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Date
MEETING WITH
REGARDING RULEMAKING
American Securitization Forum (ASF)
Latham & Watkins
Credit Suisse Securities
BMO Capital Markets
RBC
Honda
Latham & Watkins
Credit Suisse Securities
BMO Capital Markets
RBC
Honda
Clearing Requirement
Topics of discussion: clearing requirements; SEFs
XIII. SEF Registration
SIFMA Asset Management Group
III. Business Conduct Standards w/ Counterparties
General
General
Fidelity
MFS Investment Management
SIFMA
SIFMS Assest Management Group
BlackRock
Vanguard
Ameriprise
AllianceBernstein
Goldman Sachs Assest Management
MFS Investment Management
SIFMA
SIFMS Assest Management Group
BlackRock
Vanguard
Ameriprise
AllianceBernstein
Goldman Sachs Assest Management
Cross-Border
Futures Industry Association (FIA)
National Futures Association (NFA)
Bank of America Merrill Lynch
Barclays
BlackRock
BMO Harris
BNY Mellon
Brown Brothers
CitiGroup
CME Group
Credit Suisse
JP Morgan
Mizuho
State Street
National Futures Association (NFA)
Bank of America Merrill Lynch
Barclays
BlackRock
BMO Harris
BNY Mellon
Brown Brothers
CitiGroup
CME Group
Credit Suisse
JP Morgan
Mizuho
State Street
General
Investment Industry Association of Canada
CIBC World Markets Inc.
Canaccord Financial Inc.
National Bank Financial
Raymond James Ltd.
FirstEnergy Capital Corp.
Assante Wealth Management Inc.
Macquarie Private Wealth Inc.
GMP Securities L.P.
BMO Capital Markets
TD Bank Group
Desjardins Group
RBC Dominion Securities
Scotiabank Global Banking and Markets
RBC Capital Markets
CIBC World Markets Inc.
Canaccord Financial Inc.
National Bank Financial
Raymond James Ltd.
FirstEnergy Capital Corp.
Assante Wealth Management Inc.
Macquarie Private Wealth Inc.
GMP Securities L.P.
BMO Capital Markets
TD Bank Group
Desjardins Group
RBC Dominion Securities
Scotiabank Global Banking and Markets
RBC Capital Markets
Cross-Border
FIA
National Pork Producers Association
National Council of Farmer Cooperatives
American Farm Bureau
National Grain and Feed Association
National Pork Producers Association
National Council of Farmer Cooperatives
American Farm Bureau
National Grain and Feed Association
General
Bluecrest Capital
Brevan Howard US
Winton Capital Management Ltd.
Alternative Investment Mangement Association (AIMA)
Crossroad Strategies
Brevan Howard US
Winton Capital Management Ltd.
Alternative Investment Mangement Association (AIMA)
Crossroad Strategies
Cross-Border
DTCC
XVI. Swap Data Repositories Registration
XVII. Data Recordkeeping
XVIII. Real Time Reporting
XVII. Data Recordkeeping
XVIII. Real Time Reporting
trueEx
Alliance Bernstein
Citi Mortgages
Eaton Vance
Sullivan & Cromwell
Alliance Bernstein
Citi Mortgages
Eaton Vance
Sullivan & Cromwell
General
Full Physical Segregation Working Group
VI. Segregation and Bankruptcy
Nomura
RBC
Deutsche Bank
Natisis Commodity Markets
Citigroup
BP
Newedge
Goldman Sachs
ICAP
ICE Futures Europe
CME Europe
Nasdaq OMX
LME
LCH Clearnet
UBS
Jefferies
BNP Paribas
Mizuho Securities USA
FOA
US Embassy
RBC
Deutsche Bank
Natisis Commodity Markets
Citigroup
BP
Newedge
Goldman Sachs
ICAP
ICE Futures Europe
CME Europe
Nasdaq OMX
LME
LCH Clearnet
UBS
Jefferies
BNP Paribas
Mizuho Securities USA
FOA
US Embassy
VI. Segregation and Bankruptcy
Cross-Border
Cross-Border
Fidelity
PIMCO
Vanguard
SIFMA
Goldman Sachs Asset Management
JP Morgan
PIMCO
Vanguard
SIFMA
Goldman Sachs Asset Management
JP Morgan
XIII. SEF Registration
CME, Morgan Stanley, Bank of New York Mellon, PIMCO, Skadden, Davis Polk, Emmet Marvin, Katten Muchin
VI. Segregation and Bankruptcy
Tri-State Coalition for Responsible Investment
Missionary Oblates of Mary Immaculate/Interfaith Center for Corporate Responsibility
Institute for Agriculture and Trade Policy
Missionary Oblates of Mary Immaculate/Interfaith Center for Corporate Responsibility
Institute for Agriculture and Trade Policy
XXVI. Position Limits
Ford
Honeywell
National Association of Manufacturers
Financial Executives International
National Association of Real Estate Investment Trusts
Chatham Financial
General Electric
U.S. Chamber of Commerce
Gibson Dunn
Business Roundtable
United Technologies Corp.
Honeywell
National Association of Manufacturers
Financial Executives International
National Association of Real Estate Investment Trusts
Chatham Financial
General Electric
U.S. Chamber of Commerce
Gibson Dunn
Business Roundtable
United Technologies Corp.
XI. End-user Exception
Cross-Border
General
Cross-Border
General
Sutherland Asbill & Brennan LLP
The Association of Bermuda Insurers & Reinsurers
The Association of Bermuda Insurers & Reinsurers
II. Definitions
General
General
SIFMA AMG
Fidelity
PIMCO
Vanguard
Goldman Sachs Asset Management
Fidelity
PIMCO
Vanguard
Goldman Sachs Asset Management
XIII. SEF Registration
General
General
Fidelity
PIMCO
Vanguard
SIFMA
Goldman Sachs Asset Managment
PIMCO
Vanguard
SIFMA
Goldman Sachs Asset Managment
XIII. SEF Registration
NGSA
APPA
Conoco Phillips
Shell Energy North America
Devon Gas Services
Owensboro Municipal Utilities
Sacramento Municipal Utilities District
APPA
Conoco Phillips
Shell Energy North America
Devon Gas Services
Owensboro Municipal Utilities
Sacramento Municipal Utilities District
XXVI. Position Limits
General
General
Skadden, CME, Morgan Stanley, Katten Muchin Rosenman LLP, PIMCO, Davis Polk
VI. Segregation and Bankruptcy
Alternative Invement Management Association (AIMA)
Managed Funds Association (MFA)
Delta Strategies
Managed Funds Association (MFA)
Delta Strategies
Cross-Border
BGC Partners
WMBA
Tradition
Tullett Prebon
ICAP
Patton Boggs
WMBA
Tradition
Tullett Prebon
ICAP
Patton Boggs
XIII. SEF Registration
General
General
Citi
JP Morgan
Wells Fargo
Bank of America
Goldman Sachs
UBS
Cleary Gottlieb
The Clearing House
JP Morgan
Wells Fargo
Bank of America
Goldman Sachs
UBS
Cleary Gottlieb
The Clearing House
General
AFL-CIO
AFSCME
Laborers’ International Union of North America
Airline Pilots Association
AFSCME
Laborers’ International Union of North America
Airline Pilots Association
General
CME
XIII. SEF Registration
XVI. Swap Data Repositories Registration
General
XVI. Swap Data Repositories Registration
General
ICE
XII. DCM Core Principles
XVI. Swap Data Repositories Registration
General
XVI. Swap Data Repositories Registration
General
Alternative Investment Management Association (AIMA)
Crossroad Strategies
Crossroad Strategies
Cross-Border
Investment Company Institute (ICI)
U.S. Chamber of Commerce
U.S. Chamber of Commerce
XXVII. Investment Adviser Reporting
PMAA
New England Fuel Institute (NEFI)
A4A (Airlines Association)
New England Fuel Institute (NEFI)
A4A (Airlines Association)
XXVI. Position Limits
Futures Industry Association (FIA)
Barclays Capital
Morgan Stanley
Citi
Credit Suisse
Vitol
Cadwalader
Barclays Capital
Morgan Stanley
Citi
Credit Suisse
Vitol
Cadwalader
Aggregation Policy for Position Limits
JP Morgan
UBS
Barclays
Citigroup
RBS
Bank of America
Morgan Stanley
Clifford Chance
UBS
Barclays
Citigroup
RBS
Bank of America
Morgan Stanley
Clifford Chance
General
ISDA
Morgan Stanley
Wellington
Goldman Sachs
Bank of America
Morgan Stanley
Wellington
Goldman Sachs
Bank of America
XIII. SEF Registration
European Union
British Embassy
Canadian Embassy
Swiss Embassy
French Embassy
Japanese Embassy
British Embassy
Canadian Embassy
Swiss Embassy
French Embassy
Japanese Embassy
General
AGA
Northwest Natural Gas Company
Atmos Energy Company
MidAmerican Energy Company
National Fuel Gas Distribution Company
Northwest Natural Gas Company
Atmos Energy Company
MidAmerican Energy Company
National Fuel Gas Distribution Company
General
NW Natural
Atmos Energy Corporation
National Fuel
MidAmerican Energy
American Gas Association
Atmos Energy Corporation
National Fuel
MidAmerican Energy
American Gas Association
XXI. Joint Rules w/ SEC
American Gas Association
Northwest Natural Gas Company
Atmos Energy Group
National Fuel Gas Distribution Company
Northwest Natural Gas Company
Atmos Energy Group
National Fuel Gas Distribution Company
General
Direct Energy
Hess Corporation
Mid-American Energy
Trading Risk Management
Next Era
Sutherland
Hess Corporation
Mid-American Energy
Trading Risk Management
Next Era
Sutherland
General
Bloomberg
XIII. SEF Registration
XVI. Swap Data Repositories Registration
XVI. Swap Data Repositories Registration
State Street
Brevan Howard
Citadel
Alliance Bernstein
Delta Strategy Group
Brevan Howard
Citadel
Alliance Bernstein
Delta Strategy Group
General
American Public Gas Association
Huntsville Utilities
Public Energy Authority of Kentucky
Municipal Gas Authority of Georgia
Elk River Public Utility District
Florida Gas Utility
Tennergy
WilmerHale
Huntsville Utilities
Public Energy Authority of Kentucky
Municipal Gas Authority of Georgia
Elk River Public Utility District
Florida Gas Utility
Tennergy
WilmerHale
General
Bank of America
Barclays
Citi
Deutsche Bank
Goldman Sachs
HSBC
Morgan Stanley
Davis Polk
SIFMA
Barclays
Citi
Deutsche Bank
Goldman Sachs
HSBC
Morgan Stanley
Davis Polk
SIFMA
General
R. Bryan Woodard (State Street Corp.)
other representatives of State Street Corp.
Graham Harper (Delta Strategies)
other representatives of State Street Corp.
Graham Harper (Delta Strategies)
IX. Governance & Possible Limits
Southern California Edison (SCE)
Southern Co. (Southern)
Balch & Bingham LLP
Southern Co. (Southern)
Balch & Bingham LLP
XXI. Joint Rules w/ SEC
Annaly Capital Management
Latham & Watkins LLP
Barclays
RBS
Ford Motor Credit
Bank of America Merrill Lynch
Royal Bank of Canada
Ford Motor Credit
American Securitization Forum
Latham & Watkins LLP
Barclays
RBS
Ford Motor Credit
Bank of America Merrill Lynch
Royal Bank of Canada
Ford Motor Credit
American Securitization Forum
II. Definitions
General
General
Annaly Capital Managment
Latham & Watkins LLP
Barclys
RBS
Ford Motor Credit
Bank of American Merrill Lynch
Royal Bank of Canada
American Securitization Forum
Latham & Watkins LLP
Barclys
RBS
Ford Motor Credit
Bank of American Merrill Lynch
Royal Bank of Canada
American Securitization Forum
II. Definitions
General
General
Embassy of Canada
European Commission
Embassy of Germany
Embassy of Switzerland
Embassy of France
Embassy of France/French CG NYC
Embassy of Mexico
British Embassy
European Commission
Embassy of Germany
Embassy of Switzerland
Embassy of France
Embassy of France/French CG NYC
Embassy of Mexico
British Embassy
General
SSgA, Natixis, BNY Mellon, Fidelity Investments, Patton Boggs
XXVIII. Volcker Rule
Institute of International Bankers
Cleary Gottlieb & Hamilton LLP
Cleary Gottlieb & Hamilton LLP
General
Large Public Power Council (Van Ness Feldman)
Tacoma
NY Power Authority
SMUD
Tacoma
NY Power Authority
SMUD
General
New York Power Authority
Tacoma Public Utilities
Sacramento Municipal Utility Dostrict
Van Ness Feldman Law Firm
Tacoma Public Utilities
Sacramento Municipal Utility Dostrict
Van Ness Feldman Law Firm
General
Winton
Caxton
Brevan Howard
King Street
Moore
Zaff
Sullivan & Cromwell
HBK
Partner Fund Management
Credit Suisse
Tudor
MFA
Caxton
Brevan Howard
King Street
Moore
Zaff
Sullivan & Cromwell
HBK
Partner Fund Management
Credit Suisse
Tudor
MFA
General
Alernative Investment Management Association (AIMA)
V. Capital & Margin
General
General
American Securitization Forum
Annaly Capital Management
Latham & Watkins LLP
RBS
Bank of America Merrill Lynch
Ford
Annaly Capital Management
Latham & Watkins LLP
RBS
Bank of America Merrill Lynch
Ford
General
Bank of America Merrill Lynch
Deutsche Bank
Goldman Sachs
ISDA
PIMCO
Societs Generale
Deutsche Bank
Goldman Sachs
ISDA
PIMCO
Societs Generale
VI. Segregation and Bankruptcy
VII. DCO Core Principles
VIII. Process for Review of Swaps
XIII. SEF Registration
XVIII. Real Time Reporting
VII. DCO Core Principles
VIII. Process for Review of Swaps
XIII. SEF Registration
XVIII. Real Time Reporting
AQR Capital Management, LLC
Brevan Howard, Inc.
