Font Size: AAA // Print // Bookmark

Segregation and Bankruptcy

Date
MEETING WITH
REGARDING RULEMAKING
07/23/2013
3:00 PM
More Info
CME Group (CME)
VI. Segregation and Bankruptcy

07/23/2013
9:30 AM
More Info
National Futures Association
VI. Segregation and Bankruptcy

04/26/2013
3:00 PM
More Info
American Farm Bureau Federation
VI. Segregation and Bankruptcy

General

02/21/2013
10:00 AM
More Info
Full Physical Segregation Working Group
VI. Segregation and Bankruptcy

02/19/2013
12:00 AM
More Info
Nomura

RBC

Deutsche Bank

Natisis Commodity Markets

Citigroup

BP

Newedge

Goldman Sachs

ICAP

ICE Futures Europe

CME Europe

Nasdaq OMX

LME

LCH Clearnet

UBS

Jefferies

BNP Paribas

Mizuho Securities USA

FOA

US Embassy
VI. Segregation and Bankruptcy

Cross-Border

02/13/2013
2:00 PM
More Info
CME, Morgan Stanley, Bank of New York Mellon, PIMCO, Skadden, Davis Polk, Emmet Marvin, Katten Muchin
VI. Segregation and Bankruptcy

01/29/2013
2:00 PM
More Info
Skadden, CME, Morgan Stanley, Katten Muchin Rosenman LLP, PIMCO, Davis Polk
VI. Segregation and Bankruptcy

09/07/2012
12:45 PM
More Info
Bank of America Merrill Lynch

Deutsche Bank

Goldman Sachs

ISDA

PIMCO

Societs Generale
VI. Segregation and Bankruptcy

VII. DCO Core Principles

VIII. Process for Review of Swaps

XIII. SEF Registration

XVIII. Real Time Reporting

09/07/2012
11:00 AM
More Info
AQR Capital Management, LLC

Brevan Howard, Inc.

Citadel LLC

Convexity Capital Management

D.E. Shaw & Co.

Eton Park Capital Management, LP

HBK Capital Management

King Street Capital Management, LP

MFA
VI. Segregation and Bankruptcy

VII. DCO Core Principles

VIII. Process for Review of Swaps

XIII. SEF Registration

XVIII. Real Time Reporting

08/02/2012
12:00 PM
More Info
Fidelity

Goldman Sachs Assets Management

MFS

PIMCO

Vanguard

Investment Adviser Assoc.

ICI

Managed Fund Association

SIFMA AMG

Davis Polk

Citadel

HBK

T. Rowe Price
VI. Segregation and Bankruptcy

01/26/2012
6:00 PM
More Info
Sullivan & Cromwell LLP
VI. Segregation and Bankruptcy

01/10/2012
2:30 PM
More Info
Citadel
VI. Segregation and Bankruptcy

01/09/2012
1:00 PM
More Info
CME Group
VI. Segregation and Bankruptcy

01/06/2012
3:30 PM
More Info
Bank of America Merrill Lynch

Credit Suisse Securities (USA), LLC

Goldman, Sachs & Co.

Katten Muchin Rosenman LLP

Credit Suisse Securities (USA), LLC

Newedge USA, LLC

Futures Industry Association Inc.
VI. Segregation and Bankruptcy

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

VI. Segregation and Bankruptcy

01/05/2012
4:30 PM
More Info
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
3:00 PM
More Info
ISDA

Morgan Stanley

J.P. Morgan

Goldman Sachs

Mayer Brown
III. Business Conduct Standards w/ Counterparties

VI. Segregation and Bankruptcy

01/05/2012
1:30 PM
More Info
The ICE Group
VI. Segregation and Bankruptcy

01/05/2012
1:00 PM
More Info
California Public Employees' Retirement System

Teachers Retirement System of Texas

State of Wisconsin Investment Board

Lussier, Gregor, Vienna & Associates
VI. Segregation and Bankruptcy

01/05/2012
11:30 AM
More Info
BlackRock
VI. Segregation and Bankruptcy

01/05/2012
11:15 AM
More Info
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
California Public Employees' Retirement System (CalPERS) 

Teachers Retirement System of Texas (TRST)

State of Wisconsin Investment Board (SWIB)

