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Process for Review of Swaps

Date
MEETING WITH
REGARDING RULEMAKING
04/11/2013
9:00 AM
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D.E. Shaw
VIII. Process for Review of Swaps

04/09/2013
11:00 AM
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London Stock Exchange
VIII. Process for Review of Swaps

04/02/2013
12:45 PM
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Gibson Dunn
VIII. Process for Review of Swaps

03/28/2013
1:00 PM
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VIII. Process for Review of Swaps

XVIII. Real Time Reporting

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

08/02/2012
11:30 AM
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State Street
VIII. Process for Review of Swaps

07/24/2012
10:00 AM
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BP
VIII. Process for Review of Swaps

07/11/2012
11:15 AM
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InterContinental Exchange (ICE)
VIII. Process for Review of Swaps

07/02/2012
1:30 PM
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ICAP

Skadden Arps (for MarketAxess)
VIII. Process for Review of Swaps

06/20/2012
9:15 AM
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State Street
VIII. Process for Review of Swaps

05/16/2012
4:15 PM
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VIII. Process for Review of Swaps

05/02/2012
6:00 PM
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TriOptima North America LLC
VIII. Process for Review of Swaps

05/02/2012
2:00 PM
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U.S. Chamber of Commerce End-Users Group
VIII. Process for Review of Swaps

XI. End-user Exception

04/20/2012
12:00 PM
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EEI
VIII. Process for Review of Swaps

04/19/2012
12:00 PM
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COPE
VIII. Process for Review of Swaps

04/02/2012
3:00 PM
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BlackRock
VIII. Process for Review of Swaps

04/02/2012
2:00 PM
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BlackRock
VIII. Process for Review of Swaps

03/29/2012
4:30 PM
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MarkitServ

Citadel

UBS
VIII. Process for Review of Swaps

XIII. SEF Registration

03/20/2012
11:15 AM
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ICAP

Citadel
VIII. Process for Review of Swaps

03/14/2012
7:00 PM
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List of attendees attached.
VIII. Process for Review of Swaps

XIII. SEF Registration

XVI. Swap Data Repositories Registration

03/14/2012
5:00 PM
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Delta Strategy Group

Deutsche Bank AG
VIII. Process for Review of Swaps

03/14/2012
4:30 PM
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State Street Corporation
VIII. Process for Review of Swaps

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

03/07/2012
8:25 AM
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FIA
VIII. Process for Review of Swaps

03/01/2012
2:00 PM
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Arbor Research

BONY Mellon

Brevan Howard

Citadel

Alliance Bernstein

ING

Jefferies

Eris Exchange

Javelin

DRW

Delta Strategy Group
VIII. Process for Review of Swaps

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

12/06/2011
11:00 AM
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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

09/21/2011
1:00 PM
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DRW

Chicago Trading Company

Infinium

Delta Strategies
II. Definitions

VIII. Process for Review of Swaps

XVI. Swap Data Repositories Registration

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

09/01/2011
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

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
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
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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
04/15/2011
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

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

VII. DCO Core Principles

VIII. Process for Review of Swaps

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

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

11/17/2010
1:00 PM
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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

11/10/2010
4:00 PM
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SIFMA

Association for Financial Markets in Europe
VII. DCO Core Principles

VIII. Process for Review of Swaps

XXVI. Position Limits

10/27/2010
2:30 PM
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Options Clearing Organization (OCC)
VIII. Process for Review of Swaps

10/27/2010
9:30 AM
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OCC
VIII. Process for Review of Swaps

10/22/2010
9:30 AM
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BlackRock
VIII. Process for Review of Swaps

XIII. SEF Registration

10/07/2010
2:00 PM
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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
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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
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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

09/29/2010
8:30 AM
More Info
NYSE
VIII. Process for Review of Swaps

XIII. SEF Registration

09/28/2010
3:45 PM
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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

09/28/2010
11:30 AM
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NYSE Euronext

NYSE Liffe US
VIII. Process for Review of Swaps

XIII. SEF Registration

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

ATB Financial

Jones Day
V. Capital & Margin

VIII. Process for Review of Swaps

09/16/2010
12:00 PM
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NASDAQ

International Derivatives Clearing Group
II. Definitions

VIII. Process for Review of Swaps

XIII. SEF Registration

09/16/2010
10:30 AM
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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
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International Swaps and Derivatives Association's Regional Conference
II. Definitions

V. Capital & Margin

VIII. Process for Review of Swaps

XIII. SEF Registration

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

V. Capital & Margin

VIII. Process for Review of Swaps

IX. Governance & Possible Limits

09/07/2010
4:30 PM
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Intercontinental Exchange
VIII. Process for Review of Swaps

IX. Governance & Possible Limits

09/01/2010
9:00 AM
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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
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Represenatives of various energy companies, financial firms, consultants, and other interested persons.  The session was open to the press.
All
08/27/2010
1:00 PM
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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
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FIA
All
08/05/2010
2:00 PM
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BlackRock
All
08/03/2010
2:00 PM
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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
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National Futures Association (NFA)
All
Date
SUBMISSION
05/02/2012
May 2 Chamber Group_1680 PDF Image
From External Meeting on 5/2/2012
03/14/2012
Evercore 2012 Boca Dinner Attendees_1440 PDF Image
From External Meeting on 3/14/2012
03/07/2012
03/01/2012
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
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
09/01/2010
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