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Capital & Margin

Date
MEETING WITH
REGARDING RULEMAKING
05/14/2013
12:00 AM
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Sobba Public, LLC

Virtu Financial
V. Capital & Margin

02/20/2013
3:00 PM
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Newedge
V. Capital & Margin

01/30/2013
2:30 PM
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Nomura
V. Capital & Margin

Cross-Border

General

11/20/2012
1:00 PM
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INTL Handley
V. Capital & Margin

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

XVIII. Real Time Reporting

10/18/2012
11:00 AM
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Markit, MarkitSERV
V. Capital & Margin

10/17/2012
11:00 AM
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Bank of America Merrill Lynch
V. Capital & Margin

09/25/2012
3:00 PM
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American Public Gas Association (APGA)
V. Capital & Margin

09/18/2012
10:30 AM
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Noble Americas Corp.
V. Capital & Margin

09/17/2012
1:30 PM
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Noble Energy Inc.
V. Capital & Margin

09/11/2012
12:00 PM
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Alernative Investment Management Association (AIMA)
V. Capital & Margin

General

08/16/2012
2:00 PM
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Chatham Financial
V. Capital & Margin

Clearing Requirement

07/18/2012
2:00 PM
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Noble Energy
V. Capital & Margin

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

07/17/2012
10:00 AM
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Markit/MarkitSERV/DTCC
V. Capital & Margin

07/16/2012
2:00 PM
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HETCO

Hess

Cadwalader

Delta Strategy Group
V. Capital & Margin

General

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

V. Capital & Margin

General

05/16/2012
2:00 PM
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Natural Gas Supply Association
V. Capital & Margin

05/07/2012
11:00 AM
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Nomura
V. Capital & Margin

General

04/16/2012
4:00 PM
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Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
II. Definitions

V. Capital & Margin

XI. End-user Exception

04/10/2012
1:00 PM
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SIFMA
V. Capital & Margin

03/22/2012
3:00 PM
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Macquarie Group
V. Capital & Margin

03/22/2012
11:00 AM
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HETCO
V. Capital & Margin

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

03/14/2012
10:00 AM
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LCH.Clearnet
V. Capital & Margin

VII. DCO Core Principles

VIII. Process for Review of Swaps

03/01/2012
2:00 PM
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CIEBA

American Benefits Council
V. Capital & Margin

03/01/2012
9:00 AM
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Companies in the oil & gas industry and financial companies engaged in swaps with energy market participants.
II. Definitions

V. Capital & Margin

XI. End-user Exception

General

02/23/2012
1:00 PM
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National Association of Insurance Commissioners
V. Capital & Margin

02/23/2012
11:00 AM
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Karson Management

Mayer Brown
V. Capital & Margin

01/26/2012
9:00 AM
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Swiss Re

Deloitte
V. Capital & Margin

11/30/2011
10:00 AM
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John Deere, Caterpillar, Boeing, Siemens, Volvo, Toyota, Ford, GM, Honda
V. Capital & Margin

11/09/2011
11:30 AM
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BlackRock

Fidelity Investments

Goldman Sachs Asset Management

MFS

PIMCO

SIFMA

Vanguard

Wellington

Davis Polk and Wardwell
V. Capital & Margin

10/20/2011
1:00 PM
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American Council of Life Insurers (ACLI)

ING

MetLife

Prudential Financial
V. Capital & Margin

10/13/2011
11:30 AM
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ABN AMRO, Amalgamated Metal Trading, Bank of America Merrill Lynch, BP Oil International, Citigroup, CME Group, Credit Suisse Securities, Deutsche Bank, Elliott Advisors, FOA, Goldman Sachs, ICE Futures, IG Group, JP Morgan, London Stock Exchange, Marex Financial, Monument Securities, Morgan Stanley, Natixis Commodity Markets, NYSE LIFFE, RWE Supply Trading, UBS
II. Definitions

V. Capital & Margin

VII. DCO Core Principles

XII. DCM Core Principles

XXVI. Position Limits

10/06/2011
10:00 AM
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Independent Community Bankers of America (ICBA)
V. Capital & Margin

10/05/2011
2:00 PM
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Shell
V. Capital & Margin

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

10/04/2011
4:30 PM
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Macquarie Holdings (U.S.A) Inc. (MH)

