Comments on FICC Rulemaking

Notice of Filing of a Proposed Rule Change to Introduce Cross-Margining of Certain Positions Cleared at the Fixed Income Clearing Corporation and Certain Positions Cleared at New York Portfolio Clearing, LLC

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Date Received
Date Letter Type Commenter Name
Public Comment Michael Bodson, Chief Operating Officer and President, Fixed Income Clearing Corporation, and Walt Lukken, Chief Executive Officer, New York Portfolio Clearing, LLC
Meeting with SEC Officials Memorandum from the Office of Commissioner Troy A. Paredes regarding a February 14, 2011, meeting with a representative of New York Portfolio Clearing
Public Comment Michael Bodson, Executive Managing Director, Fixed Income Clearing Corporation, and Walt Lukken, Chief Executive Officer, New York Portfolio Clearing, LLC
Meeting with SEC Officials Memorandum from Division of Trading and Markets regarding a January 25, 2011 phone call with representatives of the Fixed Income Clearing Corporation, New York Portfolio Clearing, and NYSE Liffe US
Meeting with SEC Officials Memorandum from Division of Trading and Markets regarding a January 11, 2011, phone call with staff from the Options Clearing Corporation
Meeting with SEC Officials Memorandum from Division of Trading and Markets regarding a January 14, 2011 phone call with staff from the Fixed Income Clearing Corporation
Public Comment Alex Kogan, Vice President and Deputy General Counsel, The NASDAQ OMX Group, Rockville, Maryland
Public Comment Douglas Landy, Allen & Overy LLP, on behalf of the Fixed Income Clearing Corporation
Public Comment Adam Cooper, Senior Managing Director and Chief Legal Officer, Citadel LLC, Chicago, Illinois
Public Comment Donald R. Wilson, Jr., DRW Trading Group
Public Comment Gary DeWaal, Senior Managing Director and Group General Counsel, Newedge USA, LLC, New York, New York
Public Comment Joan Conley, Senior Vice President and Corporate Secretary, NASDAQ OMX, Rockville, Maryland
Public Comment John McCarthy, General Counsel, Global Electronic Trading Company, Chicago, Illinois
Public Comment William H. Navin, Executive Vice President and General Counsel, The Options Clearing Corporation
Public Comment Bert Fuqua, Managing Director and Counsel, and David Kelly, Managing Director, Legal, UBS Securities LLC
Public Comment John Willian, Managing Director, Goldman, Sachs & Co.
Public Comment Richard D. Marshall, Ropes & Gray LLP
Public Comment John C. Hiatt, Chief Administrative Officer, Ronin Capital LLC
Public Comment Ronald H. Filler, Professor of Law, Director, Center on Financial Services Law, New York Law School
Public Comment Douglas J. Engmann, President, Engmann Options, Inc., San Francisco, California
Public Comment Jack DiMaio, Managing Director, Morgan Stanley, New York, New York

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FICC-2010-09
Release Number
34-63361
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