EVENT: Archive Nov 10, 2010


Transcript

Open Meeting on Fourth Series of Proposed Rules under the Dodd-Frank Act


The Commodity Futures Trading Commission (CFTC) will hold a public meeting to consider the issuance of proposed rulemakings under the Dodd-Frank Wall Street Reform and Consumer Protection Act.

When:

Wednesday, November 10, 2010, 1:00 PM (ET)

Where:

CFTC’s Hearing Room, 1155 21st, NW, Washington DC

Topic:

Fourth Series of Proposed Rulemakings under the Dodd-Frank Act

This event is open to the public.

View Archived Webcast

Sunshine Act Meeting

CFTC Press Release 5932-10

Opening Statements:

Opening Statement of Chairman Gary Gensler

Opening Statement of Commissioner Scott O’Malia

Statement on Support of the Dodd-Frank Rulemaking of Chairman Gary Gensler

Additional Documents:

Fact Sheet: Proposed Rule on Designation of Chief Compliance Officer and Preparation of Annual Compliance Report
Q&A: Designation of Chief Compliance Officer and Preparation of Annual Compliance Report

Fact Sheet: Proposed Rule on Conflicts of Interest for Swap Dealers, Major Swap Participants, Futures Commission Merchants, and Introducing Brokers
Q&A: Conflicts of Interest for Swap Dealers, Major Swap Participants, Futures Commission Merchants, and Introducing Brokers

Fact Sheet: Proposed Rule on Duties for Swap Dealers and Major Swap Participants
Q&A: Duties for Swap Dealers and Major Swap Participants

Fact Sheet: Proposed Rules Regarding the Registration of Foreign Boards of Trade
Q&A: Registration of Foreign Boards of Trade

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

Fact Sheet: Notice of Proposed Rulemaking on Whistleblower Incentives and Protection
Q&A: Notice of Proposed Rulemaking

Proposed Rules:

75 FR 70974: 17 CFR Part 48 Registration of Foreign Boards of Trade

75 FR 70881: 17 CFR Part 3 Designation of a Chief Compliance Officer; Required Compliance Policies; and Annual Report of a Futures Commission Merchant, Swap Dealer, or Major Swap Participant

75 FR 71397: 17 CFR Part 23 Regulations Establishing and Governing the Duties of Swap Dealers and Major Swap Participants

75 FR 71391: 17 CFR Part 23 Implementation of Conflicts of Interest Policies and Procedures by Swap Dealers and Major Swap Participants

75 FR 71379: 17 CFR Parts 3, 23 and 170 Registration of Swap Dealers and Major Swap Participants

75 FR 75728: 17 CFR Part 165 Implementing the Whistleblower Provisions of Section 23 of the Commodity Exchange Act


Last Updated: February 9, 2015