Citadel LLC
Convexity Capital Management
D.E. Shaw & Co.
Eton Park Capital Management, LP
HBK Capital Management
King Street Capital Management, LP
MFA
Brevan Howard, Inc.
Citadel LLC
Convexity Capital Management
D.E. Shaw & Co.
Eton Park Capital Management, LP
HBK Capital Management
King Street Capital Management, LP
MFA
VI. Segregation and Bankruptcy
VII. DCO Core Principles
VIII. Process for Review of Swaps
XIII. SEF Registration
XVIII. Real Time Reporting
VII. DCO Core Principles
VIII. Process for Review of Swaps
XIII. SEF Registration
XVIII. Real Time Reporting
Singapore Exchange
Shearman & Sterling, LLP.
Shearman & Sterling, LLP.
VII. DCO Core Principles
General
General
Institute of International Bankers
HSBC
Cleary Gottlieb Steen Hamilton LLP
HSBC
Cleary Gottlieb Steen Hamilton LLP
General
CMC, NGFA, Sutherland, Bunge, MGEX, The Scoular Company,
NCFC, Icarus Trading, ADM, Growmark, Cargill, Newedge, Katten Law, Macquarie, JP Morgan, Louis Dreyfus Commodities
NCFC, Icarus Trading, ADM, Growmark, Cargill, Newedge, Katten Law, Macquarie, JP Morgan, Louis Dreyfus Commodities
XXXI. Conforming Amendments
General
General
Institute of International Bankers
HSBC
Cleary Gottlieb Steen Hamilton LLP
HSBC
Cleary Gottlieb Steen Hamilton LLP
General
CMC
Delta Strategies
NGFA
The Scoular Company
Chicago Trading Group
Louis Dreyfus Commodities
FIA
Katten Law
ADM
Icarus Trading, LLC
arclays
Growmark
CME Group
Newedge
JP Morgan
Kansas City Board of Trade
Macquarie
Tenco
Delta Strategies
NGFA
The Scoular Company
Chicago Trading Group
Louis Dreyfus Commodities
FIA
Katten Law
ADM
Icarus Trading, LLC
arclays
Growmark
CME Group
Newedge
JP Morgan
Kansas City Board of Trade
Macquarie
Tenco
XXXI. Conforming Amendments
Commodity Markets Council (CMC)
National Grain and Feed Assoc. (NGFA)
Kansas City Board of Trade
Minneapolis Grain Exchange
ABN Amro
RJ O'Brien
a member of the Chicago Board of Trade (CBOT)
National Grain and Feed Assoc. (NGFA)
Kansas City Board of Trade
Minneapolis Grain Exchange
ABN Amro
RJ O'Brien
a member of the Chicago Board of Trade (CBOT)
XXXI. Conforming Amendments
National Council of Farmer Cooperatives (NCFC)
XXXI. Conforming Amendments
Commodity Markets Council (CMC)
National Grain and Feed Assoc. (NGFA)
National Grain and Feed Assoc. (NGFA)
XXXI. Conforming Amendments
Fidelity
Goldman Sachs Asset Management
MFS
PIMCO
Vanguard
Investment Adviser Association
ICI
Managed Fund Association
SIFMA
SIFMA AMG
Davis Polk
Citadel
HBK
Goldman Sachs Asset Management
MFS
PIMCO
Vanguard
Investment Adviser Association
ICI
Managed Fund Association
SIFMA
SIFMA AMG
Davis Polk
Citadel
HBK
General
Fidelity
Goldman Sachs Assets Management
MFS
PIMCO
Vanguard
Investment Adviser Assoc.
ICI
Managed Fund Association
SIFMA AMG
Davis Polk
Citadel
HBK
T. Rowe Price
Goldman Sachs Assets Management
MFS
PIMCO
Vanguard
Investment Adviser Assoc.
ICI
Managed Fund Association
SIFMA AMG
Davis Polk
Citadel
HBK
T. Rowe Price
VI. Segregation and Bankruptcy
Vitol
Shell Energy North America
Direct Energy
Hess
Sutherland Asbill & Brennan LLP
Shell Energy North America
Direct Energy
Hess
Sutherland Asbill & Brennan LLP
General
Vitol
Shell Energy North America
Direct Energy
Hess
Sutherland Asbill & Brennan LLP
Shell Energy North America
Direct Energy
Hess
Sutherland Asbill & Brennan LLP
General
ISDA
Mayer Brown
Morgan Stanley
Mayer Brown
Morgan Stanley
IV. Business Conduct Standards – Internal
Morgan Stanley
HSBC Bank
Citigroup
Deutsche Bank
Goldman Sachs & Co.
HSBC Bank
Citigroup
Deutsche Bank
Goldman Sachs & Co.
General
Morgan Stanley
HSBC Bank USA
Citigroup Global Markets Inc.
Deutsche Bank
Goldman Sachs & Co.
HSBC Bank USA
Citigroup Global Markets Inc.
Deutsche Bank
Goldman Sachs & Co.
General
JPMorgan Chase
Citi
BNY Mellon
Credit Suisse
Morgan Stanley
Bank of America
Allstate Insurance
AIG
Citi
BNY Mellon
Credit Suisse
Morgan Stanley
Bank of America
Allstate Insurance
AIG
General
Securities Industry and Financial Markets Association
Davis Polk & Wardwell
Davis Polk & Wardwell
General
Honeywell
Prudential
GE
U.S. Chamber of Commerce
National Association of Manufacturers
Gibson Dunn
Financial Executives International
Prudential
GE
U.S. Chamber of Commerce
National Association of Manufacturers
Gibson Dunn
Financial Executives International
General
"SEF Coalition," namely:
FX Alliance
ICE
Tradeweb
Latham & Watkins
Rich Feuer Anderson
FX Alliance
ICE
Tradeweb
Latham & Watkins
Rich Feuer Anderson
IX. Governance & Possible Limits
Markit
arkitSERV
M
Markit Valuations
DTCC
Latham & Watkins
arkitSERV
M
Markit Valuations
DTCC
Latham & Watkins
III. Business Conduct Standards w/ Counterparties
V. Capital & Margin
General
V. Capital & Margin
General
GE
Honeywell
IBM
Chatham Financial
U.S. Chamber of Commerce
National Association of Manufacturers
Gibson Dunn
Honeywell
IBM
Chatham Financial
U.S. Chamber of Commerce
National Association of Manufacturers
Gibson Dunn
XI. End-user Exception
General
General
GE
Honeywell
IBM
Gibson Dunn
Chatham Financial
US Chamber of Commerce
Honeywell
IBM
Gibson Dunn
Chatham Financial
US Chamber of Commerce
XI. End-user Exception
General
General
National Rural Electric Cooperative Association (NRECA)
XXI. Joint Rules w/ SEC
Securities Industry and Financial Markets Association
Goldman Sachs & Co.
Davis Polk & Wardwell
Goldman Sachs & Co.
Davis Polk & Wardwell
II. Definitions
Perry Capital, LLC
MFA, Serengeti Asset Managment
MFA, Tenor Capital
Delta Strategy Group
MFA, Serengeti Asset Managment
MFA, Tenor Capital
Delta Strategy Group
General
Not-for Profit Electric Coalition
National Rural Electric Cooperative Association
American Public Power Association
Los Angeles Department of Water and Power (representing the Large Public Power Council)
Bonneville Power Administration
Reed Smith LLP
National Rural Electric Cooperative Association
American Public Power Association
Los Angeles Department of Water and Power (representing the Large Public Power Council)
Bonneville Power Administration
Reed Smith LLP
II. Definitions
Perry Capital LLC
Managed Funds Association
Serengeti Asset Management
Tenor Capital
Delta Strategy Group
Managed Funds Association
Serengeti Asset Management
Tenor Capital
Delta Strategy Group
General
Russell Wasson
Richard Meyer
Susan Kelly
Randy Howard
Sonya Baskerville
Patty Dondanville
Dave Schryver
Richard Meyer
Susan Kelly
Randy Howard
Sonya Baskerville
Patty Dondanville
Dave Schryver
II. Definitions
Coalition of Physical Energy Companies
Bracewell
Shell Energy North America
Bracewell
Shell Energy North America
II. Definitions
Shell
BP
Conoco Phillips
Natural Gas Supply Association
BP
Conoco Phillips
Natural Gas Supply Association
XXVI. Position Limits
CCC Alliance, LLC
Venable LLP
Hartz Capital, Inc.
The Hillman Company
Venable LLP
Hartz Capital, Inc.
The Hillman Company
General
Petroleum Marketers Association of America
New England Fuel Institute
New England Fuel Institute
General
Davis Polk
Fidelity
Goldman Sachs Asset Management
MFS
PIMCO
SIFMA
SIFMA Asset Management Group
Vanguard
Fidelity
Goldman Sachs Asset Management
MFS
PIMCO
SIFMA
SIFMA Asset Management Group
Vanguard
I. Registration
XXVII. Investment Adviser Reporting
XXVII. Investment Adviser Reporting
Davis Polk
Fidelity
Goldman Sachs Asset Management
MFS
MFS
PIMCO
SIFMA
SIFMA Asset Management Group
Vanguard
Fidelity
Goldman Sachs Asset Management
MFS
MFS
PIMCO
SIFMA
SIFMA Asset Management Group
Vanguard
General
Barclays Capital, Inc.
BNP Paribas
CIBC World Markets Corp.
Credit Suisse
Deutsche Bank AG
HSBC Bank USA
Institute of International Bankers (IIB)
Mizuho Corporate Bank, Ltd.
Royal Bank of Canada
Standard Chartered Bank
UBS
BNP Paribas
CIBC World Markets Corp.
Credit Suisse
Deutsche Bank AG
HSBC Bank USA
Institute of International Bankers (IIB)
Mizuho Corporate Bank, Ltd.
Royal Bank of Canada
Standard Chartered Bank
UBS
I. Registration
II. Definitions
XVII. Data Recordkeeping
XVIII. Real Time Reporting
II. Definitions
XVII. Data Recordkeeping
XVIII. Real Time Reporting
Securities Industry and Financial Markets Association
Davis Polk & Wardwell
Systemic Risk Deutsche Bank
Morgan Stanley
Capital Markets Legal Department Citigroup Global Markets Inc.
Global Markets Compliance HSBC Bank USA
Davis Polk & Wardwell
Systemic Risk Deutsche Bank
Morgan Stanley
Capital Markets Legal Department Citigroup Global Markets Inc.
Global Markets Compliance HSBC Bank USA
General
US Bank
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
General
IV. Business Conduct Standards – Internal
General
Institute of International Bankers
Cleary Gottlieb Steen Hamilton LLP
Cleary Gottlieb Steen Hamilton LLP
General
FIA
Goldman Sachs
Newedge
Credit Suisse
R.J. O'Brien
Morgan Stanley
Goldman Sachs
Newedge
Credit Suisse
R.J. O'Brien
Morgan Stanley
VII. DCO Core Principles
The Committee on Investment of Employee Benefit Assests
American Benefits Council
The Eureopeon Pension Federation
Franklin Advisors
General Motors Pension Fund
NISA Investment Advisors
American Benefits Council
The Eureopeon Pension Federation
Franklin Advisors
General Motors Pension Fund
NISA Investment Advisors
General
Managed Funds Association
Citadel Investment Group
King Street Capital Management
HBK Investments
Citadel Investment Group
King Street Capital Management
HBK Investments
XVIII. Real Time Reporting
Block Sizes for Large Notional Off-Facility Swaps
Block Sizes for Large Notional Off-Facility Swaps
CIEBA
Clifford Chance LLP
ABC
Davis & Harman
APG Algemene Pension Group N.V.
APG Assest Managment US Inc.
K&L Gates LLP
Clifford Chance LLP
ABC
Davis & Harman
APG Algemene Pension Group N.V.
APG Assest Managment US Inc.
K&L Gates LLP
General
Petroleum Marketers Association of America
Americans for Financial Reform
Better Markets
Public Citizen
AFL-CIO
University of Maryland
Occupy the SEC
Consumer Federation of America
Demos
Americans for Financial Reform
Better Markets
Public Citizen
AFL-CIO
University of Maryland
Occupy the SEC
Consumer Federation of America
Demos
General
Bloomberg LP
XIII. SEF Registration
XVI. Swap Data Repositories Registration
XVI. Swap Data Repositories Registration
Parity Energy discussed the following aspects of the FNPRM:
- Requested a separate swap category for swaps that are economically related to crude oil options because transactions in such options are typically larger in scale and fewer in number than those in fixed price energy instruments;
- Requested that the final rule to clarify that any natural gas swap with optionality be subject to the minimum block size proposed in Appendix F of the FNPRM for natural gas options rather than the minimum block size for natural gas swaps;
- Recommended setting a separate initial minimum block size for crude oil options at 1,000 contracts, consistent with CME’s minimum block size for Light Sweet Crude Oil options transactions.
- Requested a separate swap category for swaps that are economically related to crude oil options because transactions in such options are typically larger in scale and fewer in number than those in fixed price energy instruments;
- Requested that the final rule to clarify that any natural gas swap with optionality be subject to the minimum block size proposed in Appendix F of the FNPRM for natural gas options rather than the minimum block size for natural gas swaps;
- Recommended setting a separate initial minimum block size for crude oil options at 1,000 contracts, consistent with CME’s minimum block size for Light Sweet Crude Oil options transactions.
