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Governance and Conflict of Interest Controls for Clearing Agencies, Swap Execution Facilities and Exchanges:
Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act


Submitted Comments

(Click here for meetings with SEC officials)
Jun. 6, 2012 Daniel E. Glatter, GFI Group Inc., Assistant General Counsel, New York, New York
Sep. 12, 2011 Christopher A. Klem, Ropes & Gray LLP
Sep. 8, 2011 ABA Securities Association, American Council of Life Insurers, Financial Services Roundtable, Futures Industry Association, Institute of International Bankers, International Swaps and Derivatives Association and the Securities Industry and Financial Markets Association
May 31, 2011 Futures Industry Association, The Financial Services Roundtable, Institute of International Bankers, Insured Retirement Institute, International Swaps and Derivatives Association, Securities Industry and Financial Markets Association, and U.S. Chamber of Commerce
May 4, 2011 Financial Services Forum, Futures Industry Association, International Swaps and Derivatives Association, and Securities Industry and Financial Markets Association
Apr. 14, 2011 "Swap Dealers and Major Swap Participants Should Not be Treated as Identical Twins" submitted by Blackrock
Mar. 24, 2011 Richard H. Baker, President & Chief Executive Officer, Managed Funds Association
Feb. 3, 2011 Gerald Donini, Barclays Capital Inc.
Nov. 1, 2010 James Hill, Managing Director, Morgan Stanley
Oct. 27, 2010 Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, SIFMA
Oct. 6, 2010 Ernest Goodrich and Marcelo Riffaud, Deutche Bank AG
Sep. 29, 2010 Neal Brady, Chief Executive Officer, Eris Exchange LLC
Sep. 24, 2010 Roger Liddell, Chief Executive, LCH.Clearnet
Sep. 17, 2010 David Geen, General Counsel, International Swaps and Derivatives Association, Inc.
Sep. 15, 2010 Hall S. Scott, President & Director, Committee on Capital Markets Regulation
Sep. 13, 2010 Letter from Raymond May Regarding the Roundtable on Governance and Conflicts of Interest in the Clearing and Listing of Swaps
Aug. 24, 2010 Communication from Darrell Duffie Regarding the Minimal Size of Clearing Members
Aug. 5, 2010 Coalition for Derivatives End-Users
Jul. 28, 2010 Robin McLeish, Virginia Beach, Virginia

