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DCOs

Date
MEETING WITH
REGARDING RULEMAKING
06/11/2013
2:00 PM
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CME
VII. DCO Core Principles

XII. DCM Core Principles

Cross-Border

General

05/31/2013
2:15 PM
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LCH.Clearnet (LCH)
VII. DCO Core Principles

General

11/13/2012
10:30 AM
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LCH
VII. DCO Core Principles

09/07/2012
12:45 PM
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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
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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

08/31/2012
10:00 AM
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Singapore Exchange (SGX)
VII. DCO Core Principles

08/30/2012
3:00 PM
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Singapore Exchange

Shearman & Sterling, LLP.
VII. DCO Core Principles

General

06/07/2012
11:15 AM
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FIA

Goldman Sachs

Newedge

Credit Suisse

R.J. O'Brien

Morgan Stanley
VII. DCO Core Principles

05/30/2012
4:15 PM
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ISDA

Morgan Stanley

DE Shaw

Bank of America/Merrill Lynch

Barclay's
VII. DCO Core Principles

IX. Governance & Possible Limits

XI. End-user Exception

XIII. SEF Registration

03/14/2012
3:00 PM
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Eris Exchange

DRW
II. Definitions

VII. DCO Core Principles

VIII. Process for Review of Swaps

XII. DCM Core Principles

XVIII. Real Time Reporting

Block Sizes for Large Notional Off-Facility Swaps

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
10:30 AM
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ICAP
VII. DCO Core Principles

02/28/2012
11:15 AM
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BlackRock
VII. DCO Core Principles

02/28/2012
9:30 AM
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Citadel
VII. DCO Core Principles

02/21/2012
11:00 AM
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Cleary

Citigroup
VII. DCO Core Principles

01/31/2012
3:30 PM
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Wholesale Market Brokers' Association (WMBA):

BGC Partners, Inc.

ICAP

GFI Group, Inc.

Patton Boggs

Tradition

Tullett Prebon
VII. DCO Core Principles

XIII. SEF Registration

XVIII. Real Time Reporting

Block Sizes for Large Notional Off-Facility Swaps

01/31/2012
2:45 PM
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ICAP
VII. DCO Core Principles

XIII. SEF Registration

10/19/2011
11:30 AM
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BlackRock
VII. DCO Core Principles

10/18/2011
3:00 PM
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BlackRock
VII. DCO Core Principles

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

09/20/2011
10:30 AM
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FIA
VII. DCO Core Principles

09/14/2011
2:30 PM
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ICE Futures US
VII. DCO Core Principles

IX. Governance & Possible Limits

09/12/2011
2:00 PM
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Natural Gas Exchange (NGX)
II. Definitions

VII. DCO Core Principles

VIII. Process for Review of Swaps

IX. Governance & Possible Limits

09/12/2011
11:00 AM
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Natural Gas Exchange (NGX)
VII. DCO Core Principles

09/07/2011
2:00 PM
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Spring Trading
VII. DCO Core Principles

08/23/2011
1:00 PM
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Ontario Securities Commission (OSC)
VII. DCO Core Principles

08/09/2011
9:00 PM
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Citadel
VII. DCO Core Principles

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

06/23/2011
3:00 PM
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CME
VII. DCO Core Principles

06/07/2011
3:00 PM
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Citadel

D E Shaw & Co

DRW Trading Group
VII. DCO Core Principles

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

05/25/2011
2:00 PM
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Javelin
VII. DCO Core Principles

05/20/2011
11:30 AM
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Chatham Financial
VII. DCO Core Principles

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

05/17/2011
2:30 PM
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ICAP
VII. DCO Core Principles

VIII. Process for Review of Swaps

XIII. SEF Registration

XVI. Swap Data Repositories Registration

XVIII. Real Time Reporting

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
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

05/10/2011
12:30 PM
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Citadel
VII. DCO Core Principles

05/02/2011
2:00 PM
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VII. DCO Core Principles

04/28/2011
3:00 PM
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Goldman Sachs
VII. DCO Core Principles

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

VII. DCO Core Principles

XXVI. Position Limits

04/26/2011
10:00 AM
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Alternative Investment Management Association (AIMA)

Crossroads Strategies
VII. DCO Core Principles

04/15/2011
1:00 PM
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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