XVIII. Real Time Reporting
Block Sizes for Large Notional Off-Facility Swaps
Block Sizes for Large Notional Off-Facility Swaps
ISDA
Morgan Stanley
DE Shaw
Bank of America/Merrill Lynch
Barclay's
Morgan Stanley
DE Shaw
Bank of America/Merrill Lynch
Barclay's
VII. DCO Core Principles
IX. Governance & Possible Limits
XI. End-user Exception
XIII. SEF Registration
IX. Governance & Possible Limits
XI. End-user Exception
XIII. SEF Registration
Office of Rep. Maloney, BGC, ICAP, Tullet Prebon, GFI, Tradition, Patton Boggs
XIII. SEF Registration
National Rural Electric Cooperative Association
American Power Power Association
Van Ness Feldman (for the Large Public Power Council)
Bonneville Power Administration
Reed Smith LLP
American Power Power Association
Van Ness Feldman (for the Large Public Power Council)
Bonneville Power Administration
Reed Smith LLP
General
American Public Gas Association
Bonneville Power Administration
National Rural Electric Cooperative Association
American Public Power Association
Van Ness Feldman (for the Large Public Power Council)
Reed Smith LLP
Bonneville Power Administration
National Rural Electric Cooperative Association
American Public Power Association
Van Ness Feldman (for the Large Public Power Council)
Reed Smith LLP
II. Definitions
Bill Barr and Co, KC
VitaPlus, Madision, WI
Foster Farms, CA
AFIA
Penny Newman Farms, Fenso, CA
VitaPlus, Madision, WI
Foster Farms, CA
AFIA
Penny Newman Farms, Fenso, CA
General
Dominion Resources
GenOn Energy
Edison Electric Institute (EEI)
Cadwalader
Luminant
NextEra Energy
Southern Company
Balch & Bingham LLP
GenOn Energy
Edison Electric Institute (EEI)
Cadwalader
Luminant
NextEra Energy
Southern Company
Balch & Bingham LLP
XI. End-user Exception
Los Angeles Department of Water and Power (LADWP)
Tacoma Public Utilities
Partner Van Ness Feldman Law Firm
Tacoma Public Utilities
Partner Van Ness Feldman Law Firm
II. Definitions
Van Ness Feldman
Los Angeles Department of Water & Power
Tacoma Public Utilities
Los Angeles Department of Water & Power
Tacoma Public Utilities
General
Barclays
Institute of International Bankers
Morgan Stanley
Cleary Gottlieb Steen Hamilton LLP
Institute of International Bankers
Morgan Stanley
Cleary Gottlieb Steen Hamilton LLP
General
John Deere Financial, CAT Financial, Honda Financial Services, Toyota Financial Services
XI. End-user Exception
Pierpont Securities LLC
Pierpoint Derivatives LLC
Pierpoint Derivatives LLC
XVIII. Real Time Reporting
Block Sizes for Large Notional Off-Facility Swaps
Block Sizes for Large Notional Off-Facility Swaps
U.S. Chamber of Commerce End-Users Group
VIII. Process for Review of Swaps
XI. End-user Exception
XI. End-user Exception
Direct
MidAmerican
NextEr
a
Koch
Luminant
Vitol
LDH
COP
Shell
AGL
Sutherland
MidAmerican
NextEr
a
Koch
Luminant
Vitol
LDH
COP
Shell
AGL
Sutherland
XXVI. Position Limits
Maryknoll Office for Global Concerns
Tri-State Coalition for Responsible Investment
Missionary Oblates of Mary Immaculate/Interfaith Center for Corporate Responsibility
U.S. Conference of Catholic Bishops
ActionAid
National Family Farm Coalition
Institute for Agriculture and Trade Policy
Tri-State Coalition for Responsible Investment
Missionary Oblates of Mary Immaculate/Interfaith Center for Corporate Responsibility
U.S. Conference of Catholic Bishops
ActionAid
National Family Farm Coalition
Institute for Agriculture and Trade Policy
XIII. SEF Registration
XXVI. Position Limits
XXVI. Position Limits
American Bankers Association (ABA)
Global Financial Markets Association (GFMA)
Morgan Lewis & Bockius (Morgan Lewis)
JP Morgan (JPM)
Bank of New York Mellon (BONY-Mellon)
Pershing Capital (Pershing)
Global Financial Markets Association (GFMA)
Morgan Lewis & Bockius (Morgan Lewis)
JP Morgan (JPM)
Bank of New York Mellon (BONY-Mellon)
Pershing Capital (Pershing)
XXI. Joint Rules w/ SEC
GE
Honeywell
CAT
John Deere
BP
Gibson Dunn
Peabody Energy
Financial Executives International
Prudential Financial
Principal Financial
Shell
Chatham Financial
National Association of Manufacturers
U.S. Chamber of Commerce
NAREIT
Honeywell
CAT
John Deere
BP
Gibson Dunn
Peabody Energy
Financial Executives International
Prudential Financial
Principal Financial
Shell
Chatham Financial
National Association of Manufacturers
U.S. Chamber of Commerce
NAREIT
XI. End-user Exception
Chamber of Commerce
National Association of Manufacturers
Chatham Financial
Financial Executives International
NAREIT
Principal
Shell Energy
Peabody Energy
General Electric
Caterpillar
John Deere
Honeywell
BP
Prudential Financial
Cargill
Gibson
National Association of Manufacturers
Chatham Financial
Financial Executives International
NAREIT
Principal
Shell Energy
Peabody Energy
General Electric
Caterpillar
John Deere
Honeywell
BP
Prudential Financial
Cargill
Gibson
General
Chamber of Commerce
National Association of Manufacturers
Chatham Financial
Financial Executives International
NAREIT
Principal
Shell Energy
Peabody Energy
General Electric
Caterpillar
John Deere
Honeywell
BP
Prudential Financial
Cargill
Gibson Dunn
National Association of Manufacturers
Chatham Financial
Financial Executives International
NAREIT
Principal
Shell Energy
Peabody Energy
General Electric
Caterpillar
John Deere
Honeywell
BP
Prudential Financial
Cargill
Gibson Dunn
General
Kinetix Trading Solutions
XVIII. Real Time Reporting
Block Sizes for Large Notional Off-Facility Swaps
Block Sizes for Large Notional Off-Facility Swaps
Nebraska
Texas
Kansas
Wisconsin
Oklahoma
Colorado
Illinois
Georgia
North Carolina
Neveda
Iowa
Kansas
Minnesota
Texas
Kansas
Wisconsin
Oklahoma
Colorado
Illinois
Georgia
North Carolina
Neveda
Iowa
Kansas
Minnesota
General
ICAP Energy LLC
ICAP Americas
ICAP Americas
XVIII. Real Time Reporting
Block Sizes for Large Notional Off-Facility Swaps
Block Sizes for Large Notional Off-Facility Swaps
Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
II. Definitions
V. Capital & Margin
XI. End-user Exception
V. Capital & Margin
XI. End-user Exception
SIFMA
Barclays
Morgan Stanley
Institute of International Bankers
Cleary Gottlieb
Barclays
Morgan Stanley
Institute of International Bankers
Cleary Gottlieb
General
Latham & Watkins
GFMA Global FX Division
Goldman Sachs
Managed Funds Association
GFMA Global FX Division
Goldman Sachs
Managed Funds Association
II. Definitions
Natural Gas Supply Association
National Corn Growers Association
National Corn Growers Association
II. Definitions
Loan Syndications Trading Association (LSTA)
Richards Kibbe & Orbe (RKO)
Richards Kibbe & Orbe (RKO)
XXI. Joint Rules w/ SEC
Dominion Resources
Exelon
NextEra Energy Resources
Bracewell & Giuliani
Edison Electric Institute (EEI)
Electric Power Supply Association (EPSA)
Exelon
NextEra Energy Resources
Bracewell & Giuliani
Edison Electric Institute (EEI)
Electric Power Supply Association (EPSA)
II. Definitions
XVII. Data Recordkeeping
XVII. Data Recordkeeping
ConocoPhillips
NextEra
Vitol
Sutherland
MidAmerican
NextEra
NextEra
Vitol
Sutherland
MidAmerican
NextEra
II. Definitions
XVII. Data Recordkeeping
XVII. Data Recordkeeping
American Public Power Association
Large Public Power Council
National Rural Electric Cooperative Association
Large Public Power Council
National Rural Electric Cooperative Association
II. Definitions
MarkitServ
Citadel
UBS
Citadel
UBS
VIII. Process for Review of Swaps
XIII. SEF Registration
XIII. SEF Registration
Javelin Capital Markets
XIII. SEF Registration
Swaps Made Available to Trade
Swaps Made Available to Trade
National Rural Electric Cooperative Association
American Public Power Association
New York Power Authority representing the Large Public Power Council
Reed Smith LLP
American Public Power Association
New York Power Authority representing the Large Public Power Council
Reed Smith LLP
II. Definitions
Americans for Financial Reform
University of Maryland School of Law
Consumer Federation of America
AFL-CIO
University of Maryland School of Law
Consumer Federation of America
AFL-CIO
General
List of attendees attached.
VIII. Process for Review of Swaps
XIII. SEF Registration
XVI. Swap Data Repositories Registration
XIII. SEF Registration
XVI. Swap Data Repositories Registration
ICAP
XIII. SEF Registration
XVIII. Real Time Reporting
Block Sizes for Large Notional Off-Facility Swaps
XVIII. Real Time Reporting
Block Sizes for Large Notional Off-Facility Swaps
Eris Exchange
DRW
DRW
II. Definitions
VII. DCO Core Principles
VIII. Process for Review of Swaps
XII. DCM Core Principles
XVIII. Real Time Reporting
Block Sizes for Large Notional Off-Facility Swaps
VII. DCO Core Principles
VIII. Process for Review of Swaps
XII. DCM Core Principles
XVIII. Real Time Reporting
Block Sizes for Large Notional Off-Facility Swaps
BP
II. Definitions
III. Business Conduct Standards w/ Counterparties
V. Capital & Margin
XXVI. Position Limits
III. Business Conduct Standards w/ Counterparties
V. Capital & Margin
XXVI. Position Limits
LCH.Clearnet
V. Capital & Margin
VII. DCO Core Principles
VIII. Process for Review of Swaps
VII. DCO Core Principles
VIII. Process for Review of Swaps
Allston
Chopper
CTC
DRW
Eagle Seven
Futures Industry Association
FIA PTG
Flow
Geneva
GETCO
HTG
IMC
Infinium
Jump
Ketchum
Liget
Optiver
Parson Strategy Group
RGM
Spire
Sun
Tower
TradeForecaseter
XR
Chopper
CTC
DRW
Eagle Seven
Futures Industry Association
FIA PTG
Flow
Geneva
GETCO
HTG
IMC
Infinium
Jump
Ketchum
Liget
Optiver
Parson Strategy Group
RGM
Spire
Sun
Tower
TradeForecaseter
XR
General
Credit Suisse
Goldman Sachs
JP Morgan
Barclays
Newedge
NY Law School
Goldman Sachs
JP Morgan
Barclays
Newedge
NY Law School
General
Van Ness Feldman, P.C.
Los Angeles Department of Water and Power (LADWP)
Sacramento Municipal Utility District (SMUD)
Riverside Public Utilities
American Public Power Association
Morgan Meguire Gov't Relations Firm
Los Angeles Department of Water and Power (LADWP)
Sacramento Municipal Utility District (SMUD)
Riverside Public Utilities
American Public Power Association
Morgan Meguire Gov't Relations Firm
General
Americans for Financial Reform
II. Definitions
XIII. SEF Registration
XXVIII. Volcker Rule
XIII. SEF Registration
XXVIII. Volcker Rule
Farm Credit Council
Federal Farm Credit Banks Funding Corporation
Agri Bank
Co Bank
Federal Farm Credit Banks Funding Corporation
Agri Bank
Co Bank
General
ISDA
Morgan Stanley
Goldman Sachs
Citi
J.P. Morgan
Deutsche Bank
Morgan Stanley
Goldman Sachs
Citi
J.P. Morgan
Deutsche Bank
IV. Business Conduct Standards – Internal
Fidelity
PIMCO
BlackRock
MFS
Goldman Sachs Asset Management
JP Morgan Asset Management
Wellington
SIFMA Asset Management Group
SIFMA Asset Management Group
SIFMA
PIMCO
BlackRock
MFS
Goldman Sachs Asset Management
JP Morgan Asset Management
Wellington
SIFMA Asset Management Group
SIFMA Asset Management Group
SIFMA
IV. Business Conduct Standards – Internal
CME, Pension funds
II. Definitions
XII. DCM Core Principles
XXVI. Position Limits
General
XII. DCM Core Principles
XXVI. Position Limits
General
Arbor Research
BoNY
Brevan Howard
Citadel
Alliance Bernstein
DRW
GETCO
ING
Jefferies + Company
Eris Exchange
Javelin
Delta Strategy Group
BoNY
Brevan Howard
Citadel
Alliance Bernstein
DRW
GETCO
ING
Jefferies + Company
Eris Exchange
Javelin
Delta Strategy Group
General
Arbor Research
BONY Mellon
Brevan Howard
Citadel
Alliance Bernstein
ING
Jefferies
Eris Exchange
Javelin
DRW
Delta Strategy Group
BONY Mellon
Brevan Howard
Citadel
Alliance Bernstein
ING
Jefferies
Eris Exchange
Javelin
DRW
Delta Strategy Group
VIII. Process for Review of Swaps
Arbor Research
BONY Mellon
Brevon Howard
Citadel
Alliance Bernstein
DRW
GETCO
ING
Jeffries & Company
Eris Exchange
Javelin
CRT
Imperial
Seaport
RJ O'Brien
Delta Strategy Group
Benchmark Plus
Coherence Capital Partners
SIG
RBC
Scotia Capital
Societe Generale
US Bancorp
Wells Fargo
Toronto Dominion
BONY Mellon
Brevon Howard
Citadel
Alliance Bernstein
DRW
GETCO
ING
Jeffries & Company
Eris Exchange
Javelin
CRT
Imperial
Seaport
RJ O'Brien
Delta Strategy Group
Benchmark Plus
Coherence Capital Partners
SIG
RBC
Scotia Capital
Societe Generale
US Bancorp
Wells Fargo
Toronto Dominion
General
Companies in the oil & gas industry and financial companies engaged in swaps with energy market participants.