Macquarie Group (MG)

Macquarie Group Limited (MGL)

Sullivan & Cromwell
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

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

II. Definitions

V. Capital & Margin

09/21/2011
1:45 PM
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Principal Life Insurance Company (Principal)
V. Capital & Margin

09/21/2011
9:00 AM
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Principal Financial Group
V. Capital & Margin

09/14/2011
4:00 PM
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UBS Americas, Inc.
II. Definitions

V. Capital & Margin

XII. DCM Core Principles

XIII. SEF Registration

09/07/2011
11:30 AM
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Nomura
V. Capital & Margin

General

09/07/2011
10:00 AM
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BP (BP)

North America Gas & Power (NAGP)
V. Capital & Margin

09/01/2011
3:30 PM
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TMX Group

Natural Gas Exchange
V. Capital & Margin

VIII. Process for Review of Swaps

General

09/01/2011
1:30 PM
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TMX Group

Natural Gas Exchange
V. Capital & Margin

VIII. Process for Review of Swaps

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

07/21/2011
3:05 PM
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Chatham Financial
V. Capital & Margin

XI. End-user Exception

07/21/2011
9:00 AM
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Goldman Sachs
II. Definitions

V. Capital & Margin

07/12/2011
9:30 AM
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Height Analytics

Brigade Capital Management

Glenview Capital Management

Fir Tree Partners

Thompson, Siegel and Walmsley
V. Capital & Margin

XXVI. Position Limits

General

07/07/2011
10:30 AM
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UBS AG

UBS Americas LLC

UBS Securities LLC
V. Capital & Margin

07/06/2011
3:00 PM
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Chatham Financial (Chatham)

Commodity Markets Council

Financial Executives International

National Association of Manufacturers (NAM)

Chamber of Commerce

GE Capital

John Deere

Constellation

Proctor and Gamble

IBM

BP

Energy Futures Holding

Real Estate Roundtable 

Gibson, Dunn & Crutcher LLP (Gibson Dunn)
V. Capital & Margin

07/06/2011
10:00 AM
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American Securitzation Forum (ASF)

Credit Suisse Securities USA LLC (Credit Suisse)

Dewey & LeBoeuf LLP (Dewey & LeBoeuf)

RBC Capital Markets (RBCCM)
V. Capital & Margin

06/28/2011
5:00 PM
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Nomura
V. Capital & Margin

General

06/28/2011
2:30 PM
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Bank of America
V. Capital & Margin

06/28/2011
10:00 AM
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Ford Motor Company (Ford)
V. Capital & Margin

06/23/2011
10:00 AM
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Geneva Energy Markets LLC (Geneva Energy)

Geneva Trading USA LLC (Geneva Trading)

Ogilvy Government Relations (Ogilvy)
V. Capital & Margin

XIII. SEF Registration

06/21/2011
4:30 PM
More Info
Chrysler Group LLC (Chrysler)

GM Asset Management (GM)

NISA Investment Advisors LLC (NISA)

Skadden, Arps, Slate, Meagher & Flom LLP (Skadden)
V. Capital & Margin

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

V. Capital & Margin

XXVI. Position Limits

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

06/14/2011
10:30 AM
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Just Energy

Sutherland
V. Capital & Margin

XXI. Joint Rules w/ SEC

06/10/2011
2:00 PM
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Business Roundtable

Chamber of Commerce

Financial Executives International

Agricultural Retailers Association

Chatham

GE

Ford
V. Capital & Margin

General

06/09/2011
3:00 PM
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Business Roundtable

Chamber of Commerce

Financial Executives International

Agricultural Retailers Association

Chatham

GE

Ford
II. Definitions

V. Capital & Margin

General

06/08/2011
11:00 AM
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Markit
V. Capital & Margin

06/03/2011
9:00 AM
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Coalition for Derivatives End-Users

Chamber of Commerce

Business Roundtable

Chatham Financial

ConocoPhillips

GE

Cargill

John Deere

Constellation
II. Definitions

V. Capital & Margin

VII. DCO Core Principles

05/24/2011
2:00 PM
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Institutional Investors
V. Capital & Margin

05/24/2011
11:30 AM
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Assoc. of Int'l Inverstors
II. Definitions