Lussier, Gregor, Vienna & Associates (LGV&A)
VI. Segregation and Bankruptcy

01/04/2012
1:00 PM
More Info
LCH.Clearnet
VI. Segregation and Bankruptcy

01/04/2012
11:15 AM
More Info
GM Asset Management

Clifford Chance
VI. Segregation and Bankruptcy

01/03/2012
3:15 PM
More Info
BlackRock
VI. Segregation and Bankruptcy

01/03/2012
10:00 AM
More Info
LCH.Clearnet
VI. Segregation and Bankruptcy

12/22/2011
10:00 AM
More Info
Tudor Investment Corp.
VI. Segregation and Bankruptcy

12/15/2011
9:00 AM
More Info
CIEGA

American Benefits Council

The European Pension Federation

Franklin Advisors, Inc.

General Motors Pension Fund

NISA Investment Advisors
VI. Segregation and Bankruptcy

12/13/2011
9:00 AM
More Info
Managed Funds Association and Delta Strategy Group
VI. Segregation and Bankruptcy

12/06/2011
11:00 AM
More Info
Barclays Capital

D.E. Shaw & Co.

International Swaps & Derivatives Association (ISDA)

JPMorgan Chase & Co.

Morgan Stanley

PIMCO
VI. Segregation and Bankruptcy

VIII. Process for Review of Swaps

XIII. SEF Registration

XVII. Data Recordkeeping

XVIII. Real Time Reporting

12/06/2011
9:45 AM
More Info
ICE Futures U.S.
VI. Segregation and Bankruptcy

XII. DCM Core Principles

10/11/2011
11:00 AM
More Info
International Swaps and Derivatives Association, Inc.

Goldman Sachs

Deutsche Bank

JPMorgan Chase
VI. Segregation and Bankruptcy

10/07/2011
11:30 AM
More Info
Futures Industry Association

Katten Muchin Rosenman LLP

Credit Suisse

Goldman Sachs
VI. Segregation and Bankruptcy

08/03/2011
10:00 AM
More Info
CIEBA

U.S. Steel & Carnegie Pension Fund

Clifford Chance US LLP

Winston & Strawn LLP
VI. Segregation and Bankruptcy

08/01/2011
1:30 PM
More Info
Chicago Mercantile Exchange

Skadden, Arps, Slate, Meagher & Flom LLP
VI. Segregation and Bankruptcy

07/22/2011
2:00 PM
More Info
General Motors Pension Plan

Clifford Chance US LLP
VI. Segregation and Bankruptcy

05/17/2011
1:00 PM
More Info
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

05/17/2011
10:00 AM
More Info
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
05/11/2011
2:30 PM
More Info
Chicago Mercantile Exchange
VI. Segregation and Bankruptcy

VII. DCO Core Principles

XII. DCM Core Principles

XXVI. Position Limits

05/05/2011
4:00 PM
More Info
New York Law School

Bank of America Merrill Lynch

Allen & Overy

CME Group

Katten Muchin Rosenman

BlackRock
VI. Segregation and Bankruptcy

04/15/2011
1:00 PM
More Info
Blue Mountain Capital Management LLC (Blue Mountain)

Citadel, Delta Strategy Group (Delta)

D.E. Shaw Group (D.E. Shaw)

DRW Trading Group (DRW)

Tudor Investment Corporation (Tudor)
VI. Segregation and Bankruptcy

VII. DCO Core Principles

VIII. Process for Review of Swaps

03/11/2011
9:00 AM
More Info
LCH.Clearnet Limited
VI. Segregation and Bankruptcy

VII. DCO Core Principles

VIII. Process for Review of Swaps

03/10/2011
11:30 AM
More Info
LCH.Clearnet

Rich Feuer Group
VI. Segregation and Bankruptcy

03/10/2011
10:30 AM
More Info
LCH. Clearnet
VI. Segregation and Bankruptcy

General

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

VI. Segregation and Bankruptcy

01/26/2011
1:30 PM
More Info
LCH.Clearnet

Rich Feuer Group
VI. Segregation and Bankruptcy

XVI. Swap Data Repositories Registration

12/21/2010
10:30 AM
More Info
MF Global
VI. Segregation and Bankruptcy

VII. DCO Core Principles

XII. DCM Core Principles

XIII. SEF Registration

12/14/2010
10:00 AM
More Info
Farm Credit Council
II. Definitions

VI. Segregation and Bankruptcy

XI. End-user Exception

12/08/2010
4:00 PM
More Info
MF Global
VI. Segregation and Bankruptcy

12/08/2010
2:00 PM
More Info
MFA

Delta Strategy Group

King Street Capital Management

BlueMountain Capital Management, LLC

Citadel LLC

Brevan Howard, Inc.