II. Definitions
V. Capital & Margin
XI. End-user Exception
General
V. Capital & Margin
XI. End-user Exception
General
Inter-American Development Bank (IDB)
II. Definitions
XI. End-user Exception
XI. End-user Exception
Delta Strategy Group
Javelin
Alliance Bernstein
BNY Mellon
Brevan Howard
Citadel
Coherence Capital
CRT Capital Group LLC
Eris Exchange
GETCO
ING
Jefferies
RBC Capital Markets
Societe Generale Corporation & Investment Banking
Wells Fargo
DRW Holdings
Arbor Research
Benchmark Plus
DE Shaw
Imperial
RJO
Scotia Capital
Seaport
Susquehanna Intl Group (SIG)
Toronto Dominion
Tricadia
US Bank
Javelin
Alliance Bernstein
BNY Mellon
Brevan Howard
Citadel
Coherence Capital
CRT Capital Group LLC
Eris Exchange
GETCO
ING
Jefferies
RBC Capital Markets
Societe Generale Corporation & Investment Banking
Wells Fargo
DRW Holdings
Arbor Research
Benchmark Plus
DE Shaw
Imperial
RJO
Scotia Capital
Seaport
Susquehanna Intl Group (SIG)
Toronto Dominion
Tricadia
US Bank
General
The Business Council for Sustainable Energy (BCES)
Sempra Energy
Solar City
American Wind Energy Association (AWEA)
Pacific Gas & Electric (PGE)
Calpine
Sacramento Municipal Utilities District (SMUD)
Sempra Energy
Solar City
American Wind Energy Association (AWEA)
Pacific Gas & Electric (PGE)
Calpine
Sacramento Municipal Utilities District (SMUD)
II. Definitions
Managed Funds Association (MFA)
Citadel L.L.C.
Delta Strategy Group
Paulson & Co. Inc.
King Street Capital Management L.P.
HBK Investments L.P.
Citadel L.L.C.
Delta Strategy Group
Paulson & Co. Inc.
King Street Capital Management L.P.
HBK Investments L.P.
General
Citadel LLC
Delta Strategy Group
Paulson & Co. Inc.
King Street Capital Management, L.P.
HBK Investments LP
Managed Funds Association
Delta Strategy Group
Paulson & Co. Inc.
King Street Capital Management, L.P.
HBK Investments LP
Managed Funds Association
General
National Rural Utilities Cooperative Finance Corporation (CFC)
Greenberg Traurig
Hogan Lovells
Greenberg Traurig
Hogan Lovells
General
Citadel LLC
Paulson & Co. Inc.
King Street Capital Management, L.P.
HBK Investments LP
Managed Funds Association
Paulson & Co. Inc.
King Street Capital Management, L.P.
HBK Investments LP
Managed Funds Association
General
Citadel LLC
Paulson & Co. Inc.
King Street Capital Management, L.P.
Delta Strategy Group
HBK Investments LP
Managed Funds Association
Paulson & Co. Inc.
King Street Capital Management, L.P.
Delta Strategy Group
HBK Investments LP
Managed Funds Association
General
Consumer Federation of American ("CFA")
Americans for Financial Reform ("AFR")
Americans for Financial Reform ("AFR")
General
Consumer Federation of America
Better Markets, Inc.
Better Markets, Inc.
III. Business Conduct Standards w/ Counterparties
Coalition for Derivatives End-Users
Honeywell
Gibson Dunn
GE Capital
Hewlett-Packard Company
National Association of Manufacturers
Business Roundtable
Chatham Financial
Commodity Markets Council
Principal Financial Group
Financial Executives International
Honeywell
Gibson Dunn
GE Capital
Hewlett-Packard Company
National Association of Manufacturers
Business Roundtable
Chatham Financial
Commodity Markets Council
Principal Financial Group
Financial Executives International
XI. End-user Exception
Consumer Federation of America
Better Markets, Inc.
Better Markets, Inc.
II. Definitions
III. Business Conduct Standards w/ Counterparties
III. Business Conduct Standards w/ Counterparties
Consumer Federation of America ("CFA")
Better Markets, Inc.
Better Markets, Inc.
III. Business Conduct Standards w/ Counterparties
MetLife;
Financial Services Roundtable;
Debevoise & Plimpton;
American Council of Life Insurers;
Principal Financial Group;
Nationwide Insurance and Financial Services
Financial Services Roundtable;
Debevoise & Plimpton;
American Council of Life Insurers;
Principal Financial Group;
Nationwide Insurance and Financial Services
XXVIII. Volcker Rule
Hess
Nextera Energy
Sutherland
CMC
Nextera Energy
Sutherland
CMC
IV. Business Conduct Standards – Internal
General
General
Wholesale Market Brokers' Association, BGC, Tullett Prebon, ICAP, GFI, Patton Boggs
XIII. SEF Registration
Morgan, Lewis & Bockius LLP
Managed Funds Associates
Global FX Division
Managed Funds Associates
Global FX Division
II. Definitions
BlackRock
II. Definitions
III. Business Conduct Standards w/ Counterparties
VIII. Process for Review of Swaps
General
III. Business Conduct Standards w/ Counterparties
VIII. Process for Review of Swaps
General
Greenberg Traurig, LLP
National Rural Utilities Cooperative Finance Corporation
National Rural Utilities Cooperative Finance Corporation
XI. End-user Exception
Grain and Feed Association of Illinois, Springfield
Consolidated Grain & Barge Co, Bluffs, IL
Demeter, LP, South Beloit, IL
GROWMARK, Inc., Bloomington, IL
Kansas Grain and Feed Association
Missouri Agribusiness
Consolidated Grain & Barge Co, Bluffs, IL
Demeter, LP, South Beloit, IL
GROWMARK, Inc., Bloomington, IL
Kansas Grain and Feed Association
Missouri Agribusiness
II. Definitions
General
General
SIFMA
FIA
Wilmer Hale
Goldman Sachs & Co.
Bank of America Merrill Lynch
FIA
Wilmer Hale
Goldman Sachs & Co.
Bank of America Merrill Lynch
IV. Business Conduct Standards – Internal
Javelin
Delta Strategy Group
Delta Strategy Group
XVIII. Real Time Reporting
Block Sizes for Large Notional Off-Facility Swaps
Block Sizes for Large Notional Off-Facility Swaps
Eaton Vance
XII. DCM Core Principles
XIII. SEF Registration
Swaps Made Available to Trade
XIII. SEF Registration
Swaps Made Available to Trade
Goldman Sachs, Credit Suisse Securities (USA) LLC, J.P. Morgan Securities, Futures Industry Association (FIA), Securities Industry and Financial Markets Association (SIFMA), Pershing, Morgan Stanley & Co., Wilmer Hale, NewEdge, Macquarie Group
IV. Business Conduct Standards – Internal
General
General
Goldman Sachs
Credit Suisse Securities (USA) LLC
J. P. Morgan Securities
Futures Industry Association
Securities Industry and Financial Markets Association
Pershing
Morgan Stanley & Co.
Wilmer Hale
NewEdge
Macquarie Group
J.P. Morgan Chase
Credit Suisse Securities (USA) LLC
J. P. Morgan Securities
Futures Industry Association
Securities Industry and Financial Markets Association
Pershing
Morgan Stanley & Co.
Wilmer Hale
NewEdge
Macquarie Group
J.P. Morgan Chase
IV. Business Conduct Standards – Internal
Commodity Markets Oversight Council Coalition:
New England Fuel Institute
Maryknoll
Better Markets
American Public Gas Association
Petroleum Marketers Association of America
American Feed Industry Association
National Farmers Union
Airlines for America
National Council of Chain Restaurants
Americans for Financial Reform
Institute for Agriculture & Trade Policy
Clark & Weinstock
Consumer Federation of America
New York Oil Heating Association
University of Maryland
American Bakers' Association
National Association of Shell Marketrs
American Trucking Association
Institute for Agriculture & Trade Policy
New England Fuel Institute
Maryknoll
Better Markets
American Public Gas Association
Petroleum Marketers Association of America
American Feed Industry Association
National Farmers Union
Airlines for America
National Council of Chain Restaurants
Americans for Financial Reform
Institute for Agriculture & Trade Policy
Clark & Weinstock
Consumer Federation of America
New York Oil Heating Association
University of Maryland
American Bakers' Association
National Association of Shell Marketrs
American Trucking Association
Institute for Agriculture & Trade Policy
III. Business Conduct Standards w/ Counterparties
XXVI. Position Limits
XXVIII. Volcker Rule
General
XXVI. Position Limits
XXVIII. Volcker Rule
General
National Grain and Feed Association
American Farm Bureau Federation
Commodity Markets Council
National Council of Farmer Cooperatives
American Farm Bureau Federation
Commodity Markets Council
National Council of Farmer Cooperatives
II. Definitions
Covington & Burling LLP
American Gas Association
American Gas Association
II. Definitions
XXVI. Position Limits
XXVI. Position Limits
Bunge Global Agribusiness
Louis Dreyfus Commodities
Cargill
Delta Strategies for Gavilon
Commodity Markets Council
Louis Dreyfus Commodities
Cargill
Delta Strategies for Gavilon
Commodity Markets Council
II. Definitions
Sempra Energy
Natural Gas Supply Association
Solar City
American Wind Energy Association
Pacific Gas & Electric
Sacramento Municipal Utilities District
BCSE
Natural Gas Supply Association
Solar City
American Wind Energy Association
Pacific Gas & Electric
Sacramento Municipal Utilities District
BCSE
II. Definitions
NAREIT
Chatham
NAM
U.S. Chamber of Commerce
Constellation
Peabody Energy
Gibson Dunn
Chatham
NAM
U.S. Chamber of Commerce
Constellation
Peabody Energy
Gibson Dunn
II. Definitions
National Corn Growers Association
Natural Gas Supply Association
Natural Gas Supply Association
II. Definitions
National Rural Electric Cooperative Association (NRECA)
American Public Power Association (APPA)
American Public Power Association (APPA)
II. Definitions
XVII. Data Recordkeeping
XVIII. Real Time Reporting
XVII. Data Recordkeeping
XVIII. Real Time Reporting
Reed Smith
American Public Power Association
National Rural Electric Power Association
American Public Power Association
National Rural Electric Power Association
General
Wholesale Market Brokers' Association (WMBA):
BGC Partners, Inc.
ICAP
GFI Group, Inc.
Patton Boggs
Tradition
Tullett Prebon
BGC Partners, Inc.
ICAP
GFI Group, Inc.
Patton Boggs
Tradition
Tullett Prebon
VII. DCO Core Principles
XIII. SEF Registration
XVIII. Real Time Reporting
Block Sizes for Large Notional Off-Facility Swaps
XIII. SEF Registration
XVIII. Real Time Reporting
Block Sizes for Large Notional Off-Facility Swaps
Gibson Dunn
Ameriprise Financial
GE
Prudential
Loews
Financial Executive Int'l
FEI
Nationwide Insurance
Chatham Financial
Peabody Energy
National Association of Manufacturers
Ameriprise Financial
GE
Prudential
Loews
Financial Executive Int'l
FEI
Nationwide Insurance
Chatham Financial
Peabody Energy
National Association of Manufacturers
XI. End-user Exception
Fidelity Investments
MFS
PIMCO
SIFMA
SIFMA AMG
Vanguard
MFS
PIMCO
SIFMA
SIFMA AMG
Vanguard
XXVII. Investment Adviser Reporting
Federated Investors, Inc. (Federated)
XXIX. Alternatives to Credit Ratings
Investment Adviser Association
Managed Funds Association
Managed Funds Association
XXVII. Investment Adviser Reporting
GSAM
PIMCO
SIFMA
Vanguard
Fidelity Investments
PIMCO
SIFMA
Vanguard
Fidelity Investments
XXVII. Investment Adviser Reporting
Javelin Capital Markets
XVIII. Real Time Reporting
Block Sizes for Large Notional Off-Facility Swaps
Block Sizes for Large Notional Off-Facility Swaps
K&L Gates
Investment Adviser Association
Investment Adviser Association
XXVII. Investment Adviser Reporting
U.S. Chamber of Commerce;
Siff & Associates;
Loews Corporation;
Dominion Resources;
Gibson Dunn;
Financial Executives International
Siff & Associates;
Loews Corporation;
Dominion Resources;
Gibson Dunn;
Financial Executives International
XXVIII. Volcker Rule
National Association of Insurance Commissioners (NAIC)
XXI. Joint Rules w/ SEC
Morgan Lewis & Bockius
Deutsche Bank
Campbell & Company
Tudor Investments
Morgan Stanley
SIFMA
MFA
Deutsche Bank
Campbell & Company
Tudor Investments
Morgan Stanley
SIFMA
MFA
General
Greenberg Traurig
National Rural Utilities Cooperative Finance Coroporation (NRUCFC)
National Rural Utilities Cooperative Finance Coroporation (NRUCFC)
XI. End-user Exception
Constellation Energy Group
Dominion Resources
Exelon
Public Service Enterprise Group (PSEG)
Edison Electric Institute (EEI)
Dominion Resources
Exelon
Public Service Enterprise Group (PSEG)
Edison Electric Institute (EEI)
II. Definitions
Morgan, Lewis & Bockius
Securities Industry and Financial Markets Association (SIFMA)
Winton Capital
Managed Funds Association
Campbell & Company
Morgan Stanley
Tudor Investment Corporation
Securities Industry and Financial Markets Association (SIFMA)
Winton Capital
Managed Funds Association
Campbell & Company
Morgan Stanley
Tudor Investment Corporation
II. Definitions
Goldman Sachs
III. Business Conduct Standards w/ Counterparties
General
General
Morgan, Lewis & Bockius
Securities Industry and Financial Markets Association
Winton Capital
Managed Funds Association
Campbell & Company
Morgan Stanley
Tudor Investment Company
Securities Industry and Financial Markets Association
Winton Capital
Managed Funds Association
Campbell & Company
Morgan Stanley
Tudor Investment Company
General
Global Foreign Exchange Division
Managed Funds Association
Managed Funds Association
II. Definitions
Country Hedging
Dairy Farmers of America/Dairylea
Land O’Lakes
Growmark
National Council of Farmer Cooperatives
Dairy Farmers of America/Dairylea
Land O’Lakes
Growmark
National Council of Farmer Cooperatives
II. Definitions
Skadden Arps (Skadden)
Travelers Insurance (Travelers)
Travelers Insurance (Travelers)
XXI. Joint Rules w/ SEC
Consumer Federation of America (CFA)
Americans for Financial Reform (AFR)
American Federation of State, County and Municipal Employees (AFSCME)
AFL-CIO Office of Investment
Americans for Financial Reform (AFR)
American Federation of State, County and Municipal Employees (AFSCME)
AFL-CIO Office of Investment
III. Business Conduct Standards w/ Counterparties
Committee on Investment of Employee Benefit Assets (CIEBA)
American Benefits Council (ABC)
European Pension Federation (EFRP)
Franklin Advisors, Inc.
