISA Investment Advisers (NISA)

Delta Strategy Group (DSG)
III. Business Conduct Standards w/ Counterparties

09/16/2011
12:00 PM
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Consumer Federation of America (CFA)

Americans for Financial Reform (AFR)

Better Markets
III. Business Conduct Standards w/ Counterparties

09/15/2011
2:30 PM
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American Benefits Council (ABC)

Committee on Investment of Employee Benefit Assets (CIEBA)
III. Business Conduct Standards w/ Counterparties

09/09/2011
1:30 PM
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Church Alliance
II. Definitions

III. Business Conduct Standards w/ Counterparties

XI. End-user Exception

09/09/2011
10:30 AM
More Info
Church Alliance
III. Business Conduct Standards w/ Counterparties

09/08/2011
2:00 PM
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Russell Investments (Russell)
III. Business Conduct Standards w/ Counterparties

09/07/2011
3:00 PM
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Andrew Kalotay Associates, Inc.
III. Business Conduct Standards w/ Counterparties

09/01/2011
2:00 PM
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City and County of San Francisco (SF)
III. Business Conduct Standards w/ Counterparties

08/30/2011
2:30 PM
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Consumer Federation of America (CFA)
III. Business Conduct Standards w/ Counterparties

08/30/2011
12:30 PM
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BlackRock
III. Business Conduct Standards w/ Counterparties

08/30/2011
11:30 AM
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American Benefits Council (ABC)

The Committee on the Investment of Employee Benefit Assets (CIEBA)
III. Business Conduct Standards w/ Counterparties

08/30/2011
10:50 AM
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Senator Carl Levin
III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards – Internal

08/29/2011
7:30 PM
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Consumer Federation of America (CFA)

Americans for Financial Reform (AFR)
III. Business Conduct Standards w/ Counterparties

08/29/2011
3:00 PM
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Tennessee Office of the Comptroller of the Treasury (TOCT)
III. Business Conduct Standards w/ Counterparties

08/16/2011
12:00 PM
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Delta Strategy Group (DSG)
III. Business Conduct Standards w/ Counterparties

07/22/2011
10:00 AM
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National Futures Association (NFA)

Municipal Securities Rulemaking Board (MSRB)
III. Business Conduct Standards w/ Counterparties

07/12/2011
10:00 AM
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Russell Investments
III. Business Conduct Standards w/ Counterparties

07/06/2011
10:00 AM
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Securities Industry and Financial Markets Association (“SIFMA”)

Goldman Sachs

Morgan Stanley
III. Business Conduct Standards w/ Counterparties

06/22/2011
1:30 PM
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Securities Industry and Financial Markets Association (“SIFMA”)

Goldman Sachs

Morgan Stanley
III. Business Conduct Standards w/ Counterparties

06/22/2011
11:15 AM
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Skadden Arps
III. Business Conduct Standards w/ Counterparties

06/21/2011
4:00 PM
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MOSERS

COPERA

SWIB

VRS

CalPERS

TRST
III. Business Conduct Standards w/ Counterparties

06/21/2011
11:00 AM
More Info
CalPERS
III. Business Conduct Standards w/ Counterparties

V. Capital & Margin

XXVI. Position Limits

06/21/2011
10:00 AM
More Info
Missouri State Employees Retirement System (MOSERS)

Public Employees’ Retirement Association of Colorado (COPERA)

State of Wisconsin Investment Board (SWIB)

Virginia Retirement Systems (VRS)

California Public Employees' Retirement System (CalPERS)

Teachers Retirement System of Texas (TRST)

Delta Strategy Group (DSG)

Lussier, Gregor, Vienna & Associates
III. Business Conduct Standards w/ Counterparties

06/21/2011
9:15 AM
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Skadden Arps
III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards – Internal

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

06/09/2011
11:00 AM
More Info
Securities Industry and Financial Markets Association (“SIFMA”)

Goldman Sachs

Morgan Stanley

Nomura

Deutsche Bank
III. Business Conduct Standards w/ Counterparties

06/06/2011
8:00 PM
More Info
American Benefits Counsel (ABC)

Davis Harman
III. Business Conduct Standards w/ Counterparties

06/03/2011
9:00 AM
More Info
American Benefits Council (ABC), Committee on Investment of Employee Benefit Assets (CIEBA), Skadden Arps, Lockheed Martin, Venable, Chrysler, Xerox, IBM, Ford, Weyerhaeuser, General Motors (GM), NISA Investment Advisors, Davis Harman
III. Business Conduct Standards w/ Counterparties

06/01/2011
3:00 PM
More Info
Skadden

American Benefits Council (ABC)

Committee on Investment of Employee Benefit Assets (CIEBA)
III. Business Conduct Standards w/ Counterparties

05/26/2011
11:00 AM
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Securities Industry and Financial Markets Association (“SIFMA”)