V. Capital & Margin

General

05/24/2011
10:00 AM
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II. Definitions

V. Capital & Margin

XXVI. Position Limits

05/24/2011
9:00 AM
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Fidelity Investments
II. Definitions

V. Capital & Margin

XXVI. Position Limits

05/20/2011
9:00 AM
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Gibson Dunn

Chatham Financial
V. Capital & Margin

05/18/2011
1:00 PM
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Van Ness Feldman Law Firm

Nixon Peabody LLP

Colorado Springs Utilities

Sacremento Municipal Utility District Treasurer

Los Angeles Department of Water & Power

Public Utility District No. 1 of Chelan County

CEO Tacoma Public Utilities
V. Capital & Margin

XVI. Swap Data Repositories Registration

XVII. Data Recordkeeping

05/18/2011
11:30 AM
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Van Ness Feldman Law Firm

Nixon Peabody LLP

Colorado Springs Utilities

Sacremento Municipal Utility District Treasurer

Los Angeles Deparment of Water and Power

Public Utility District No. 1 of Chelan County

CEO Tacoma Public Utilities
V. Capital & Margin

XVI. Swap Data Repositories Registration

XVII. Data Recordkeeping

05/17/2011
1:00 PM
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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

05/17/2011
11:15 AM
More Info
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

05/12/2011
2:00 PM
More Info
Nomura Holding America Inc. (NHA)

Nomura International PLC (NI)

Nomura Securities International Inc. (NSI)
V. Capital & Margin

05/12/2011
11:00 AM
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American Bankers' Association
V. Capital & Margin

XXVI. Position Limits

05/04/2011
9:30 AM
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Reval

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

V. Capital & Margin

04/28/2011
10:30 AM
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PIMCO
V. Capital & Margin

04/28/2011
9:30 AM
More Info
PIMCO
V. Capital & Margin

04/22/2011
9:30 AM
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Riverside Risk Advisors
II. Definitions

V. Capital & Margin

XI. End-user Exception

04/21/2011
11:30 AM
More Info
Goldman Sachs
V. Capital & Margin

XXVI. Position Limits

04/13/2011
11:30 AM
More Info
Credit Suisse

Millennium Capital

Marathon Capital

TRowe Price

BlackRock

Blue Mountain

Goldman Sachs Asset Management

King Street
II. Definitions

V. Capital & Margin

XIII. SEF Registration

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

04/01/2011
1:00 PM
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Constellation

BP

GenOn

Cargill

Shell

Electrip Power Supply Association (EPSA)
II. Definitions

V. Capital & Margin

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

03/30/2011
1:00 PM
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Nomura Holding America Inc.

Nomura Securities
V. Capital & Margin

03/28/2011
1:00 PM
More Info
MBIA
II. Definitions

V. Capital & Margin

XVI. Swap Data Repositories Registration

03/25/2011
2:00 PM
More Info
Goldman Sachs
V. Capital & Margin

General

03/24/2011
10:00 AM
More Info
Cargill
V. Capital & Margin

03/10/2011
3:00 PM
More Info
See attached list.
V. Capital & Margin

General

03/04/2011
2:00 PM
More Info
European Banking Federation (EBF)

Swiss Bankers Association

Deutsche Bank

British Bankers Association

Association of German Banks

BNP Paribas
II. Definitions

V. Capital & Margin

03/04/2011
11:00 AM
More Info
Cleary Gottleib Steen and Hamilton LLP (Cleary Gottleib)

Securities and Exchange Commission (SEC)

Barclays

BNP Paribas

Citigroup 

Credit Suisse

Deutsche Bank

Morgan Stanley

Nomura

Societe Generale

Wells Fargo
V. Capital & Margin

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

02/11/2011
12:00 PM
More Info
Noble Energy (Noble)

Venable LLP (Venable)
V. Capital & Margin

02/10/2011
5:15 PM
More Info
V. Capital & Margin

IX. Governance & Possible Limits

XXVI. Position Limits

General

01/31/2011
3:30 PM
More Info
Cargill
V. Capital & Margin

01/27/2011
10:00 AM
More Info
Independent Petroleum Association of America (IPAA)
II. Definitions