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Mar. 28, 2013 Memorandum from the Division of Trading and Markets regarding a March 21-22, 2013 meeting between OTC Derivatives Regulators Forum members and representatives of certain central counterparties (CCPs), trade repositories (TRs) and ISDA
Oct. 26, 2012 Memorandum from the OTC Derivatives Regulators Forum regarding an October 16, 2012, meeting with representatives of certain central counterparties (CCPs) and trade repositories (TRs)
Oct. 21, 2011 Memorandum from the Division of Trading and Markets regarding an October 5, 2011 meeting between OTC Derivatives Regulators Forum members and representatives of certain central counterparties
Sep. 26, 2011 Memorandum from the Division of Trading and Markets regarding a meeting with a Representative of the Swaps & Derivatives Market Association
Jun. 21, 2011 Memorandum from the Division of Trading and Markets regarding a telephone call with a representative from Citadel LLC
Jun. 20, 2011 Memorandum from the Division of Trading and Markets regarding a telephone call with representatives from D. E. Shaw & Co., L.P.
Jun. 15, 2011 Memorandum from the Division of Trading and Markets regarding a telephone call with a representative from BlueMountain Capital Management LLC
Jun. 6, 2011 Memorandum from the Division of Trading and Markets regarding a June 6, 2011, telephone call with representatives of Citadel LLC and Winston & Strawn LLP
Jun. 3, 2011 Memorandum from the Division of Trading and Markets regarding a June 3, 2011, telephonic meeting with representatives from BNY Mellon Clearing
May 20, 2011 Memorandum from the Division of Trading and Markets regarding a May 20, 2011, meeting with representatives from Morgan Stanley
May 13, 2011 Memorandum from the Division of Trading and Markets regarding a May 13, 2011, meeting with a representative from Kalorama Partners, LLC
May 13, 2011 Memorandum from the Division of Trading and Markets regarding a May 12, 2011, meeting with representatives from Barclays Capital
May 13, 2011 Memorandum from the Division of Trading and Markets regarding an April 27, 2011, meeting with representatives from the Securities Industry and Financial Markets Association (SIFMA)
May 11, 2011 Memorandum from the Division of Trading and Markets regarding a May 9, 2011, telephonic meeting with representatives the Capital Steering Committee of the Securities Industry and Financial Markets Association (SIFMA)
May 10, 2010 Memorandum from the Division of Trading and Markets regarding a May 10, 2011, meeting with representatives of Citadel LLC and Delta Strategy Group
May 5, 2011 Memorandum from the Division of Trading and Markets regarding a May 5, 2011, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA), et al.
May 4, 2011 Memorandum from the Division of Trading and Markets regarding a May 4, 2011, meeting with representatives of the Institute of International Bankers (IIB)
Apr. 21, 2011 Memorandum from the Office of the Chairman regarding an April 21, 2011, meeting with representatives of the International Swaps and Derivatives Association, Inc.
Mar. 30, 2011 Memorandum from the Division of Trading and Markets regarding a March 30, 2011, meeting with representatives of Nomura Securities International, Inc.
Mar. 25, 2011 Memorandum from the Division of Trading and Markets regarding a March 25, 2011, meeting with representatives of Goldman Sachs
Mar. 21, 2010 Memorandum from the Division of Trading and Markets regarding March 16 and 18, 2011, telephone calls with a representative of Citadel LLC
Mar. 9, 2011 Memorandum from the Division of Trading and Markets regarding a March 9, 2011, meeting with representatives from and members of the Managed Funds Association (MFA)
Mar. 3, 2011 Memorandum from the Division of Trading and Markets regarding a March 3, 2011, meeting with representatives of the Institute of International Bankers (IIB)
Mar. 1, 2011 Memorandum from the Division of Trading and Markets regarding a March 1, 2011, meeting with representatives of Nomura Holding America Inc. and Nomura Securities International, Inc
Feb. 18, 2011 CFTC Phase-in Implementation Discussion
Jan. 31, 2011 Memorandum from the Office of Commissioner Walter regarding a January 31, 2011, meeting with representatives of Nomura Holding America Inc.
Dec. 3, 2010 Memorandum from the Office of Commissioner Paredes regarding a November 10, 2010, meeting with representatives of ISDA and Kalorama Partners
Dec. 3, 2010 Memorandum from the Office of Commissioner Paredes regarding a November 10, 2010, meeting with representatives of LCH.Clearnet and Rich Feuer Group
Nov. 15, 2010 Memorandum from the Division of Trading and Markets regarding a November 2, 2010 meeting with the OTC Derivatives Regulators Forum members and representatives of certain central counterparties
Nov. 12, 2010 Memorandum from the Division of Trading and Markets regarding a November 10, 2010 meeting with representatives of ERISA-Regulated Pension Plans
Oct. 28, 2010 Memorandum from the Division of Trading and Markets re: Meeting with the Capital Steering Committee of the Securities Industry and Financial Markets Association
Oct. 28, 2010 Memorandum from the Division of Trading and Markets re: Phone Conference with Representatives of the Depository Trust and Clearing Corporation
Oct. 13, 2010 Memorandum from the Office of Commissioner Troy A. Paredes regarding a October 13, 2010 meeting with representatives of Goldman Sachs
Oct. 13, 2010 Memorandum from the Division of Trading and Markets regarding an October 13, 2010 meeting with representatives of various Buy-Side Firms
Oct. 8, 2010 Memorandum from the Division of Risk, Strategy, and Financial Innovation regarding an October 8, 2010 meeting with representatives from The Depository Trust & Clearing Corporation
Oct. 6, 2010 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a September 30, 2010 meeting with representatives of The Depository Trust & Clearing Corporation
Sep. 30, 2010 Memorandum from the Division of Trading and Markets regarding a September 30, 2010 meeting representatives of the ICE Trust
Sep. 23, 2010 Memorandum from the Division of Trading and Markets regarding a September 23, 2010, meeting with representatives of Javelin Capital Markets, LLC
Sep. 22, 2010 Memorandum from the Division of Trading and Markets re: U.S. Chamber of Commerce, Center for Capital Markets Competitiveness event on "Over the Counter (OTC) Derivatives Reform: Preparing for a Changing Marketplace."
Sep. 20, 2010 Memorandum from the Division of Trading and Markets regarding a September 17, 2010 meeting with the CFTC and representatives from certain pension plans
Sep. 17, 2010 Memorandum from the Division of Trading and Markets regarding a September 17, 2010 meeting (p.m.) with representatives of Morgan Stanley
Sep. 17, 2010 Memorandum from the Division of Trading and Markets regarding a September 17, 2010 meeting (a.m.) with representatives of Morgan Stanley
Sep. 10, 2010 Memorandum from the Division of Trading and Markets regarding an August 17, 2010 afternoon meeting with representatives of TriOptima
Sep. 8, 2010 Memorandum from the Division of Trading and Markets regarding a September 8, 2010 meeting with representatives of Tradeweb, LLC
Sep. 1, 2010 Memorandum from the Division of Trading and Markets regarding a September 1, 2010 meeting with representatives from the Conference of State Bank Supervisors ("CSBS"), the National Association of Insurance Commissioners ("NAIC"), and the North American Securities Administrators Association ("NASAA")"
Aug. 30, 2010 Memorandum from the Division of Trading and Markets regarding an August 27, 2010 meeting with representatives of Americans for Financial Reform, et al.
Aug. 26, 2010 Memorandum from the Division of Trading and Markets regarding an August 26, 2010 meeting with representatives of the International Swaps and Derivatives Association (ISDA)
Aug. 25, 2010 Memorandum from the Division of Trading and Markets regarding an August 25, 2010 meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA), et al.
Aug. 25, 2010 Memorandum from the Office of International Affairs regarding an August 25, 2010 meeting with a representative of the Institute of International Finance
Aug. 23, 2010 Memorandum from the Division of Trading and Markets regarding an August 23, 2010 meeting with representatives of D.E. Shaw
Aug. 17, 2010 Memorandum from the Division of Trading and Markets regarding an August 12, 2010 meeting with representatives of the dealer industry
Aug. 16, 2010 Memorandum from the Office of Commissioner Paredes regarding an August 16, 2010, meeting with representatives of Nasdaq
Aug. 11, 2010 Memorandum from the Division of Trading and Markets regarding an August 11, 2010 meeting with representatives of J.P. Morgan
Aug. 19, 2010 Memorandum from the Division of Trading and Markets regarding an August 19, 2010 phone meeting with JPMorgan Chase & Co. regarding OTC Derivative Legislation
Aug. 3, 2010 Memorandum from the Division of Trading and Markets regarding an August 3, 2010 meeting with representatives of the International Swaps and Derivatives Association and the Securities Industry and Financial Markets Association

 

http://www.sec.gov/comments/df-title-vii/governance/governance.shtml


Modified: 04/01/2013