Goldman Sachs

Morgan Stanley

Nomura

Deutsche Bank
III. Business Conduct Standards w/ Counterparties

05/17/2011
9:30 AM
More Info
Skadden, Arps, Slate, Meagher & Flom LLP (Skadden) 

American Benefits Council (ABC)

Committee on Investment of Employee Benefit Assets (CIEBA)
III. Business Conduct Standards w/ Counterparties

05/04/2011
9:30 AM
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Reval

LTD Group (LTD)
III. Business Conduct Standards w/ Counterparties

V. Capital & Margin

04/12/2011
4:00 PM
More Info
BlackRock
II. Definitions

III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards – Internal

IX. Governance & Possible Limits

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

04/05/2011
2:00 PM
More Info
Morgan Stanley
III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards – Internal

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

03/15/2011
5:30 PM
More Info
U.S. Department of Labor, Employee Benefits Security Administration (EBSA)
III. Business Conduct Standards w/ Counterparties

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
More Info
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
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

02/18/2011
3:00 PM
More Info
Sullivan & Cromwell LLP (Sullivan)

Canada Pension Plan Investment Board (CPPIB)
III. Business Conduct Standards w/ Counterparties

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

02/10/2011
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

02/10/2011
9:00 AM
More Info
Winston & Strawn LLP

United Technologies

U.S. Steel & Carnegie Pension Fund

NISA Investment Advisors, LLC

Davis & Harman LLP

American Benefits Council (ABC)

Committee on Investment of Employee Benefit Assets (CIEBA)

Skadden, Arps
III. Business Conduct Standards w/ Counterparties

02/09/2011
3:55 PM
More Info
Skadden
III. Business Conduct Standards w/ Counterparties

01/19/2011
2:30 PM
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National Rural Electric Cooperative Association

American Public Power Association

American Public Gas Association

Large Public Power Council

ACES Power Marketing

Schiff Hardin LLP

Wilmer Cutler Pickering Hale and Dorr LLP
III. Business Conduct Standards w/ Counterparties

11/18/2010
10:00 AM
More Info
General Motors (GM)

Davis & Harman (DM)

NISA Investment Advisors (NISA)

Association for Financial Professionals (AFP)

Skadden (S)

American Benefits Council (ABC)

Winston & Strawn (WS)
II. Definitions

III. Business Conduct Standards w/ Counterparties

VI. Segregation and Bankruptcy

XVI. Swap Data Repositories Registration

11/17/2010
3:00 PM
More Info
General Motors (GM)

NISA Investment Advisors (NISA)

Association for Financial Professionals (AFP)

American Benefits Council (ABC)

Skadden (S)

Winston & Strawn (WS)
II. Definitions

III. Business Conduct Standards w/ Counterparties

XI. End-user Exception

11/12/2010
12:30 PM
More Info
CIEBA

American Benefits Council
II. Definitions

III. Business Conduct Standards w/ Counterparties

XVI. Swap Data Repositories Registration

XVII. Data Recordkeeping

11/04/2010
11:00 AM
More Info
The Committee of Annuity Insurers
III. Business Conduct Standards w/ Counterparties

10/21/2010
2:00 PM
More Info
American Benefits Council

Committee on Investment of Employee Benefit Assets (CIEBA)

 

General Motors

Boeing

United Technologies Corporation (UTC)

NISA Investment Advisors
III. Business Conduct Standards w/ Counterparties

10/14/2010
11:30 AM
More Info
Morgan Stanley
III. Business Conduct Standards w/ Counterparties

10/14/2010
11:15 AM
More Info
American Benefits Council

Specialists In Employee Benefit Administration, Ltd. (SIEBA)
III. Business Conduct Standards w/ Counterparties

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

09/27/2010
3:00 PM
More Info
Counterparty Risk Management Policy Group (CRMPG)

Goldman Sachs
III. Business Conduct Standards w/ Counterparties

09/27/2010
11:30 AM
More Info
American Benefits Council
III. Business Conduct Standards w/ Counterparties

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
9:30 AM
More Info
Consumer Federation of America
II. Definitions

III. Business Conduct Standards w/ Counterparties

09/17/2010
1:00 PM
More Info
American Benefits Council

General Dynamics

GM Asset Management

NISA Investment Advisors LLC

CIEBA

Davis & Harman LLP

Skadden
II. Definitions

III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards - Internal

IX. Governance & Possible Limits

XI. End-user Exception

XVI. Swap Data Repositories Registration

XVII. Data Recordkeeping

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

09/14/2010
2:30 PM
More Info
National Consumers League
III. Business Conduct Standards w/ Counterparties