V. Capital & Margin

XI. End-user Exception

01/27/2011
9:00 AM
More Info
LCH Clearnet
V. Capital & Margin

VI. Segregation and Bankruptcy

01/26/2011
1:00 PM
More Info
Better Markets
V. Capital & Margin

VII. DCO Core Principles

VIII. Process for Review of Swaps

XXIV. Disruptive Trading Practices

01/20/2011
1:00 PM
More Info
Natural Gas Supply Association and National Corn Growers Association
II. Definitions

V. Capital & Margin

XI. End-user Exception

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

II. Definitions

IV. Business Conduct Standards – Internal

V. Capital & Margin

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

11/29/2010
2:00 PM
More Info
Better Markets, Inc. (BMI)
V. Capital & Margin

IX. Governance & Possible Limits

XII. DCM Core Principles

XIII. SEF Registration

XXVI. Position Limits

11/23/2010
9:00 AM
More Info
National Ass'n of REITs (NAREIT); Chatham Financial; National Ass'n of Manufacturers (NAM); Gibson Dunn law firm; and GE Capital (GE).
V. Capital & Margin

XI. End-user Exception

11/23/2010
12:30 AM
More Info
Bank of America Merrill Lynch (BoA/ML)

Goldman Sachs (GS)

JP Morgan Chase (JP)
V. Capital & Margin

11/18/2010
1:30 PM
More Info
Morgan Stanley
V. Capital & Margin

11/17/2010
4:00 PM
More Info
State Street

Davis Polk & Wardwell LLP (DPW)
V. Capital & Margin

VI. Segregation and Bankruptcy

11/17/2010
3:30 PM
More Info
Aces Power Marketing Co-ops of America (Aces Power)

American Public Gas Association (APGA)

American Public Power Association (APPA)

National Rural Electric Cooperatives Association (NRECA)

New York Power Authority (NYPA)

Schiff Hardin, LLP (Schiff Hardin)
V. Capital & Margin

11/16/2010
12:30 PM
More Info
Chesapeake Energy Corporation

Delta Strategy Group
II. Definitions

V. Capital & Margin

11/12/2010
10:30 AM
More Info
Apache Corporation (Apache)

Bracewell and Giuliani (Bracewell)

Competitive Power Ventures, Inc (Competitive Power)

El Paso Corporation (El Paso)

Iberdrola Renewables, Inc. (Iberdorola)

Markwest Energy Partners, L.P. (Markwest)

Noble Energy, Inc. (Noble)

Shell Energy North America (Shell)
V. Capital & Margin

XI. End-user Exception

11/10/2010
9:00 AM
More Info
Cargill Risk Management
V. Capital & Margin

XI. End-user Exception

XIX. Agricultural Swaps

XXVI. Position Limits

11/09/2010
4:30 PM
More Info
Electric Power Supply Association (EPSA)

PSEG Energy Resources & Trade (PSEG)

NRG Energy (NRG)

Constellation Energy

Calpine

Mirant Corporation (Mirant)

Sutherland
II. Definitions

V. Capital & Margin

11/09/2010
4:00 PM
More Info
EPSA

PSEG Energy Resources

Calpine

Sutherland

Constellation Energy

NRG
II. Definitions

V. Capital & Margin

11/09/2010
1:30 PM
More Info
Cargill Risk Management
V. Capital & Margin

XI. End-user Exception

XIX. Agricultural Swaps

XXVI. Position Limits

11/09/2010
11:30 AM
More Info
Cargill Risk Management
V. Capital & Margin

XI. End-user Exception

XXVI. Position Limits

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

II. Definitions

V. Capital & Margin

11/09/2010
10:00 AM
More Info
Cargill Risk Management
V. Capital & Margin

XI. End-user Exception

XXVI. Position Limits

11/08/2010
2:00 PM
More Info
Tudor Investment

Sullivan & Cromwell LLP
V. Capital & Margin

VI. Segregation and Bankruptcy

XXVI. Position Limits

11/03/2010
12:00 PM
More Info
Chicago Bar Association members
II. Definitions

V. Capital & Margin

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

10/25/2010
1:00 PM
More Info
Edison Electric Institute (EEI)

American Electric Power (AEP)

Exelon

Florida Power and Light Company (FPL)

NextEra Energy (NextEra)
V. Capital & Margin

XI. End-user Exception

10/25/2010
12:00 AM
More Info
Hess

Delta Strategy Gtoup
V. Capital & Margin

10/20/2010
10:00 AM
More Info
ISDA
V. Capital & Margin

10/13/2010
2:30 PM
More Info
Financial Services Forum
V. Capital & Margin

XIII. SEF Registration

10/13/2010
10:00 AM
More Info
Edison Mission Energy

PSEG

Sempra Energy

NRG

NRG

BP

Constellation Energy

Shell Energy North America

Exelon Generation Co.