04/13/2011
11:00 AM
More Info
Fidelity Investments (Fidelity)

Vanguard
VII. DCO Core Principles

04/12/2011
2:00 PM
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The Options Clearing Corporation
VII. DCO Core Principles

X. Systemically Important DCO Rules

03/22/2011
3:45 PM
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Hungary, France, Sweden, UK, Poland and Netherlands
II. Definitions

VII. DCO Core Principles

03/22/2011
12:00 PM
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European Parliament
II. Definitions

VII. DCO Core Principles

XI. End-user Exception

XVIII. Real Time Reporting

03/22/2011
12:00 PM
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European Commission
II. Definitions

VII. DCO Core Principles

XI. End-user Exception

XVI. Swap Data Repositories Registration

03/14/2011
5:00 PM
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Futures Industry Association (FIA)
VII. DCO Core Principles

X. Systemically Important DCO Rules

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

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

VII. DCO Core Principles

02/17/2011
1:45 PM
More Info
CME
VII. DCO Core Principles

X. Systemically Important DCO Rules

02/16/2011
2:30 PM
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IntercontinentalExchange (ICE)
II. Definitions

VII. DCO Core Principles

VIII. Process for Review of Swaps

XIII. SEF Registration

XVII. Data Recordkeeping

02/08/2011
1:00 PM
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ICE Clear U.S.
VII. DCO Core Principles

02/04/2011
4:30 PM
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Citadel Group
VII. DCO Core Principles

02/04/2011
10:15 AM
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FXall, LCH Clearnet, NYSE Euronext, Rich Feuer Group
VII. DCO Core Principles

X. Systemically Important DCO Rules

XII. DCM Core Principles

XIII. SEF Registration

01/28/2011
10:00 AM
More Info
NYSE

Tradeweb

FXall

LCH.Clearnet
I. Registration

VII. DCO Core Principles

IX. Governance & Possible Limits

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

VII. DCO Core Principles

VIII. Process for Review of Swaps

XXIV. Disruptive Trading Practices

01/21/2011
2:00 PM
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VMAC

Crowell
VII. DCO Core Principles

01/19/2011
12:30 PM
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Federated Investors

Arnold and Porter
General

VII. DCO Core Principles

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

VII. DCO Core Principles

XII. DCM Core Principles

XIII. SEF Registration

12/15/2010
2:30 PM
More Info
CME Group
VII. DCO Core Principles

XII. DCM Core Principles

XIII. SEF Registration

XXVI. Position Limits

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

11/17/2010
1:00 PM
More Info
DC Bar Association Members
II. Definitions

VII. DCO Core Principles

VIII. Process for Review of Swaps

XIV. FBOT Registration

XVII. Data Recordkeeping

XVIII. Real Time Reporting

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

VII. DCO Core Principles

IX. Governance & Possible Limits

11/12/2010
9:30 AM
More Info
MetLife

Clifford Chance
II. Definitions

VII. DCO Core Principles

XIII. SEF Registration

XVIII. Real Time Reporting

11/10/2010
4:00 PM
More Info
SIFMA

Association for Financial Markets in Europe
VII. DCO Core Principles

VIII. Process for Review of Swaps

XXVI. Position Limits

11/09/2010
11:35 AM
More Info
LCH Clearnet, Rich Feuer Group
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

11/02/2010
12:00 PM
More Info
European Commission, Futures Industry Association
VII. DCO Core Principles

XIII. SEF Registration

XXVI. Position Limits

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

11/02/2010
12:00 AM
More Info
CME Group
VII. DCO Core Principles

X. Systemically Important DCO Rules

XXIII. Anti-Manipulation

XXIV. Disruptive Trading Practices

XXVI. Position Limits

11/01/2010
8:00 PM
More Info
Chopper Trading LLC

Chicago Trading Co.

