Event: Commission Meetings


Transcript

CFTC Open Meeting on Three Final Rules, One Proposed Rule and a Delegation of Authority Order


The Commodity Futures Trading Commission (CFTC) will hold a public meeting to consider three final rules, one proposed rule and a delegation of authority order on the following topics:

(1) Final Rule: Registration of Swap Dealers and Major Swap Participants;

(2) Final Rule: Protection of Cleared Swaps Customer Contracts and Collateral: Conforming Amendments to the Commodity Broker Bankruptcy Provisions;

(3) Final Rule: Business Conduct Standards for Swap Dealers and Major Swap Participants with Counterparties;

(4) Proposed Rule: Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds; and

(5) Delegation of Authority Order: Performance of Registration Functions by National Futures Association with Respect to Swap Dealers and Major Swap Participants.

 

   

When:

Wednesday, January 11, 2011, 9:30 a.m. (ET)

Where:

CFTC Headquarters Conference Center, 1155 21st, NW, Washington DC

Topic:

Open meeting to consider three final rules and one proposed rule under the Dodd-Frank Wall Street Reform and Consumer Protection Act. In addition, the Commission will consider a delegation of authority order

Viewing/Listening Information:

 

Watch a live broadcast of the meeting via webcast on www.cftc.gov. Call-in to a toll-free or toll-telephone line to connect to a live audio feed.  Call-in participants should be prepared to provide their first name, last name and affiliation.  Conference call information is listed below:

 

 

US Toll-Free: 866-844-9416

International Toll: International Numbers

Call Leader Name: Frank Rosen

Participant Passcode/Pin: 6529163

This event is open to the public on a first-come, first-served basis.

Note: The open Commission meeting that was previously scheduled for January 17, 2012, and announced in a Sunshine Notice published in the Federal Register on December 20, 2011, will not be held. The next open Commission meeting is scheduled for January 25, 2012.

CFTC Press Release 6162-12

View Archived Webcast

Opening Statements:

Opening Statement of Chairman Gary Gensler

Chairman Gensler’s Statement of Support of the Dodd-Frank Rulemakings

Opening Statement of Commissioner Jill Sommers

Opening Statement of Commissioner Bart Chilton

Opening Statement of Commissioner Scott D. O’Malia
Commissioner O’Malia Statement on Volcker Rule
Commissioner O’Malia Statement on Protection of Cleared Swaps Customer Contracts and Collateral

Opening Statement of Commissioner Mark P. Wetjen

Additional Documents:

Dodd-Frank Title VII Final Rules and Interpretive Orders the CFTC may consider in 2012

Fact Sheet: Final Rule on the Protection of Cleared Swaps Customer Contracts and Collateral and Conforming Amendments to the Commodity Broker Bankruptcy Provisions
Q&A: Final Rule on the Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions

— Approved 4 – 1

Fact Sheet: Final Rules Regarding Business Conduct Standards for Swap Dealers and Major Swap Participants Dealing with Counterparties
Q&A: Business Conduct Standards for Swap Dealers and Major Swap Participants with Counterparties Final Rulemaking

— Approved 4 – 1

Fact Sheet: Final Regulations Regarding Registration of Swap Dealers and Major Swap Participants
Q&A: Final Registration Process Regulations for Swaps Entities

— Approved 5 – 0 (both the final rule and delegation of authority order)

Fact Sheet: Proposed Rule Regarding Prohibitions and Restrictions on Proprietary Trading (Volcker Rule)
— Approved 3 – 2

Federal Register Releases:

77 FR 2708: Performance of Registration Functions by National Futures Association With Respect To Swap Dealers and Major Swap Participants

77 FR 6336: 17 CFR Parts 22 and 190 Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions

77 FR 9734: 17 CFR Parts 4 and 23 Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties
EBSA Letter to CFTC Regarding: Business Conduct Standards Rules

77 FR 2613: 17 CFR Parts 1, 3, 23, and 170 Registration of Swap Dealers and Major Swap Participants

77 FR 8332: 17 CFR Part 75 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Covered Funds


Last Updated: October 17, 2014