Bracewell Giuliani

Electric Power Supply Association (EPSA)

Sutherland
V. Capital & Margin

10/12/2010
1:00 PM
More Info
Cargill Risk Management (CRM)

Cargill, Inc.

SEC
V. Capital & Margin

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
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

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

XVII. Data Recordkeeping

XVIII. Real Time Reporting

09/24/2010
3:00 PM
More Info
JPMorgan Chase & Co.
V. Capital & Margin

VII. DCO Core Principles

09/22/2010
3:15 PM
More Info
Caisse de depot et placement du Quebec

ATB Financial

Jones Day
V. Capital & Margin

VIII. Process for Review of Swaps

09/22/2010
2:30 PM
More Info
Morgan Stanley (MS)

Capital Alpha (CA)

Chesapeake Management Co. (CMC)

Millenium Partners (MP)

Deka (D)

Dutko Worldwide
II. Definitions

V. Capital & Margin

XXVI. Position Limits

09/22/2010
10:00 AM
More Info
Edison Electric Institute

McDermott, Will & Emery
V. Capital & Margin

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

V. Capital & Margin

XVIII. Real Time Reporting

09/21/2010
8:45 AM
More Info
Chamber of Commerce

K&L Gates

Caterpillar, Inc.

Constellation Energy

Chatham Financial

Boeing

The Walt Disney Company

Wholesale Markets Brokers Association, Americas

IBM

Thomson Reuters

CME Clearing

FMC Corporation

NASDAQ OMX

Trustmark Corporation
II. Definitions

V. Capital & Margin

XI. End-user Exception

09/16/2010
2:00 PM
More Info
Industrial Energy Consumers of America (IECA)
V. Capital & Margin

XI. End-user Exception

XVII. Data Recordkeeping

XXI. Joint Rules w/ SEC

XXIII. Anti-Manipulation

XXVI. Position Limits

General

09/16/2010
10:30 AM
More Info
ISDA

MorganStanley

CitiBank

Societe Generale

Deutsche Bank

DE Shaw
II. Definitions

V. Capital & Margin

VIII. Process for Review of Swaps

XIII. SEF Registration

09/16/2010
9:30 AM
More Info
International Swaps and Derivatives Association's Regional Conference
II. Definitions

V. Capital & Margin

VIII. Process for Review of Swaps

XIII. SEF Registration

09/15/2010
6:15 PM
More Info
US Chamber of Commerce
V. Capital & Margin

XI. End-user Exception

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
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

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

II. Definitions

III. Business Conduct Standards w/ Counterparties

V. Capital & Margin

09/14/2010
4:30 PM
More Info
National Council of Farmer Cooperatives (NCFC)

Land O'Lakes

Growmark

Dairy Farmers of America (DFA)

CHS, Inc. (CHS)
II. Definitions

V. Capital & Margin

XI. End-user Exception

XIX. Agricultural Swaps

09/14/2010
1:00 PM
More Info
CHS, Inc.,

Dairy Farmers of America (DFA),

Growmark/ Agrivisor,

LandO'Lakes,

National Council of Farmer Cooperatives (NCFC)
II. Definitions

V. Capital & Margin

XI. End-user Exception

XIX. Agricultural Swaps

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

09/09/2010
9:00 AM
More Info
Alternative Investment Management Association (AIMA)
II. Definitions

V. Capital & Margin

VIII. Process for Review of Swaps

IX. Governance & Possible Limits

09/01/2010
9:00 AM
More Info
State Regulators

NAIC

CSBS

NASAA
II. Definitions

V. Capital & Margin

VII. DCO Core Principles

VIII. Process for Review of Swaps

X. Systemically Important DCO Rules

XI. End-user Exception
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
1:00 PM
More Info
MFA
V. Capital & Margin

VII. DCO Core Principles

XXVI. Position Limits
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
08/25/2010
1:00 PM
More Info
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
More Info
FIA
All
08/05/2010
2:00 PM
More Info
BlackRock
All
08/03/2010
10:00 AM
More Info
Managed Funds Association (MFA)