General Motors Pension Fund
NISA Investment Advisors
American Benefits Council (ABC)
European Pension Federation (EFRP)
Franklin Advisors, Inc.
General Motors Pension Fund
NISA Investment Advisors
III. Business Conduct Standards w/ Counterparties
Bank of America Merrill Lynch
Credit Suisse Securities (USA), LLC
Goldman, Sachs & Co.
Katten Muchin Rosenman LLP
Credit Suisse Securities (USA), LLC
Newedge USA, LLC
Futures Industry Association Inc.
Credit Suisse Securities (USA), LLC
Goldman, Sachs & Co.
Katten Muchin Rosenman LLP
Credit Suisse Securities (USA), LLC
Newedge USA, LLC
Futures Industry Association Inc.
VI. Segregation and Bankruptcy
Morgan Stanley
III. Business Conduct Standards w/ Counterparties
VI. Segregation and Bankruptcy
VI. Segregation and Bankruptcy
Morgan Stanley
III. Business Conduct Standards w/ Counterparties
General
General
BlackRock
Davis Polk
Fidelity
GM Asset Management
Goldman Sachs Asset Management
SIFMA
SIFMA Asset Management Group
Davis Polk
Fidelity
GM Asset Management
Goldman Sachs Asset Management
SIFMA
SIFMA Asset Management Group
III. Business Conduct Standards w/ Counterparties
VI. Segregation and Bankruptcy
VI. Segregation and Bankruptcy
BlackRock
Davis Polk
Fidelity
GM Asset Management
Goldman Sachs Asset Management
SIFMA
Davis Polk
Fidelity
GM Asset Management
Goldman Sachs Asset Management
SIFMA
III. Business Conduct Standards w/ Counterparties
California Public Employees' Retirement System
Teachers Retirement System of Texas
State of Wisconsin Investment Board
Lussier, Gregor, Vienna & Assoiciates
Teachers Retirement System of Texas
State of Wisconsin Investment Board
Lussier, Gregor, Vienna & Assoiciates
General
California Public Employess Retirement System (Calpers)
Teachers Retirement System of Texas (TRST)
State of Wisconsin Investment Board (SWIB)
Lussier, Gregor, Vienna & Associates (LGV
Teachers Retirement System of Texas (TRST)
State of Wisconsin Investment Board (SWIB)
Lussier, Gregor, Vienna & Associates (LGV
General
Sempra Energy
Natural Gas Supply Association
Solar City
Solar Energy Industries Association
American Wind Energy Association
Pacific Gas & Electric
Direct Energy
BCSE
Natural Gas Supply Association
Solar City
Solar Energy Industries Association
American Wind Energy Association
Pacific Gas & Electric
Direct Energy
BCSE
General
ISDA
Morgan Stanley
J.P. Morgan
Goldman Sachs
Mayer Brown
Morgan Stanley
J.P. Morgan
Goldman Sachs
Mayer Brown
III. Business Conduct Standards w/ Counterparties
VI. Segregation and Bankruptcy
VI. Segregation and Bankruptcy
BlackRock
Davis Polk
Fidelity
GM Asset Management
Goldman Sachs Asset Management
SIFMA Asset Management Group
Davis Polk
Fidelity
GM Asset Management
Goldman Sachs Asset Management
SIFMA Asset Management Group
III. Business Conduct Standards w/ Counterparties
American Benefits Council (ABC)
The Committee on Investment of Employee Benefit Assets (CIEBA)
General Motors Investment Managment Corp. (GMIMCO)
Xerox
Weyerhaeuser
Chrysler
Lockheed Martin
IBM
Venable
Skadden
Davis & Harman
The Committee on Investment of Employee Benefit Assets (CIEBA)
General Motors Investment Managment Corp. (GMIMCO)
Xerox
Weyerhaeuser
Chrysler
Lockheed Martin
IBM
Venable
Skadden
Davis & Harman
III. Business Conduct Standards w/ Counterparties
Skadden
GMIMCO
Xerox
Lockheed Martin
IBM
ABC
CIEBA
Davis & Harman, behalf of Chrysler
Chris Condeluci Venable, on behalf of Chrysler
Jordan Moon Chrysler
Fred Miller, Weyerhaeuser
GMIMCO
Xerox
Lockheed Martin
IBM
ABC
CIEBA
Davis & Harman, behalf of Chrysler
Chris Condeluci Venable, on behalf of Chrysler
Jordan Moon Chrysler
Fred Miller, Weyerhaeuser
III. Business Conduct Standards w/ Counterparties
BlackRock
Davis Polk
Fidelity
Goldman Sachs Assest Managment
SIFMA
SIFMA Assest Managment Group
Davis Polk
Fidelity
Goldman Sachs Assest Managment
SIFMA
SIFMA Assest Managment Group
III. Business Conduct Standards w/ Counterparties
Skadden, Arps, Slate, Meagher & Flom LLP
General Motors Investment Management Corporation Outsources (GMIMCO)
Xerox
Lcokheed Martin
IBM
ABC
Committee on the Investment of Employee Benefit Assets (CIEBA)
Davis-Harman
Venable
General Motors Investment Management Corporation Outsources (GMIMCO)
Xerox
Lcokheed Martin
IBM
ABC
Committee on the Investment of Employee Benefit Assets (CIEBA)
Davis-Harman
Venable
III. Business Conduct Standards w/ Counterparties
California Public Employees' Retirement System
Teachers Retirement System of Texas
State of Wisconsin Investment Board
Lussier, Gregor, Vienna & Associates
Teachers Retirement System of Texas
State of Wisconsin Investment Board
Lussier, Gregor, Vienna & Associates
VI. Segregation and Bankruptcy
California Public Employees' Retirement System
Teachers Retirement System of Texas
State of Wisconsin Investment Board
Lussier, Gregor, Vienna & Assoiciates
Teachers Retirement System of Texas
State of Wisconsin Investment Board
Lussier, Gregor, Vienna & Assoiciates
III. Business Conduct Standards w/ Counterparties
VI. Segregation and Bankruptcy
VI. Segregation and Bankruptcy
California Public Employees' Retirement System (CalPERS)
Teachers Retirement System of Texas (TRST)
State of Wisconsin Investment Board (SWIB)
Lussier, Gregor, Vienna & Associates (LGV&A)
Teachers Retirement System of Texas (TRST)
State of Wisconsin Investment Board (SWIB)
Lussier, Gregor, Vienna & Associates (LGV&A)
VI. Segregation and Bankruptcy
American Benefits Council
Committee on Investment of Employee Benefits
NISA Investment Advisors
Skadden, Arps
Xerox
Lockheed Martin
IBM
Venable
Committee on Investment of Employee Benefits
NISA Investment Advisors
Skadden, Arps
Xerox
Lockheed Martin
IBM
Venable
III. Business Conduct Standards w/ Counterparties
Coalition for Derivatives End-Users
XVII. Data Recordkeeping
XVIII. Real Time Reporting
XVIII. Real Time Reporting
The Farm Credit Council
II. Definitions
XVII. Data Recordkeeping
XVIII. Real Time Reporting
XVII. Data Recordkeeping
XVIII. Real Time Reporting
Southwest Airlines
Chesapeake Energy
Delta Strategy Group
Chesapeake Energy
Delta Strategy Group
XVIII. Real Time Reporting
National Rural Electric Cooperative Association
II. Definitions
XVII. Data Recordkeeping
XVIII. Real Time Reporting
XVII. Data Recordkeeping
XVIII. Real Time Reporting
Working Group of Commercial Energy Firms
XVII. Data Recordkeeping
XVIII. Real Time Reporting
XVIII. Real Time Reporting
Skadden, Arps, Slate, Meagher & Flom LLP
XVII. Data Recordkeeping
XVIII. Real Time Reporting
XVIII. Real Time Reporting
CIEBA
Clifford Chance LLP
American Benefits Council
Davis & Harman
Algemene Pension Group
K&L Gates
General Motors Pension Fund
Winston & Strawn
NISA Investment Advisors
Clifford Chance LLP
American Benefits Council
Davis & Harman
Algemene Pension Group
K&L Gates
General Motors Pension Fund
Winston & Strawn
NISA Investment Advisors
XVI. Swap Data Repositories Registration
CIEGA
American Benefits Council
The European Pension Federation
Franklin Advisors, Inc.
General Motors Pension Fund
NISA Investment Advisors
American Benefits Council
The European Pension Federation
Franklin Advisors, Inc.
General Motors Pension Fund
NISA Investment Advisors
VI. Segregation and Bankruptcy
IntercontinentalExchange
XVII. Data Recordkeeping
XVIII. Real Time Reporting
XVIII. Real Time Reporting
Airlines for America
XVII. Data Recordkeeping
XVIII. Real Time Reporting
XVIII. Real Time Reporting
Managed Funds Association and Delta Strategy Group
VI. Segregation and Bankruptcy
Deposit Trust & Clearing Corporation
XVII. Data Recordkeeping
XVIII. Real Time Reporting
XVIII. Real Time Reporting
Large Public Power Council
XVII. Data Recordkeeping
XVIII. Real Time Reporting
XVIII. Real Time Reporting
SIFMA Inter-Affiliate Working Group of the Derivatives Product Group
General
Bank of America
Barclays Capital
BNP Paribas
CITI
Credit Agricole
Deutsche Bank
Goldman Sachs
Morgan Stanley
Nomura
RBC
Societe Generale
Wells Fargo
Davis, Polk
SIFMA
Barclays Capital
BNP Paribas
CITI
Credit Agricole
Deutsche Bank
Goldman Sachs
Morgan Stanley
Nomura
RBC
Societe Generale
Wells Fargo
Davis, Polk
SIFMA
General
BGC
GFI
ICAP
Patton Boggs LLP
Tradition Financial Services
Tullet Prebon
GFI
ICAP
Patton Boggs LLP
Tradition Financial Services
Tullet Prebon
XIII. SEF Registration
XVII. Data Recordkeeping
XVIII. Real Time Reporting
XVII. Data Recordkeeping
XVIII. Real Time Reporting
Barclays Capital
D.E. Shaw & Co.
International Swaps & Derivatives Association (ISDA)
JPMorgan Chase & Co.
Morgan Stanley
PIMCO
D.E. Shaw & Co.
International Swaps & Derivatives Association (ISDA)
JPMorgan Chase & Co.
Morgan Stanley
PIMCO
VI. Segregation and Bankruptcy
VIII. Process for Review of Swaps
XIII. SEF Registration
XVII. Data Recordkeeping
XVIII. Real Time Reporting
VIII. Process for Review of Swaps
XIII. SEF Registration
XVII. Data Recordkeeping
XVIII. Real Time Reporting
ICE Futures U.S.
VI. Segregation and Bankruptcy
XII. DCM Core Principles
XII. DCM Core Principles
New York Portfolio Clearing
NYSE Euronext
NYSE Liffe U.S.
NYSE Euronext
NYSE Liffe U.S.
XII. DCM Core Principles
XXVI. Position Limits
XXVI. Position Limits
Javelin Capital Markets
Swaps and Derivatives Market Association
Swaps and Derivatives Market Association
General
John Deere, Caterpillar, Boeing, Siemens, Volvo, Toyota, Ford, GM, Honda
V. Capital & Margin
National Association of Insurance Commissioners (NAIC)
XXI. Joint Rules w/ SEC
The Loan Syndications and Trading Association (LSTA)
Loan Market Association (LMA)
Wilmer Hale LLP (Wilmer Hale)
Richards, Kibbe & Orbe (Richards Kibbe)
Loan Market Association (LMA)
Wilmer Hale LLP (Wilmer Hale)
Richards, Kibbe & Orbe (Richards Kibbe)
XXI. Joint Rules w/ SEC
Topics discussed: core principle 9 and portfolio margining for credit default swaps.
