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Business Conduct Standards - Internal

Date
MEETING WITH
REGARDING RULEMAKING
08/09/2012
2:30 PM
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Bank of America
IV. Business Conduct Standards – Internal

08/01/2012
11:00 AM
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ISDA

Mayer Brown

Morgan Stanley
IV. Business Conduct Standards – Internal

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

IV. Business Conduct Standards – Internal

General

03/08/2012
4:00 PM
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BlackRock
IV. Business Conduct Standards – Internal

03/08/2012
3:00 PM
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ISDA

Morgan Stanley

Goldman Sachs

Citi

J.P. Morgan

Deutsche Bank
IV. Business Conduct Standards – Internal

03/08/2012
11:00 AM
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Fidelity

PIMCO

BlackRock

MFS

Goldman Sachs Asset Management

JP Morgan Asset Management

Wellington

SIFMA Asset Management Group

SIFMA Asset Management Group

SIFMA
IV. Business Conduct Standards – Internal

02/17/2012
2:00 PM
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Morgan Stanley
IV. Business Conduct Standards – Internal

02/16/2012
3:30 PM
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Goldman Sachs
II. Definitions

IV. Business Conduct Standards – Internal

02/16/2012
3:30 PM
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Hess

Nextera Energy

Sutherland

CMC
IV. Business Conduct Standards – Internal

General

02/15/2012
4:00 PM
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Goldman Sachs
IV. Business Conduct Standards – Internal

02/14/2012
4:00 PM
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Cargil
IV. Business Conduct Standards – Internal

02/14/2012
1:00 PM
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SIFMA

FIA

Wilmer Hale

Goldman Sachs & Co.

Bank of America Merrill Lynch
IV. Business Conduct Standards – Internal

02/09/2012
12:00 PM
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Goldman Sachs, Credit Suisse Securities (USA) LLC, J.P. Morgan Securities, Futures Industry Association (FIA), Securities Industry and Financial Markets Association (SIFMA), Pershing, Morgan Stanley & Co., Wilmer Hale, NewEdge, Macquarie Group
IV. Business Conduct Standards – Internal

General

02/09/2012
12:00 PM
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ISDA
IV. Business Conduct Standards – Internal

02/09/2012
10:45 AM
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Goldman Sachs

Credit Suisse Securities (USA) LLC

J. P. Morgan Securities

Futures Industry Association

Securities Industry and Financial Markets Association

Pershing

Morgan Stanley & Co.

Wilmer Hale

NewEdge

Macquarie Group

J.P. Morgan Chase
IV. Business Conduct Standards – Internal

02/08/2012
4:00 PM
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NFA
IV. Business Conduct Standards – Internal

02/07/2012
4:00 PM
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Barclays
IV. Business Conduct Standards – Internal

10/13/2011
9:00 AM
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Compliant Phones
IV. Business Conduct Standards – Internal

XXXI. Conforming Amendments

10/06/2011
10:00 AM
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Markit

MarkitSERV

Latham & Wakins (as counsel)
II. Definitions

IV. Business Conduct Standards – Internal

XIII. SEF Registration

XVII. Data Recordkeeping

XVIII. Real Time Reporting

10/05/2011
1:00 PM
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Shell Energy N.A.

Shell Oil
IV. Business Conduct Standards – Internal

V. Capital & Margin

XXVI. Position Limits

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

II. Definitions

III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards – Internal

V. Capital & Margin

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

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

IV. Business Conduct Standards – Internal

07/18/2011
4:45 PM
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BlackRock
IV. Business Conduct Standards – Internal

VII. DCO Core Principles

07/18/2011
3:30 PM
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Citadel Investment Group

Delta Strategy Group
IV. Business Conduct Standards – Internal

VII. DCO Core Principles

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
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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

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

VII. DCO Core Principles

VIII. Process for Review of Swaps

XIII. SEF Registration

05/18/2011
2:30 PM
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GM, CIEBA, NISA Investment Advisors, U.S. Steel Pension Fund and American Benefits Council
IV. Business Conduct Standards – Internal

05/17/2011
3:00 PM
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IV. Business Conduct Standards – Internal

05/17/2011
11:15 AM
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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
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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
04/12/2011
4:00 PM
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BlackRock
II. Definitions

III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards – Internal

IX. Governance & Possible Limits

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

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

IV. Business Conduct Standards – Internal

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

03/23/2011
2:00 PM
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Markit

MarkitSERV
IV. Business Conduct Standards – Internal

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

03/11/2011
10:00 AM
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US Chamber of Commerce