Tudor Investment Corporation
II. Definitions

VI. Segregation and Bankruptcy

IX. Governance & Possible Limits

XII. DCM Core Principles

XIII. SEF Registration

XVI. Swap Data Repositories Registration

XXIII. Anti-Manipulation

XXIV. Disruptive Trading Practices

11/19/2010
1:30 PM
More Info
International Swaps and Derivatives Association
VI. Segregation and Bankruptcy

11/19/2010
8:30 AM
More Info
BlackRock
VI. Segregation and Bankruptcy

XVIII. Real Time Reporting

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

11/18/2010
8:30 AM
More Info
BlackRock
VI. Segregation and Bankruptcy

XVIII. Real Time Reporting

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

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

VI. Segregation and Bankruptcy

11/16/2010
10:00 AM
More Info
State Street Corporation
VI. Segregation and Bankruptcy

11/15/2010
1:00 PM
More Info
Goldman Sachs & Co.
VI. Segregation and Bankruptcy

VII. DCO Core Principles

IX. Governance & Possible Limits

11/08/2010
4:00 PM
More Info
Tudor Investment Corporation
II. Definitions

VI. Segregation and Bankruptcy

VII. DCO Core Principles

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
BAMl

Creidit Suisse

Goldman Sachs

Newedge

Katten Muchin

Futures Industry(FIA)
VI. Segregation and Bankruptcy

11/02/2010
9:00 AM
More Info
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

11/01/2010
4:00 PM
More Info
Chicago Mercantile Exchange CME
VI. Segregation and Bankruptcy

10/29/2010
4:30 PM
More Info
Chicago Mercantile Exchange
VI. Segregation and Bankruptcy

10/21/2010
8:00 AM
More Info
Citi

UBS Investment Bank

MetLife, Inc.

State Street

JPMorgan Chase & Co.

Credit Suisse

Prudential Financial

Goldman Sachs

Deutsche Bank Americas

BNY Mellon

Financial Services Forum
VI. Segregation and Bankruptcy

VII. DCO Core Principles

IX. Governance & Possible Limits

X. Systemically Important DCO Rules

10/20/2010
12:00 AM
More Info
Davis & Harman

American Benefits Council

GM Pension

Boeing

Nisa Investment Advisors

Skadden Arps

Winston & Strawn

Winston & Strawn
VI. Segregation and Bankruptcy

10/06/2010
3:45 PM
More Info
BlackRock
VI. Segregation and Bankruptcy

XVI. Swap Data Repositories Registration

10/06/2010
3:00 PM
More Info
Blackrock (BR)
VI. Segregation and Bankruptcy

10/06/2010
1:30 PM
More Info
BlackRock
VI. Segregation and Bankruptcy

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

10/04/2010
3:00 PM
More Info
State Street Global Markets
VI. Segregation and Bankruptcy

VII. DCO Core Principles

X. Systemically Important DCO Rules

XIII. SEF Registration

10/04/2010
3:00 PM
More Info
State Street (SS)
VI. Segregation and Bankruptcy

VII. DCO Core Principles

X. Systemically Important DCO Rules

XIII. SEF Registration

10/04/2010
11:00 AM
More Info
VI. Segregation and Bankruptcy

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
11:30 AM
More Info
Black Rock

 Vanguard

 Chicago Mercantile Exchange

 London Clearinghouse

 Barclays Capital

 JP Morgan

 Morgan Stanley

 BNY Mellon
VI. Segregation and Bankruptcy

09/27/2010
2:00 PM
More Info
Citigrouop

JP Morgan

Goldman Sachs

Barclays

Morgan Stanley
II. Definitions

VI. Segregation and Bankruptcy

XV. Rule Certification

09/23/2010
11:00 AM
More Info
BlackRock
VI. Segregation and Bankruptcy

09/15/2010
2:00 PM
More Info
Futures Industry Association
VI. Segregation and Bankruptcy