Allston

Gelber Group

RGM

Getco

Infinium

DRW
VII. DCO Core Principles

XIII. SEF Registration

XXIV. Disruptive Trading Practices

10/27/2010
3:30 PM
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The Options Clearing Corporation (OCC)
VII. DCO Core Principles

X. Systemically Important DCO Rules

10/27/2010
2:00 PM
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Options Clearing Corporation (OCC)
VII. DCO Core Principles

IX. Governance & Possible Limits

10/21/2010
12:15 PM
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Institute of International Bankers
VII. DCO Core Principles

IX. Governance & Possible Limits

X. Systemically Important DCO Rules

10/21/2010
12:00 PM
More Info
Institute of International Bankers
VII. DCO Core Principles

IX. Governance & Possible Limits

X. Systemically Important DCO Rules

10/21/2010
8:00 AM
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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

10/08/2010
3:30 PM
More Info
Algebris Investments
VII. DCO Core Principles

X. Systemically Important DCO Rules

10/07/2010
2:00 PM
More Info
Morgan Stanley
VII. DCO Core Principles

VIII. Process for Review of Swaps

IX. Governance & Possible Limits

X. Systemically Important DCO Rules

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

09/28/2010
3:45 PM
More Info
The Bank of NY Mellon

Federation of European Securities Exchanges (FESE)

NYSE Euronext

BNP Paribas Securities Services

CACEIS

Deutsche Bank

DTCC

JP Morgan

Goldman Sachs

Chi-X Europe Limited

Euroclear

Grupo Santander

Citi

OMX Stockholm
VII. DCO Core Principles

VIII. Process for Review of Swaps

09/27/2010
11:00 AM
More Info
Futures Industry Association
VII. DCO Core Principles

X. Systemically Important DCO Rules

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

VII. DCO Core Principles

09/24/2010
2:00 PM
More Info
CME Group (CME)

Skadden, Arps, Slate, Meagher & Flom LLP (Skadden)
VII. DCO Core Principles

X. Systemically Important DCO Rules

09/21/2010
4:00 PM
More Info
Americans for Financial Reform
VII. DCO Core Principles

X. Systemically Important DCO Rules

09/21/2010
2:00 PM
More Info
Goldman Sachs
VII. DCO Core Principles

IX. Governance & Possible Limits

X. Systemically Important DCO Rules

09/21/2010
11:00 AM
More Info
Patton Boggs

BGC

ICAP

GFI

Tullett Prebon
VII. DCO Core Principles

XII. DCM Core Principles

XIII. SEF Registration

General

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

VII. DCO Core Principles

X. Systemically Important DCO Rules

09/13/2010
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

09/13/2010
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
Kansas City Board of Trade (KCBT)

Kansas City Board of Trade Clearing Corporation (KCBTCC)
VII. DCO Core Principles

X. Systemically Important DCO Rules

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
08/18/2010
2:00 PM
More Info
FIA
All
08/05/2010
2:00 PM
More Info
BlackRock
All
08/03/2010
2:00 PM
More Info
ISDA

SIFMA
II. Definitions

IX. Governance & Possible Limits

VII. DCO Core Principles

VIII. Process for Review of Swaps

X. Systemically Important DCO Rules

XIII. SEF Registration

XVII. Data Recordkeeping

XVIII. Real Time Reporting

XXI. Joint Rules w/ SEC

XXVIII. Volcker Rule
07/30/2010
10:00 AM
More Info
National Futures Association (NFA)
All
Date
SUBMISSION
10/19/2011
05/19/2011
OTC Derivative Implementation Discussion Points PDF Image
Javelin, From External Meeting on 5/19/2011
04/15/2011
ex parte 4-15-11_693 PDF Image
From External Meeting on 4/15/2011
03/14/2011
02/04/2011
Call with Costa of Citadel PDF Image
Citadel, From External Meeting on 2/4/2011
11/02/2010
Meeting Participants PDF Image
OTC Derivatives Regulators' Forum
11/02/2010
Summary PDF Image
OTC Derivatives Regulators' Forum
11/02/2010
Proposed Agenda PDF Image
OTC Derivatives Regulators' Forum
11/02/2010
SGX Asiaclear_PUBLIC_328 PDF Image
SGX ASIACLEAR, 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
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
09/29/2010
Natural Gas Supply Association PDF Image
Natural Gas Supply Association
09/21/2010
Discussions with the CFTC & SEC - Clearing PDF Image
The Goldman Sachs Group, Inc., From External Meeting on 9/21/2010
09/01/2010
dmb argus_72 PDF Image
Argus Oil Market Regulation Summit 2010
08/03/2010
Title VII Rulemakings PDF Image
SEC/CFTC and ISDA/SIFMA

See Also:

OpenGov Logo

CFTC's Commitment to Open Government

Gavel and Book

Follow the Status of Enforcement Actions