General
U.S. Securities and Exchange Commission (SEC)
XXVII. Investment Adviser Reporting
BlackRock
Fidelity Investments
Goldman Sachs Asset Management
MFS
PIMCO
SIFMA
Vanguard
Wellington
Davis Polk and Wardwell
Fidelity Investments
Goldman Sachs Asset Management
MFS
PIMCO
SIFMA
Vanguard
Wellington
Davis Polk and Wardwell
V. Capital & Margin
Consumer Federation of America (CFA)
Americans for Financial Reform (AFR)
Americans for Financial Reform (AFR)
III. Business Conduct Standards w/ Counterparties
Working Group of Commercial Energy Firms
II. Definitions
Report: Improving Clearing Oversight
Report: Improving Clearing Oversight
National Association of Insurance Commissioners (NAIC)
XXI. Joint Rules w/ SEC
Eris Exchange
Green X
NYSE Euronest
OneChicago
Delta Strategy Group
Green X
NYSE Euronest
OneChicago
Delta Strategy Group
XII. DCM Core Principles
PNC Finanical Services
PNC Capital Markets
Fifth Third Bank
Promontory Financial Group, LLC
PNC Capital Markets
Fifth Third Bank
Promontory Financial Group, LLC
II. Definitions
Department of Treasury
Office of Management and Budget (OMB)
Securities and Exchange Commission (SEC)
Office of Management and Budget (OMB)
Securities and Exchange Commission (SEC)
XXVII. Investment Adviser Reporting
Commodity Futures Trading Commission (CFTC)
Securities and Exchange Commission (SEC)
Office of Management and Budget (OMB)
Securities and Exchange Commission (SEC)
Office of Management and Budget (OMB)
XXVII. Investment Adviser Reporting
American Council of Life Insurers (ACLI)
ING
MetLife
Prudential Financial
ING
MetLife
Prudential Financial
V. Capital & Margin
The Financial Services Roundtable
BB&T
Capital One
CIT Capital Markets
CIT Group
FTN Financial/First Tennessee Bank
Toyota Financial
Union Bank
US Bank
Arnold & Porter
Latham & Watkins
BB&T
Capital One
CIT Capital Markets
CIT Group
FTN Financial/First Tennessee Bank
Toyota Financial
Union Bank
US Bank
Arnold & Porter
Latham & Watkins
II. Definitions
Capital One
CIT Group
Union Bank
The Financial Services Roundtable
BB&T
CIT Captial Markets
First Tennessee Bank
US Bank
Toyota Financial
CIT Group
Union Bank
The Financial Services Roundtable
BB&T
CIT Captial Markets
First Tennessee Bank
US Bank
Toyota Financial
General
Americans for Financial Reform (AFR)
III. Business Conduct Standards w/ Counterparties
ABN AMRO, Amalgamated Metal Trading, Bank of America Merrill Lynch, BP Oil International, Citigroup, CME Group, Credit Suisse Securities, Deutsche Bank, Elliott Advisors, FOA, Goldman Sachs, ICE Futures, IG Group, JP Morgan, London Stock Exchange, Marex Financial, Monument Securities, Morgan Stanley, Natixis Commodity Markets, NYSE LIFFE, RWE Supply Trading, UBS
II. Definitions
V. Capital & Margin
VII. DCO Core Principles
XII. DCM Core Principles
XXVI. Position Limits
V. Capital & Margin
VII. DCO Core Principles
XII. DCM Core Principles
XXVI. Position Limits
Compliant Phones
IV. Business Conduct Standards – Internal
XXXI. Conforming Amendments
XXXI. Conforming Amendments
Consumer Federation of America (CFA)
Americans for Financial Reform (AFR)
Better Markets
Americans for Financial Reform (AFR)
Better Markets
III. Business Conduct Standards w/ Counterparties
Constellation Energy Group
Direct Energy
NextEra Energy
Hunton & Williams
Direct Energy
NextEra Energy
Hunton & Williams
XVI. Swap Data Repositories Registration
General
General
Kreditanstalt für Wiederaufbau (KfW)
Sullivan & Cromwell LLP
Sullivan & Cromwell LLP
II. Definitions
International Swaps and Derivatives Association, Inc.
Goldman Sachs
Deutsche Bank
JPMorgan Chase
Goldman Sachs
Deutsche Bank
JPMorgan Chase
VI. Segregation and Bankruptcy
Cadwalader Wickersham & Taft (representing commercial energy and agricultural end users)
XXVI. Position Limits
Futures Industry Association
Katten Muchin Rosenman LLP
Credit Suisse
Goldman Sachs
Katten Muchin Rosenman LLP
Credit Suisse
Goldman Sachs
VI. Segregation and Bankruptcy
Consumer Federation of America (CFA)
III. Business Conduct Standards w/ Counterparties
BP
Chatham Financial
Forest City
GE
IBM
The JBG Companies
John Deere
NAREIT
Chatham Financial
Forest City
GE
IBM
The JBG Companies
John Deere
NAREIT
XI. End-user Exception
General
General
Markit
MarkitSERV
Latham & Wakins (as counsel)
MarkitSERV
Latham & Wakins (as counsel)
II. Definitions
IV. Business Conduct Standards – Internal
XIII. SEF Registration
XVII. Data Recordkeeping
XVIII. Real Time Reporting
IV. Business Conduct Standards – Internal
XIII. SEF Registration
XVII. Data Recordkeeping
XVIII. Real Time Reporting
National Association of Insurance Commissioners (NAIC)
New York Department of Financial Services (NYDFS)
New York Department of Financial Services (NYDFS)
XXI. Joint Rules w/ SEC
Shell Energy N.A.
Shell Oil
Shell Oil
IV. Business Conduct Standards – Internal
V. Capital & Margin
XXVI. Position Limits
V. Capital & Margin
XXVI. Position Limits
National Rural Utilities Cooperative Finance Corporation (NRU CFC)
Russell & Barron
Russell & Barron
II. Definitions
XI. End-user Exception
XXI. Joint Rules w/ SEC
XI. End-user Exception
XXI. Joint Rules w/ SEC
Califiornia Public Employees' Retirement System (CalPERS)
Colorado Public Employees' Retirement Association (Colorado PERA)
Missouri State Employees' Retirement System (MOSERS)
State of Wisconsin Investment Board (SWIB)
Teacher Retirement System of Texas (TRS)
Colorado Public Employees' Retirement Association (Colorado PERA)
Missouri State Employees' Retirement System (MOSERS)
State of Wisconsin Investment Board (SWIB)
Teacher Retirement System of Texas (TRS)
III. Business Conduct Standards w/ Counterparties
FTN Financial, a division of First Tennessee Bank, N.A.
II. Definitions
XI. End-user Exception
XI. End-user Exception
JP Morgan Chase & Co.
I. Registration
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
V. Capital & Margin
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
V. Capital & Margin
Macquarie Holdings (U.S.A) Inc. (MH)
Macquarie Group (MG)
Macquarie Group Limited (MGL)
Sullivan & Cromwell
Macquarie Group (MG)
Macquarie Group Limited (MGL)
Sullivan & Cromwell
V. Capital & Margin
The Church Alliance
II. Definitions
III. Business Conduct Standards w/ Counterparties
XI. End-user Exception
III. Business Conduct Standards w/ Counterparties
XI. End-user Exception
Commodity Markets Council; Futures Industry Association; National Milk Producers Federation; National Council of Farmer Cooperatives; National Grain and Feed Association
XXXI. Conforming Amendments
Senator Johnson and Representative Frank
III. Business Conduct Standards w/ Counterparties
The PrivateBank and Trust Company
Susquehanna Bank
Commerce Bank
Atlantic Capital Bank
Trustmark
Webster Bank
UMB Bank
Wintrust
Chatham Financial
Susquehanna Bank
Commerce Bank
Atlantic Capital Bank
Trustmark
Webster Bank
UMB Bank
Wintrust
Chatham Financial
XI. End-user Exception
Morgan Stanley
I. Registration
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
V. Capital & Margin
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
V. Capital & Margin
Brevan Howard
Javelin
Eris
Vanguard
Wells Fargo
DRW
Citadel
Delta Strategy Group
Javelin
Eris
Vanguard
Wells Fargo
DRW
Citadel
Delta Strategy Group
General
Delta Strategies
DE Shaw
Brevan Howard
Javelin
Eris
Wells Fargo
Societe Generale
DRW
Citadel
State Street
Vanguard
DE Shaw
Brevan Howard
Javelin
Eris
Wells Fargo
Societe Generale
DRW
Citadel
State Street
Vanguard
General
DE Shaw
Brevan Howard
Javelin
Eris Exchange
Vanguard
Wells Fargo
Societe Generale
DRW
Citadel
State Street
Brevan Howard
Javelin
Eris Exchange
Vanguard
Wells Fargo
Societe Generale
DRW
Citadel
State Street
General
Regions Bank
Fifth Third Bank
M&T Bank
Fifth Third Bank
M&T Bank
II. Definitions
XVI. Swap Data Repositories Registration
XVI. Swap Data Repositories Registration
Consumer Federation of America (CFA)
Americans for Financial Reform (AFR)
Better Markets
Americans for Financial Reform (AFR)
Better Markets
III. Business Conduct Standards w/ Counterparties
DRW
Chicago Trading Company
Infinium
Delta Strategies
Chicago Trading Company
Infinium
Delta Strategies
II. Definitions
VIII. Process for Review of Swaps
XVI. Swap Data Repositories Registration
VIII. Process for Review of Swaps
XVI. Swap Data Repositories Registration
KfW, also known as Kreditanstalt für Wiederaufbau
Sullivan & Cromwell
Sullivan & Cromwell
II. Definitions
Teacher Retirement System of Texas (TRS)
Missouri State Employees' Retirement System (MOSERS)
California Public Employees' Retirement System (CalPERS)
State of Wisconsin Investment Board (SWIB)
Lussier, Gregor, Vienna & Assoc.
NISA Investment Advisers (NISA)
Delta Strategy Group (DSG)
Missouri State Employees' Retirement System (MOSERS)
California Public Employees' Retirement System (CalPERS)
State of Wisconsin Investment Board (SWIB)
Lussier, Gregor, Vienna & Assoc.
NISA Investment Advisers (NISA)
Delta Strategy Group (DSG)
III. Business Conduct Standards w/ Counterparties
Consumer Federation of America (CFA)
Americans for Financial Reform (AFR)
Better Markets
Americans for Financial Reform (AFR)
Better Markets
III. Business Conduct Standards w/ Counterparties
American Benefits Council (ABC)
Committee on Investment of Employee Benefit Assets (CIEBA)
Committee on Investment of Employee Benefit Assets (CIEBA)
III. Business Conduct Standards w/ Counterparties
UBS Americas, Inc.
II. Definitions
V. Capital & Margin
XII. DCM Core Principles
XIII. SEF Registration
V. Capital & Margin
XII. DCM Core Principles
XIII. SEF Registration
ICE Futures US
VII. DCO Core Principles
IX. Governance & Possible Limits
IX. Governance & Possible Limits
Managed Funds Association
Willkie Farr
Willkie Farr
XXVII. Investment Adviser Reporting
Natural Gas Exchange (NGX)
II. Definitions
VII. DCO Core Principles
VIII. Process for Review of Swaps
IX. Governance & Possible Limits
VII. DCO Core Principles
VIII. Process for Review of Swaps
IX. Governance & Possible Limits
Church Alliance
II. Definitions
III. Business Conduct Standards w/ Counterparties
XI. End-user Exception
III. Business Conduct Standards w/ Counterparties
XI. End-user Exception
Russell Investments (Russell)
III. Business Conduct Standards w/ Counterparties
Andrew Kalotay Associates, Inc.