Delta Strategy
V. Capital & Margin

08/03/2010
9:30 AM
More Info
Managed Funds Association
V. Capital & Margin

XXVI. Position Limits

07/30/2010
10:00 AM
More Info
National Futures Association (NFA)
All
Date
SUBMISSION
11/20/2012
09/25/2012
apga_prepaydiagram_1874 PDF Image
From External Meeting on 9/25/2012
09/17/2012
NobleEnergy_1868 PDF Image
From External Meeting on 9/17/2012
03/01/2012
CFTC - Uncleared Margin Issues_1422 PDF Image
From External Meeting on 3/1/2012
10/20/2011
CorporateCollateral_ACLI_CFTC_SEC_1121 PDF Image
From External Meeting on 10/20/2011
10/06/2011
Derivatives - Title VII Dodd-Frank Act PDF Image
ICBA, From External Meeting on 10/6/2011
10/05/2011
Documents from 10/5 meeting PDF Image
JP Morgan, From External Meeting on 10/5/2011
07/07/2011
FCM Capital Requirements - Discussion Points PDF Image
UBS Securities LLC, From External Meeting on 7/7/2011
07/06/2011
American Securitization Forum Discussion Points, Swap and Margin Rules PDF Image
American Securitization Forum, From External Meeting on 7/6/2011
05/20/2011
Cross-Collateralizing Hedged Loans PDF Image
Chatham Financial, From External Meeting on 5/20/2011
04/22/2011
OTC Swap Market Rulemaking PDF Image
Riverside Risk Advisors, From External Meeting on 4/22/2011
04/08/2011
April 11 Mtg. Summary with Rabobank_752 PDF Image
From External Meeting on 4/8/2011
03/10/2011
Financial Services Rountable participants PDF Image
Financial Services Roundtable, From External Meeting on 3/10/2011
02/11/2011
Wall Street Reform and Consumer Act & Regulatory Implementation PDF Image
Noble Energy, From External Meeting on 2/11/2011
11/23/2010
SIFMA Comment on Capital Margin and Segregation Requirements_354 PDF Image
SIFMA, From External Meeting on 11/23/2010
11/12/2010
Meeting with Commodity Futures Trading Commission Staff PDF Image
Coalition of Physical Energy Companies
11/12/2010
cope_317 PDF Image
Coalition of Physical Energy Companies (COPE), From External Meeting on 11/12/2010
10/25/2010
Master Agreements Netting Credit and Collateral in Energy Markets 10 25 10_227 PDF Image
Edison Electric Institute, From External Meeting on 10/25/2010
10/13/2010
Potential Questions PDF Image
Financial Services Forum
10/13/2010
Potential_questions.10.8.10_189 PDF Image
Financial Services Forum, From External Meeting on 10/13/2010
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
09/16/2010
Delegate List - 2010 ISDA Regional Conference PDF Image
Delegate List - 2010 ISDA Regional Conference
09/16/2010
ISDA 2010 Regional Conference Participants_19 PDF Image
ISDA, From External Meeting on 9/16/2010
09/15/2010
09/15/2010
Meeting Summary with Morgan Stanley_14 PDF Image
Morgan Stanley, From External Meeting on 9/15/2010
09/15/2010
CFTC Agenda - September 15 20101 (2)_26 PDF Image
NFP Energy End User Coalition, From External Meeting on 9/15/2010
09/14/2010
Over the Counter Derivatives PDF Image
Over the Counter Derivatives
09/14/2010
Dairy Farmer/Co-op Hedging PDF Image
Dairy Farmer/Co-op Hedging
09/14/2010
Farmer/Co-op Fuel Hedging PDF Image
Farmer/Co-op Fuel Hedging
09/14/2010
Co-op Fertilizer Hedging PDF Image
Co-op Fertilizer Hedging
09/14/2010
Grain Farmer/Co-op Hedging PDF Image
Grain Farmer/Co-op Hedging
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
Docs from NCFC Meeting_8 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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