XXVI. Position Limits

09/14/2010
10:00 AM
More Info
National Council of Farmer Cooperatives

Land O'Lakes

Growmark

Dairy Farmers of America

CHS, Inc.
II. Definitions

III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards - Internal

V. Capital & Margin

XI. End-user Exception

XIX. Agricultural Swaps

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

09/01/2010
4:15 PM
More Info
Swap Financial Group
III. Business Conduct Standards w/ Counterparties
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
3:00 PM
More Info
Swap Financial Group
III. Business Conduct Standards w/ Counterparties
08/30/2010
5:00 PM
More Info
AirTran Airways
III. Business Conduct Standards w/ Counterparties

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
08/30/2010
12:00 PM
More Info
Groom Law Group

National Association of State Retirement Administrations, NASRA

National Council on Teacher Retirement

Mosier's

State Workforce Investment Board (SWIB)
III. Business Conduct Standards w/ Counterparties
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
11:00 AM
More Info
International Swaps and Derivatives Association, Inc., ISDA

Mayer Brown

JPMorgan Chase & Co.

Morgan Stanley
III. Business Conduct Standards w/ Counterparties
08/25/2010
3:30 PM
More Info
Securities Industry & Financial Markets Association (SIFMA)
III. Business Conduct Standards w/ Counterparties
08/24/2010
5:00 PM
More Info
Southwest Airlines
III. Business Conduct Standards w/ Counterparties

XI. End-user Exception

08/24/2010
3:30 PM
More Info
NFA
III. Business Conduct Standards w/ Counterparties
08/24/2010
1:30 PM
More Info
National Association of College and University Business Officers (NACUBO)
III. Business Conduct Standards w/ Counterparties
08/23/2010
12:00 PM
More Info
D.E. Shaw
III. Business Conduct Standards w/ Counterparties
08/20/2010
3:00 PM
More Info
MFA

HBK
III. Business Conduct Standards w/ Counterparties
08/19/2010
4:00 PM
More Info
Citigroup
III. Business Conduct Standards w/ Counterparties
08/19/2010
10:00 AM
More Info
Goldman Sachs
III. Business Conduct Standards w/ Counterparties
08/18/2010
2:00 PM
More Info
FIA
All
08/18/2010
10:00 AM
More Info
Blackrock
III. Business Conduct Standards w/ Counterparties
08/13/2010
12:00 PM
More Info
National Association of Treasurers (TN, CT)

National Association of State Auditors, Comptrollers and Treasurers (MD, WA)

Government Finance Officers Association (NYC,Centur, MTA, Sacramento Utility, Empire State Developement Corporation)
III. Business Conduct Standards w/ Counterparties
08/12/2010
2:00 PM
More Info
State of Wisconsin Investment Board (SWIB)

Iowa Public Employees' Retirement System (IPERS)

Lussier, Gregor, Vienna & Associates (CGVA)

National Council on Teacher Retirement (NCTR)

Missouri State Employees' Retirement System (MIPERS)

PA Public Employees' Retirement System (PAPERS)

State of Maryland, Financial Policy

California Public Employees' Retirement System (CALPERS)

State of Wisconsin Investment Board, Fixed Income Portfolio
III. Business Conduct Standards w/ Counterparties
08/12/2010
10:00 AM
More Info
Air Transport Control (ATA)

Continental Airlines

Alaska Air Group

United Airlines
III. Business Conduct Standards w/ Counterparties
08/11/2010
4:30 PM
More Info
American Public Gas Association (APGA)

Municipal Gas Authority of Georgia

Colorado Springs Ultilities
III. Business Conduct Standards w/ Counterparties

08/09/2010
3:00 PM
More Info
Consumer Federation of America (CFA)

American Federation of State, County and Municipal Employees (AFSCME)

Service Employees International Union (SEIU)

American Federation of Labor and Congress of Industrial Organizations (AFL-CIO)
III. Business Conduct Standards w/ Counterparties
08/09/2010
1:00 PM
More Info
Swap Financial Group
III. Business Conduct Standards w/ Counterparties
08/06/2010
12:00 PM
More Info
CME Group (CME)
III. Business Conduct Standards w/ Counterparties