Delta Strategy Group
IV. Business Conduct Standards – Internal

General

03/09/2011
2:00 PM
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American Benefits Council (ABC), The Committee on Investment of Employee Benefit Assets (CIEBA), United States Steel and Carnegie Pension Fund, NISA Investment Advisors
IV. Business Conduct Standards – Internal

03/09/2011
1:00 PM
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Blackrock
IV. Business Conduct Standards – Internal

VII. DCO Core Principles

03/09/2011
11:00 AM
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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
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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

02/15/2011
10:00 AM
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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
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International Swaps and Derivatives Association, Inc. (ISDA), UBS AG and J.P.Morgan
IV. Business Conduct Standards – Internal

01/14/2011
10:00 AM
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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
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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

11/02/2010
9:00 AM
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CME, Eurex, ICE Clear Europe, ICE Trust US, International Derivatives Clearing Group, Japan Securities Clearing Corporation, LCH.Clearnet Ltd/SwapClear, LCH.Clearnet SA, SGX Asiaclear
IV. Business Conduct Standards - Internal

VI. Segregation and Bankruptcy

VII. DCO Core Principles

10/22/2010
2:30 PM
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The World Bank
II. Definitions

IV. Business Conduct Standards - Internal

09/29/2010
1:00 PM
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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

09/17/2010
1:00 PM
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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

09/14/2010
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
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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
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
08/30/2010
3:00 PM
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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
08/25/2010
1:00 PM
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Hunton & Williams LLP

FPL Group

NextEra Energy

Vitol, Inc.

Constellation Energy

BP North America

DTE Energy Trading, Inc.

Luminant Power

MidAmerican Energy

ConocoPhillips

Direct Energy

Direct Energy Upstream

Hess Corporation
II. Definitions

IV. Business Conduct Standards - Internal

V. Capital & Margin

XXI. Joint Rules w/ SEC
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
02/09/2012
Attendees, SIFMA meeting 2-9-12_1308 PDF Image
From External Meeting on 2/9/2012
10/05/2011
Documents from 10/5 meeting PDF Image
JP Morgan, From External Meeting on 10/5/2011
05/19/2011
OTC Derivative Implementation Discussion Points PDF Image
Javelin, From External Meeting on 5/19/2011
05/17/2011
CCO ex parte summary_788 PDF Image
From External Meeting on 5/17/2011
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
02/14/2011
Portfolio Reconciliation and Dispute Resolution PDF Image
ISDA and JP Morgan, From External Meeting on 2/14/2011
01/18/2011
COMMENT FOR PROPOSED RULE 75 FR 71379 and 75 FR 70152_439 PDF Image
Barclays Capital, From External Meeting on 1/18/2011
01/14/2011
Summary of Foreign Banks Meeting PDF Image
Foreign Banks, From External Meeting on 1/14/2011
11/02/2010
Proposed Agenda PDF Image
OTC Derivatives Regulators' Forum
11/02/2010
Summary PDF Image
OTC Derivatives Regulators' Forum
11/02/2010
Meeting Participants PDF Image
OTC Derivatives Regulators' Forum
11/02/2010
Summary of ODRF meeting_2 -3 Nov_Final_328 PDF Image
OTC Derivatives Regulators Forum, From External Meeting on 11/2/2010
11/02/2010
ODRF_ 2 Nov Agenda_CCP Session (22 October)_328 PDF Image
OTC Derivatives Regulators’ Forum, From External Meeting on 11/2/2010
11/02/2010
ODRF_2 Nov Meeting_CCP Attendees (3 Nov)_328 PDF Image
OTC Derivatives Regulators’ Forum, From External Meeting on 11/2/2010
11/02/2010
SGX Asiaclear_PUBLIC_328 PDF Image
SGX ASIACLEAR, From External Meeting on 11/2/2010
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
Comments of American Benefits Council Provided at 9-17 CFTC Meeting_25 PDF Image
American Benefits Council, From External Meeting on 9/17/2010
09/17/2010
Agenda of 9-17 CFTC-SEC Meeting with Pension Plans_25 PDF Image
American Benefits Council, From External Meeting on 9/17/2010
09/14/2010
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
09/14/2010
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 Grain Farmer Co-op Hedging_7 PDF Image
National Council of Farmer Cooperatives (NCFC), From External Meeting on 9/14/2010
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

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Follow the Status of Enforcement Actions