EVENT: Commission Meetings Feb 23, 2012


Transcript

CFTC Open Meeting on One Final Rule and One Proposed Rule


The Commodity Futures Trading Commission (CFTC) will hold a public meeting to consider one final rule and one proposed rule on the following topics:

    (1) Final Rule: Swap Dealer and Major Swap Participant Recordkeeping and Reporting, Duties, and Conflicts of Interest Policies and Procedures; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Swap Dealer, Major Swap Participant, and Futures Commission Merchant Chief Compliance Officer; and

    (2) Proposed Rule: Procedures to Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades; Further Measures to Protect the Identities of Parties to Swap Transactions (Reproposal).

When:

Thursday, February 23, 2011, 9:30 a.m. (ET)

Where:

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

Topic:

Open meeting to consider two final rules and one proposed rule under the Dodd-Frank Wall Street Reform and Consumer Protection Act.

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: CFTC

Participant Passcode/Pin: CFTC

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

CFTC Press Release 6184-12

CFTC Press Release 6182-12

Sunshine Act Notice

View Archived Webcast

Opening Statements:

Opening Statement of Chairman Gary Gensler

Chairman Gensler’s Statements of Support

Opening Statement of Commissioner Jill Sommers

Opening Statement of Commissioner Bart Chilton

Opening Statement of Commissioner Scott O’Malia
Commissioner O’Malia’s Statement on Block Trade Reproposal
Commissioner O’Malia’s letter to OMB Director Jeffrey Zients

Additional Documents:

Fact Sheet: Final Rule on SD and MSP Recordkeeping and Reporting, Duties, and Conflicts of Interest Policies and Procedures; FCM and Introducing Broker Conflicts of Interest Policies and Procedures; SD, MSP, and FCM Chief Compliance Officer
Q&A: Final Rule on SD and MSP Recordkeeping and Reporting, Duties, and Conflicts of Interest Policies and Procedures; FCM and Introducing Broker Conflicts of Interest Policies and Procedures; SD, MSP, and FCM Chief Compliance Officer

Approved 3 – 2

Fact Sheet: Proposed Rule on Procedures to Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades; Further Measures to Protect the Identities of Parties to Swap Transactions (Reproposal)
Q&A: Procedures to Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades; Further Measures to Protect the Identities of Parties to Swap Transactions (Reproposal)

Approved 3 – 2

Federal Register Releases:

77 FR 15460: 17 CFR Part 43 Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades

77 FR 20128: 17 CFR Parts 1, 3, and 23 Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants


Last Updated: October 17, 2014