III. Business Conduct Standards w/ Counterparties
TMX Group
Natural Gas Exchange
Natural Gas Exchange
V. Capital & Margin
VIII. Process for Review of Swaps
General
VIII. Process for Review of Swaps
General
City and County of San Francisco (SF)
III. Business Conduct Standards w/ Counterparties
TMX Group
Natural Gas Exchange
Natural Gas Exchange
V. Capital & Margin
VIII. Process for Review of Swaps
VIII. Process for Review of Swaps
Consumer Federation of America (CFA)
III. Business Conduct Standards w/ Counterparties
FIA
Goldman Sachs
Credit Suisse
Morgan Stanley
Barclays
Cadwalader, Wickersham & Taft LLP
Goldman Sachs
Credit Suisse
Morgan Stanley
Barclays
Cadwalader, Wickersham & Taft LLP
XXVI. Position Limits
General
General
American Benefits Council (ABC)
The Committee on the Investment of Employee Benefit Assets (CIEBA)
The Committee on the Investment of Employee Benefit Assets (CIEBA)
III. Business Conduct Standards w/ Counterparties
Senator Carl Levin
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
IV. Business Conduct Standards – Internal
Consumer Federation of America (CFA)
Americans for Financial Reform (AFR)
Americans for Financial Reform (AFR)
III. Business Conduct Standards w/ Counterparties
Tennessee Office of the Comptroller of the Treasury (TOCT)
III. Business Conduct Standards w/ Counterparties
Jackson National Life Insurance (Jackson)
PPM America
Robertu & White
Office of Rep. Ed Perlmutter (CO-7)
PPM America
Robertu & White
Office of Rep. Ed Perlmutter (CO-7)
V. Capital & Margin
XVIII. Real Time Reporting
XVIII. Real Time Reporting
Edison International
Edison Mission Energy
Hogan Lovells
Ogilvy Government Relations
Sempra Energy
Southern California Edison
Edison Mission Energy
Hogan Lovells
Ogilvy Government Relations
Sempra Energy
Southern California Edison
XXI. Joint Rules w/ SEC
Delta Strategy Group (DSG)
III. Business Conduct Standards w/ Counterparties
Chicago Mercantile Exchange
XII. DCM Core Principles
XXVI. Position Limits
XXVI. Position Limits
CIEBA
U.S. Steel & Carnegie Pension Fund
Clifford Chance US LLP
Winston & Strawn LLP
U.S. Steel & Carnegie Pension Fund
Clifford Chance US LLP
Winston & Strawn LLP
VI. Segregation and Bankruptcy
Secirities Industry and Financial Markets Associations Asset Management Group
XXVI. Position Limits
Securities Industry and Financial Markets Associations Asset Management Group (SIFMA AMG)
Vanguard
Goldman Sachs Asset Management
Fidelity Investments
Vanguard
Goldman Sachs Asset Management
Fidelity Investments
II. Definitions
Securities Industry and Financial Markets Association Asset Management Group
XXVI. Position Limits
Chicago Mercantile Exchange
XII. DCM Core Principles
XXVI. Position Limits
XXVI. Position Limits
SIFMA AMG
Goldman Sachs
Vangaurd
J.P. Morgan
Fidelity
PIMCO
Goldman Sachs
Vangaurd
J.P. Morgan
Fidelity
PIMCO
XXVI. Position Limits
Goldman Sachs Asset Management
PIMCO
Vanguard
SIFMA
BlackRock
JP Morgan Asset Management
Fidelity Investments
Fried, Frank, Harris, Shriver & Jacobson LLP
PIMCO
Vanguard
SIFMA
BlackRock
JP Morgan Asset Management
Fidelity Investments
Fried, Frank, Harris, Shriver & Jacobson LLP
XXVI. Position Limits
Chicago Mercantile Exchange
Skadden, Arps, Slate, Meagher & Flom LLP
Skadden, Arps, Slate, Meagher & Flom LLP
VI. Segregation and Bankruptcy
National Council of Farmer Cooperatives
II. Definitions
XI. End-user Exception
XIX. Agricultural Swaps
XI. End-user Exception
XIX. Agricultural Swaps
National Rural Electric Cooperative Association (NRECA)
American Public Power Association (APPA)
ACES Power Marketing (ACES Power)
Southern Minnesota Municipal Power Agency (SMMPA)
New York Power Authority (NYPA)
Reed Smith LLP (Reed Smith)
American Public Power Association (APPA)
ACES Power Marketing (ACES Power)
Southern Minnesota Municipal Power Agency (SMMPA)
New York Power Authority (NYPA)
Reed Smith LLP (Reed Smith)
XXI. Joint Rules w/ SEC
General
General
National Rural Utilities Cooperative Finance Corporation (NRU CFC)
Russell Barron
Russell Barron
XI. End-user Exception
General Motors Pension Plan
Clifford Chance US LLP
Clifford Chance US LLP
VI. Segregation and Bankruptcy
National Futures Association (NFA)
Municipal Securities Rulemaking Board (MSRB)
Municipal Securities Rulemaking Board (MSRB)
III. Business Conduct Standards w/ Counterparties
Gavilon
CMC
Constellation Energy
Bunge
Conoco Phillips
Vitol
Hunton & Williams
Arnold & Porter
CMC
Constellation Energy
Bunge
Conoco Phillips
Vitol
Hunton & Williams
Arnold & Porter
General
ING
Prudential Financial
Fidelity
JP Morgan Chase
Bank of America Merrill Lynch
Stable Value Investment Associaton
Cadwalader Wickersham & Taft
Prudential Financial
Fidelity
JP Morgan Chase
Bank of America Merrill Lynch
Stable Value Investment Associaton
Cadwalader Wickersham & Taft
II. Definitions
Futures Industry Association (FIA)
XXIX. Alternatives to Credit Ratings
FIA, Goldman Sachs, Bank of America Merrill Lynch, Credit Suisse, UBS, RJ O'brien & Assoc., MF Global
General
Equinox Fund Management, LLC
Dechert LLP
Dechert LLP
XXVII. Investment Adviser Reporting
Campbell & Company
Managed Futures Association (MFA)
Managed Futures Association (MFA)
XXVII. Investment Adviser Reporting
BlackRock
IV. Business Conduct Standards – Internal
VII. DCO Core Principles
VII. DCO Core Principles
Citadel Investment Group
Delta Strategy Group
Delta Strategy Group
IV. Business Conduct Standards – Internal
VII. DCO Core Principles
VII. DCO Core Principles
European Bank for Reconstruction and Development (EBRD)
XXI. Joint Rules w/ SEC
Country Hedging
Dairy Framers of America/Dairylea
Land O'Lakes
Growmark
National Council of Farmer Cooperatives
Dairy Framers of America/Dairylea
Land O'Lakes
Growmark
National Council of Farmer Cooperatives
II. Definitions
XIX. Agricultural Swaps
XXVI. Position Limits
XIX. Agricultural Swaps
XXVI. Position Limits
AmCham EU
Barclays
Cicero
Citi
Fleishman-Hillard
Goldman Sachs
JPMorgan
Kreab Gavin Anderson
Standard & Poor’s / McGraw-Hill Companies
Barclays
Cicero
Citi
Fleishman-Hillard
Goldman Sachs
JPMorgan
Kreab Gavin Anderson
Standard & Poor’s / McGraw-Hill Companies
General
National Council of Farmer Cooperatives
II. Definitions
XIX. Agricultural Swaps
XIX. Agricultural Swaps
Country Heading
Dairy Risk Management Services
Commodity Risk Management
AgriVisor
Dairy Farmers of America
Land O'Lakes
Growmark
Dairy Risk Management Services
Commodity Risk Management
AgriVisor
Dairy Farmers of America
Land O'Lakes
Growmark
II. Definitions
XXVI. Position Limits
General
XXVI. Position Limits
General
CHS
Dairy Farmers of America/Dairylea
Land O 'Lakes
Growmark
National Council of Farmer Cooperatives
Dairy Farmers of America/Dairylea
Land O 'Lakes
Growmark
National Council of Farmer Cooperatives
II. Definitions
XXVI. Position Limits
General
XXVI. Position Limits
General
CHS, Dairy Farmers of America/Dairylea, Land O'Lakes, Growmark, NCFC
General
UBS
Maverick Capital
Legg Mason
ClarBridge Advisors
GIC (Government of Singapore Investment Company)
UBS Wealth Managment
Alyeska Investment Group
TPG Axon
Fidelity Investment
Maverick Capital
Legg Mason
ClarBridge Advisors
GIC (Government of Singapore Investment Company)
UBS Wealth Managment
Alyeska Investment Group
TPG Axon
Fidelity Investment
General
Height Analytics
Brigade Capital Management
Glenview Capital Management
Fir Tree Partners
Thompson, Siegel and Walmsley
Brigade Capital Management
Glenview Capital Management
Fir Tree Partners
Thompson, Siegel and Walmsley
V. Capital & Margin
XXVI. Position Limits
General
XXVI. Position Limits
General
BGC
GFI Group
ICAP
Tradition
Tullet Prebon
Patton Boggs LLP
Wholesale Market Brokers Association of America (WMBAA)
GFI Group
ICAP
Tradition
Tullet Prebon
Patton Boggs LLP
Wholesale Market Brokers Association of America (WMBAA)
XVIII. Real Time Reporting
Chatham Financial (Chatham)
Commodity Markets Council
Financial Executives International
National Association of Manufacturers (NAM)
Chamber of Commerce
GE Capital
John Deere
Constellation
Proctor and Gamble
IBM
BP
Energy Futures Holding
Real Estate Roundtable
Gibson, Dunn & Crutcher LLP (Gibson Dunn)
Commodity Markets Council
Financial Executives International
National Association of Manufacturers (NAM)
Chamber of Commerce
GE Capital
John Deere
Constellation
Proctor and Gamble
IBM
BP
Energy Futures Holding
Real Estate Roundtable
Gibson, Dunn & Crutcher LLP (Gibson Dunn)
V. Capital & Margin
American Securitzation Forum (ASF)
Credit Suisse Securities USA LLC (Credit Suisse)
Dewey & LeBoeuf LLP (Dewey & LeBoeuf)
RBC Capital Markets (RBCCM)
Credit Suisse Securities USA LLC (Credit Suisse)
Dewey & LeBoeuf LLP (Dewey & LeBoeuf)
RBC Capital Markets (RBCCM)
V. Capital & Margin
Securities Industry and Financial Markets Association (“SIFMA”)
Goldman Sachs
Morgan Stanley
Goldman Sachs
Morgan Stanley
III. Business Conduct Standards w/ Counterparties
Wellington Management (WM)
Capstone LLC
Capstone LLC
XXXII. Large Swaps Trader Reporting
FIA organized a group including:
Fried Frank
GETCO
MF Global
Deutsche Bank
Citi
MF Global
UBS
R.J. O’Brien and Associates
Richard Berliand Limited
Morgan Stanley
Katten Muchin
Fried Frank
GETCO
MF Global
Deutsche Bank
Citi
MF Global
UBS
R.J. O’Brien and Associates
Richard Berliand Limited
Morgan Stanley
Katten Muchin
XXVI. Position Limits
Ogilvy GR
Geneva Energy Markets
Geneva Trading
Geneva Energy Markets
Geneva Trading
XIII. SEF Registration
XXVI. Position Limits
XXVI. Position Limits
Geneva Energy Markets LLC (Geneva Energy)
Geneva Trading USA LLC (Geneva Trading)
Ogilvy Government Relations (Ogilvy)
Geneva Trading USA LLC (Geneva Trading)
Ogilvy Government Relations (Ogilvy)
V. Capital & Margin
XIII. SEF Registration
XIII. SEF Registration
Spring Trading, LLC (Spring Trading)
Ogilvy Government Relations (Ogilvy)
Ogilvy Government Relations (Ogilvy)
XIII. SEF Registration
Securities Industry and Financial Markets Association (“SIFMA”)
Goldman Sachs
Morgan Stanley
Goldman Sachs
Morgan Stanley
III. Business Conduct Standards w/ Counterparties
Futures Industry Association Board of Directors
II. Definitions
XIII. SEF Registration
XVIII. Real Time Reporting
XXVI. Position Limits
XXVII. Investment Adviser Reporting
XIII. SEF Registration
XVIII. Real Time Reporting
XXVI. Position Limits
XXVII. Investment Adviser Reporting
BG Americas & Global LNG (BG Americas)
Alpine Group
Hunton & Williams
Alpine Group
Hunton & Williams
II. Definitions
XVII. Data Recordkeeping
XXI. Joint Rules w/ SEC
XVII. Data Recordkeeping
XXI. Joint Rules w/ SEC
Chrysler Group LLC (Chrysler)
GM Asset Management (GM)
NISA Investment Advisors LLC (NISA)
Skadden, Arps, Slate, Meagher & Flom LLP (Skadden)
GM Asset Management (GM)
NISA Investment Advisors LLC (NISA)
Skadden, Arps, Slate, Meagher & Flom LLP (Skadden)
V. Capital & Margin
MOSERS
COPERA
SWIB
VRS
CalPERS
TRST
COPERA
SWIB
VRS
CalPERS
TRST
III. Business Conduct Standards w/ Counterparties
BG Americas
XVI. Swap Data Repositories Registration
XXVI. Position Limits
General
XXVI. Position Limits
General
CalPERS
III. Business Conduct Standards w/ Counterparties
V. Capital & Margin
XXVI. Position Limits
V. Capital & Margin
XXVI. Position Limits
Missouri State Employees Retirement System (MOSERS)
Public Employees’ Retirement Association of Colorado (COPERA)
State of Wisconsin Investment Board (SWIB)
Virginia Retirement Systems (VRS)
California Public Employees' Retirement System (CalPERS)
Teachers Retirement System of Texas (TRST)
Delta Strategy Group (DSG)
Lussier, Gregor, Vienna & Associates
Public Employees’ Retirement Association of Colorado (COPERA)
State of Wisconsin Investment Board (SWIB)
Virginia Retirement Systems (VRS)
California Public Employees' Retirement System (CalPERS)
Teachers Retirement System of Texas (TRST)
Delta Strategy Group (DSG)
Lussier, Gregor, Vienna & Associates
III. Business Conduct Standards w/ Counterparties
Skadden Arps
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
IV. Business Conduct Standards – Internal
The Swedish Financial Supervisory Authority
XVI. Swap Data Repositories Registration
Bunge
Cargill
Louis Dreyfus Commodities
Gavilon
Hunton & Williams
Vitol
Commodity Markets Council
Cargill
Louis Dreyfus Commodities
Gavilon
Hunton & Williams
Vitol
Commodity Markets Council
II. Definitions
WMBAA, BGC, GFI, ICAP, Tradition, Tullett Prebon, Patton Boggs
XIII. SEF Registration
General
General
CMC, Bunge, Cargill, Louis Dreyfus Commodities, Gavilon, Hunton & Williams, Vitol
XXVI. Position Limits
SIFMA
GSAM
PIMCO
AllianceBernstein
SIFMA-AMG
Fidelity
Wellington
Vanguard
GSAM
PIMCO
AllianceBernstein
SIFMA-AMG
Fidelity
Wellington
Vanguard
XIII. SEF Registration
PIMCO
GSAM
Wellington
Fidelity
Vanguard Asset Management Group
BlackRock
Alliance Bernstein
SIFMA
GSAM
Wellington
Fidelity
Vanguard Asset Management Group
BlackRock
Alliance Bernstein
SIFMA
XIII. SEF Registration
Davis Polk
PIMCO
GSAM
Wellington
Fedility
The Vanguard Assest Management Group
Alliance Bernstein
GSAM
SIFMA
SIFMA-AMG