08/05/2010
2:00 PM
More Info
BlackRock
All
08/05/2010
11:00 AM
More Info
Intercontinental Exchange (ICE)
III. Business Conduct Standards w/ Counterparties
08/05/2010
10:00 AM
More Info
Municipal Securities Rulemaking Board (MSRB)
III. Business Conduct Standards w/ Counterparties
08/04/2010
10:00 AM
More Info
NFA
III. Business Conduct Standards w/ Counterparties
08/03/2010
4:00 PM
More Info
FINRA
III. Business Conduct Standards w/ Counterparties
07/30/2010
10:00 AM
More Info
National Futures Association (NFA)
All
Date
SUBMISSION
11/03/2011
11-3-11 AFR CFA CFTC Business Conduct Letter_1128 PDF Image
From External Meeting on 11/3/2011
10/05/2011
Re: SEC-CFTC and Pension Fund Meeting on Business Conduct Standards PDF Image
CALPERS, CPERA, WIB, TRST, MSERS, From External Meeting on 10/5/2011
10/05/2011
Documents from 10/5 meeting PDF Image
JP Morgan, From External Meeting on 10/5/2011
10/04/2011
Church Alliance Cover Letter PDF Image
Church Alliance, From External Meeting on 10/4/2011
10/04/2011
The Church Alliance Follow Up to Meeting on September 9 at CFTC PDF Image
Church Alliance, From External Meeting on 10/4/2011
10/04/2011
Special Entity Definition – Opt-In for Church Plans PDF Image
Church Group, From External Meeting on 10/4/2011
10/04/2011
Church Plans – Definitions and Legislative History PDF Image
Church Alliance, From External Meeting on 10/4/2011
10/04/2011
061_JohnsFrank_1094 PDF Image
From External Meeting on 10/4/2011
09/15/2011
Agency exemptive authority PDF Image
ABC-CIEBA, From External Meeting on 9/15/2011
09/09/2011
Proposed Agenda for CFTC Meeting PDF Image
Church Alliance, From External Meeting on 9/9/2011
09/09/2011
The Church Alliance: A History PDF Image
Church Alliance, From External Meeting on 9/9/2011
09/07/2011
SEC Hearing on The State of Municipal Securities Market PDF Image
Andrew Kalotay Associates, From External Meeting on 9/7/2011
08/30/2011
Re: Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants (File No. S7-25-11) PDF Image
Consumer Federation of America / Americans for Financial Reform, From External Meeting on 8/30/2011
08/29/2011
Re: Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants (File No. S7-25-11) PDF Image
Consumer Federation of America / Americans for Financial Reform, From External Meeting on 8/29/2011
06/06/2011
FW: CFTC meeting regarding the business conduct standards PDF Image
American Benefits Council, From External Meeting on 6/6/2011
04/12/2011
SDs and MSPs Should Not be Treated as Identical Twins PDF Image
BlackRock, From External Meeting on 4/12/2011
04/08/2011
April 11 Mtg. Summary with Rabobank_752 PDF Image
From External Meeting on 4/8/2011
10/29/2010
The Fiduciary Reference PDF Image
The Committee for the Fiduciary Standard
10/22/2010
10/22/2010
10/14/2010
Morgan Stanley Agenda_173 PDF Image
Morgan Stanley, From External Meeting on 10/14/2010
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
09/17/2010
Agenda of 9-17 CFTC-SEC Meeting with Pension Plans_25 PDF Image
American Benefits Council, From External Meeting on 9/17/2010
09/17/2010
Comments of American Benefits Council Provided at 9-17 CFTC Meeting_25 PDF Image
American Benefits Council, From External Meeting on 9/17/2010
09/15/2010
Meeting Summary with Morgan Stanley_14 PDF Image
Morgan Stanley, From External Meeting on 9/15/2010
09/14/2010
NCFC Grain Farmer Co-op Hedging_7 PDF Image
National Council of Farmer Cooperatives (NCFC), From External Meeting on 9/14/2010
09/14/2010
NCFC Fuel Farmer Co-op Hedging_7 PDF Image
National Council of Farmer Cooperatives (NCFC), From External Meeting on 9/14/2010
09/14/2010
NCFC Hedging Fertilizer_7 PDF Image
National Council of Farmer Cooperatives (NCFC), From External Meeting on 9/14/2010
09/14/2010
NCFC Hedging Dairy_7 PDF Image
National Council of Farmer Cooperatives (NCFC), From External Meeting on 9/14/2010
09/14/2010
Dodd-Frank OTC Derivatives 2010_7 PDF Image
National Council of Farmer Cooperatives (NCFC), From External Meeting on 9/14/2010
09/08/2010
09/02/2010
09/01/2010
dmb argus_72 PDF Image
Argus Oil Market Regulation Summit 2010
08/31/2010
08/30/2010
Email PDF Image
Peter Shapiro
08/30/2010
08/25/2010
08/13/2010
Tennessee SWAP GuidelinesBanking Committee PDF Image
Tennessee Comptroller of the Treasury
08/12/2010
08/09/2010
08/09/2010
A Special Investigation of the Bethlehem Area School District, Lehigh/Northampton Counties PDF Image
Americans for Financial Reform (AFR), Consumer Federation of America (CFA), AFL-CIO, AFSCME, and SEIU
08/09/2010
Agenda for SEC Meeting PDF Image
Americans for Financial Reform (AFR), Consumer Federation of America (CFA), AFL-CIO, AFSCME, and SEIU
08/09/2010
08/05/2010
08/05/2010
08/04/2010

See Also:

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