09/15/2010
1:30 PM
More Info
Futures Industry Association-FIA

Goldman Sachs

Bank of America-Merrill Lynch

Citigroup

Credit Suisse
VI. Segregation and Bankruptcy

General

09/14/2010
10:30 AM
More Info
LCH Clearnet
VI. Segregation and Bankruptcy

VII. DCO Core Principles

X. Systemically Important DCO Rules

09/14/2010
9:00 AM
More Info
Futures Industry Association, Credit Suisse, Citigroup, Bank of America-Merrill Lynch, Goldman Sachs
VI. Segregation and Bankruptcy

09/13/2010
2:00 PM
More Info
LCH Clearnet
VI. Segregation and Bankruptcy

VII. DCO Core Principles

IX. Governance & Possible Limits

09/13/2010
11:00 AM
More Info
Chicago Mercantile Exchange
VI. Segregation and Bankruptcy

09/13/2010
8:00 AM
More Info
Sidley Austin for Options Clearing Corporation
VI. Segregation and Bankruptcy

09/07/2010
4:00 PM
More Info
Intercontinental Exchange
VI. Segregation and Bankruptcy

09/02/2010
11:00 AM
More Info
ISDA
VI. Segregation and Bankruptcy

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
08/30/2010
11:00 AM
More Info
BlackRock
VI. Segregation and Bankruptcy

08/25/2010
10:00 PM
More Info
ISDA
VI. Segregation and Bankruptcy

08/18/2010
2:00 PM
More Info
FIA
All
08/16/2010
3:00 PM
More Info
Citadel Investment Group

Brevan Howard

King Street Capital Management, LLC

Managed Funds Association (MFA)

HPK Investments LP

BlueMountain Capital Management

SAC Capital Advisors, LP (SAC)

The D.E. Shaw Group
VI. Segregation and Bankruptcy

08/16/2010
11:30 AM
More Info
Bank of America Merrill Lynch

Barclays

Citi

Credit Suisse

Deutsche Bank

Goldman

HSBC

JP Morgan

Katten

MF GLobal

Morgan Stanley

Newedge

Nomura

Prudential

State Street

UBS

Macquarie

RJ O'Brien
VI. Segregation and Bankruptcy

08/05/2010
2:00 PM
More Info
BlackRock
All
07/30/2010
10:00 AM
More Info
National Futures Association (NFA)
All
Date
SUBMISSION
12/15/2011
CIEBA_1191 PDF Image
From External Meeting on 12/15/2011
04/15/2011
ex parte 4-15-11_693 PDF Image
From External Meeting on 4/15/2011
01/18/2011
11/18/2010
No Subject PDF Image
Independent Community Bankers of America
11/16/2010
101116.StateStreet_325 PDF Image
StateStreet, From External Meeting on 11/16/2010
11/15/2010
No Subject PDF Image
National Farmers Organization
11/15/2010
Section 724 PDF Image
American Public Gas Association
11/02/2010
Proposed Agenda PDF Image
OTC Derivatives Regulators' Forum
11/02/2010
Meeting Participants PDF Image
OTC Derivatives Regulators' Forum
11/02/2010
Summary PDF Image
OTC Derivatives Regulators' Forum
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
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
SGX Asiaclear_PUBLIC_328 PDF Image
SGX ASIACLEAR, 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
10/22/2010
Transcript: Individual Customer Collateral Protection PDF Image
Commodity Futures Trading Commission
10/21/2010
09/29/2010
09/29/2010
Natural Gas Supply Association PDF Image
Natural Gas Supply Association
09/29/2010
09/29/2010
NGSA CFTC Comments_09.28.2010_100 PDF Image
Natural Gas Supply Association (NGSA), From External Meeting on 9/29/2010
09/28/2010
CustomerProtectionAgenda (2)_159 PDF Image
Blackrock, From External Meeting on 9/28/2010
09/23/2010
Key Control Agreement Provisions_113 PDF Image
Blackrock, From External Meeting on 9/23/2010
09/15/2010
09/15/2010
CFTC_Market_Structure_v11_diagrams_(CFTC_Version)_89 PDF Image
Futures Industry Association, From External Meeting on 9/15/2010
09/01/2010
dmb argus_72 PDF Image
Argus Oil Market Regulation Summit 2010

See Also:

OpenGov Logo

CFTC's Commitment to Open Government

Gavel and Book

Follow the Status of Enforcement Actions