PIMCO
GSAM
Wellington
Fedility
The Vanguard Assest Management Group
Alliance Bernstein
GSAM
SIFMA
SIFMA-AMG
XIII. SEF Registration
Mizuho Securities USA, Inc. (MSUSA)
Sherman & Sterling LLP (Sherman & Sterling)
Sapient Global Markets (Sapient)
Sherman & Sterling LLP (Sherman & Sterling)
Sapient Global Markets (Sapient)
I. Registration
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
V. Capital & Margin
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
V. Capital & Margin
Ogilvy Government Relations and the National Bank of Canada
XXVI. Position Limits
Business Roundtable
Chamber of Commerce
Financial Executives International
Agricultural Retailers Association
Chatham
GE
Ford
Chamber of Commerce
Financial Executives International
Agricultural Retailers Association
Chatham
GE
Ford
V. Capital & Margin
General
General
Business Roundtable
Chamber of Commerce
Financial Executives International
Agricultural Retailers Association
Chatham
GE
Ford
Chamber of Commerce
Financial Executives International
Agricultural Retailers Association
Chatham
GE
Ford
II. Definitions
V. Capital & Margin
General
V. Capital & Margin
General
California Independent System Operator Corporation (CAISO)
ISO New England Inc. (ISO NE)
Midwest Independent Transmission System Operator, Inc. (MISO)
New York Independent System Operator, Inc. (NYISO)
PJM Interconnection, L.L.C. (PJM)
Electric Reliability Council of Texas, Inc. (ERCOT)
ISO New England Inc. (ISO NE)
Midwest Independent Transmission System Operator, Inc. (MISO)
New York Independent System Operator, Inc. (NYISO)
PJM Interconnection, L.L.C. (PJM)
Electric Reliability Council of Texas, Inc. (ERCOT)
General
Securities Industry and Financial Markets Association (“SIFMA”)
Goldman Sachs
Morgan Stanley
Nomura
Deutsche Bank
Goldman Sachs
Morgan Stanley
Nomura
Deutsche Bank
III. Business Conduct Standards w/ Counterparties
AFME
Goldman Sachs
HSBC
Morgan Stanley
JP Morgan
Dutsche Bank
RBS
Barclays
BAML
Goldman Sachs
HSBC
Morgan Stanley
JP Morgan
Dutsche Bank
RBS
Barclays
BAML
XVII. Data Recordkeeping
Alternative Investement Management Association ("AIMA")
XXVI. Position Limits
American Benefits Counsel (ABC)
Davis Harman
Davis Harman
III. Business Conduct Standards w/ Counterparties
American Benefits Council (ABC), Committee on Investment of Employee Benefit Assets (CIEBA), Skadden Arps, Lockheed Martin, Venable, Chrysler, Xerox, IBM, Ford, Weyerhaeuser, General Motors (GM), NISA Investment Advisors, Davis Harman
III. Business Conduct Standards w/ Counterparties
Coalition for Derivatives End-Users
Chamber of Commerce
Business Roundtable
Chatham Financial
ConocoPhillips
GE
Cargill
John Deere
Constellation
Chamber of Commerce
Business Roundtable
Chatham Financial
ConocoPhillips
GE
Cargill
John Deere
Constellation
II. Definitions
V. Capital & Margin
VII. DCO Core Principles
V. Capital & Margin
VII. DCO Core Principles
Skadden
American Benefits Council (ABC)
Committee on Investment of Employee Benefit Assets (CIEBA)
American Benefits Council (ABC)
Committee on Investment of Employee Benefit Assets (CIEBA)
III. Business Conduct Standards w/ Counterparties
The Loan Syndications and Trading Association (LSTA)
Loan Market Association (LMA)
Goldman Sachs International (Goldman Sachs)
Richards Kibbe & Orbe (Richards Kibbe)
WilmerHale
Loan Market Association (LMA)
Goldman Sachs International (Goldman Sachs)
Richards Kibbe & Orbe (Richards Kibbe)
WilmerHale
XXI. Joint Rules w/ SEC
Securities Industry and Financial Markets Association (“SIFMA”)
Goldman Sachs
Morgan Stanley
Nomura
Deutsche Bank
Goldman Sachs
Morgan Stanley
Nomura
Deutsche Bank
III. Business Conduct Standards w/ Counterparties
Fidelity Investments
II. Definitions
V. Capital & Margin
XXVI. Position Limits
V. Capital & Margin
XXVI. Position Limits
Chatham Financial (Chatham)
Susquehanna Bancshares, Inc. (Susquehanna)
Susquehanna Bancshares, Inc. (Susquehanna)
II. Definitions
XI. End-user Exception
XI. End-user Exception
Javelin
IV. Business Conduct Standards – Internal
VII. DCO Core Principles
VIII. Process for Review of Swaps
XIII. SEF Registration
VII. DCO Core Principles
VIII. Process for Review of Swaps
XIII. SEF Registration
GM, CIEBA, NISA Investment Advisors, U.S. Steel Pension Fund and American Benefits Council
IV. Business Conduct Standards – Internal
Evolution Markets Inc. (Evolution Markets)
Ogilvy Government Relations (Ogilvy)
Ogilvy Government Relations (Ogilvy)
XXI. Joint Rules w/ SEC
Winton Capital
King Street
Tudor
DE Shaw
Serengeti
MFA
King Street
Tudor
DE Shaw
Serengeti
MFA
XXVI. Position Limits
General
General
Van Ness Feldman Law Firm
Nixon Peabody LLP
Colorado Springs Utilities
Sacremento Municipal Utility District Treasurer
Los Angeles Department of Water & Power
Public Utility District No. 1 of Chelan County
CEO Tacoma Public Utilities
Nixon Peabody LLP
Colorado Springs Utilities
Sacremento Municipal Utility District Treasurer
Los Angeles Department of Water & Power
Public Utility District No. 1 of Chelan County
CEO Tacoma Public Utilities
V. Capital & Margin
XVI. Swap Data Repositories Registration
XVII. Data Recordkeeping
XVI. Swap Data Repositories Registration
XVII. Data Recordkeeping
Winton Capital
King Street
Tudor
DE Shaw
Serengeti
MFA
Delta
King Street
Tudor
DE Shaw
Serengeti
MFA
Delta
I. Registration
XXVI. Position Limits
XXVI. Position Limits
Winton Capital
King Street
Tudor
DE Shaw
Serengeti
MFA
Delta Strategies
King Street
Tudor
DE Shaw
Serengeti
MFA
Delta Strategies
I. Registration
XXVI. Position Limits
XXVI. Position Limits
Van Ness Feldman Law Firm
Nixon Peabody LLP
Colorado Springs Utilities
Sacremento Municipal Utility District Treasurer
Los Angeles Deparment of Water and Power
Public Utility District No. 1 of Chelan County
CEO Tacoma Public Utilities
Nixon Peabody LLP
Colorado Springs Utilities
Sacremento Municipal Utility District Treasurer
Los Angeles Deparment of Water and Power
Public Utility District No. 1 of Chelan County
CEO Tacoma Public Utilities
V. Capital & Margin
XVI. Swap Data Repositories Registration
XVII. Data Recordkeeping
XVI. Swap Data Repositories Registration
XVII. Data Recordkeeping
Winton Capital
King Street
Tudor
DE Shaw
Serengeti
MFA
Delta Strategy Group
King Street
Tudor
DE Shaw
Serengeti
MFA
Delta Strategy Group
XXVI. Position Limits
MFA
Winton Capital
King Street
Tudor Investments
DE Shaw
Serengeti
Delta Strategy Group
Winton Capital
King Street
Tudor Investments
DE Shaw
Serengeti
Delta Strategy Group
XXVI. Position Limits
ICAP
VII. DCO Core Principles
VIII. Process for Review of Swaps
XIII. SEF Registration
XVI. Swap Data Repositories Registration
XVIII. Real Time Reporting
VIII. Process for Review of Swaps
XIII. SEF Registration
XVI. Swap Data Repositories Registration
XVIII. Real Time Reporting
Cooperative Finance Corporation (CFC)
Russell & Barron
Russell & Barron
XI. End-user Exception
Citi
JP Morgan
Morgan Stanley
JP Morgan
Morgan Stanley
II. Definitions
V. Capital & Margin
VI. Segregation and Bankruptcy
VIII. Process for Review of Swaps
XIII. SEF Registration
XVIII. Real Time Reporting
V. Capital & Margin
VI. Segregation and Bankruptcy
VIII. Process for Review of Swaps
XIII. SEF Registration
XVIII. Real Time Reporting
Citadel
King Street
Blue Mountain
D.E. Shaw
King Street
Blue Mountain
D.E. Shaw
IV. Business Conduct Standards – Internal
V. Capital & Margin
VI. Segregation and Bankruptcy
VII. DCO Core Principles
VIII. Process for Review of Swaps
XIII. SEF Registration
V. Capital & Margin
VI. Segregation and Bankruptcy
VII. DCO Core Principles
VIII. Process for Review of Swaps
XIII. SEF Registration
BlackRock
Wellington
Goldman Sachs Asset Management
Wellington
Goldman Sachs Asset Management
IV. Business Conduct Standards - Internal
VI. Segregation and Bankruptcy
VII. DCO Core Principles
VIII. Process for Review of Swaps
XIII. SEF Registration
VI. Segregation and Bankruptcy
VII. DCO Core Principles
VIII. Process for Review of Swaps
XIII. SEF Registration
Skadden, Arps, Slate, Meagher & Flom LLP (Skadden)
American Benefits Council (ABC)
Committee on Investment of Employee Benefit Assets (CIEBA)
American Benefits Council (ABC)
Committee on Investment of Employee Benefit Assets (CIEBA)
III. Business Conduct Standards w/ Counterparties
Nomura Holding America Inc. (NHA)
Nomura International PLC (NI)
Nomura Securities International Inc. (NSI)
Nomura International PLC (NI)
Nomura Securities International Inc. (NSI)
V. Capital & Margin
BP
XVI. Swap Data Repositories Registration
XVII. Data Recordkeeping
XVIII. Real Time Reporting
XVII. Data Recordkeeping
XVIII. Real Time Reporting
American Bankers' Association
V. Capital & Margin
XXVI. Position Limits
XXVI. Position Limits
Chicago Mercantile Exchange
VI. Segregation and Bankruptcy
VII. DCO Core Principles
XII. DCM Core Principles
XXVI. Position Limits
VII. DCO Core Principles
XII. DCM Core Principles
XXVI. Position Limits
K&L Gates LLP
Investment Advisor Association
MFS Investment Management
Investment Advisor Association
MFS Investment Management
XXVII. Investment Adviser Reporting
General
General
K&L Gates, MFS Investment Management, Invesment Advisors Assoc.
II. Definitions
General
General
American Gas Association
Consolidated Edison Company of New York
National Grid Distribution Companies
Baltimore Gas & Electric Company
Washington Gas Light
Puget Sound Energy
Perkins Coie
CenterPoint Energy
Consolidated Edison Company of New York
National Grid Distribution Companies
Baltimore Gas & Electric Company
Washington Gas Light
Puget Sound Energy
Perkins Coie
CenterPoint Energy
XIX. Agricultural Swaps
XXI. Joint Rules w/ SEC
XXI. Joint Rules w/ SEC
New York Law School
Bank of America Merrill Lynch
Allen & Overy
CME Group
Katten Muchin Rosenman
BlackRock
Bank of America Merrill Lynch
Allen & Overy
CME Group
Katten Muchin Rosenman
BlackRock
VI. Segregation and Bankruptcy
The Prudential Insurance Company of America (Prudential)
Sullivan & Cromwell (S&C)
U.S. Securities and Exchange Commission (SEC)
Sullivan & Cromwell (S&C)
U.S. Securities and Exchange Commission (SEC)
II. Definitions
XI. End-user Exception
XI. End-user Exception
Prudential Insurance
Sullivan & Cromwell
Sullivan & Cromwell
Study: Clearing Regulations Abroad
General
General
Reval
LTD Group (LTD)
LTD Group (LTD)
III. Business Conduct Standards w/ Counterparties
V. Capital & Margin
V. Capital & Margin
GFI Group
ICAP
Tradweb
Tradition
Tullett Prebon
BGC Partners
Patton Boggs
ICAP
Tradweb
Tradition
Tullett Prebon
BGC Partners
Patton Boggs
XIII. SEF Registration
California Independent System Operator Corporation (CAISO)
ISO New England Inc. (ISO NE)
Midwest Independent Transmission System Operator, Inc. (MISO)
New York Independent System Operator, Inc. (NYISO)
PJM Interconnection, L.L.C. (PJM)
Electric Reliability Council of Texas, Inc. (ERCOT)
ISO New England Inc. (ISO NE)
Midwest Independent Transmission System Operator, Inc. (MISO)
New York Independent System Operator, Inc. (NYISO)
PJM Interconnection, L.L.C. (PJM)
Electric Reliability Council of Texas, Inc. (ERCOT)
General
The Depository Trust & Clearing Corporation
XVI. Swap Data Repositories Registration
XVII. Data Recordkeeping
XVII. Data Recordkeeping
Alternative Investment Managment Assoc (AIMA)
Crossroads Strategies
Crossroads Strategies
XXVI. Position Limits
Conoco Phillips
Hess
Shell Trading
Constellation
Vitol Inc.
Luminant
AGL Resources
BP
NextEra Energy
DTE Energy
Hunton
Hess
Shell Trading
Constellation
Vitol Inc.
Luminant
AGL Resources
BP
NextEra Energy
DTE Energy
Hunton
II. Definitions
Securities and Exchange Commission (SEC)
Asset Management Group of the Securities Industry and Financial Markets Association (SIFMA AMG)
BlackRock
Davis Polk
Fidelity Investments (Fidelity)
PIMCO
Vanguard
Goldman Sachs
MFS Investment Management (MFS)
Wellington Capital Management (Wellington)
Asset Management Group of the Securities Industry and Financial Markets Association (SIFMA AMG)
BlackRock
Davis Polk
Fidelity Investments (Fidelity)
PIMCO
Vanguard
Goldman Sachs
MFS Investment Management (MFS)
Wellington Capital Management (Wellington)
XVIII. Real Time Reporting
Depository Trust & Clearing Corporation (DTCC)
XVI. Swap Data Repositories Registration
XVIII. Real Time Reporting
XVIII. Real Time Reporting
Alternative Investment Management Association (AIMA)
Crossroads Strategies
Crossroads Strategies
XXVI. Position Limits
General
General
Alternative Investment Management Association (AIMA)
Crossroads Strategies
Crossroads Strategies
VII. DCO Core Principles
Alternative Investment Management Association (AIMA)
Crossroads Strategies
Crossroads Strategies
XXVI. Position Limits
Riverside Risk Advisors
II. Definitions
V. Capital & Margin
XI. End-user Exception
V. Capital & Margin
XI. End-user Exception
Securities and Exchange Commission ("SEC")
International Swaps and Derivatives Association ("ISDA")
International Swaps and Derivatives Association ("ISDA")
XVIII. Real Time Reporting
Property Casualty Insurers Association of America (PCIAA)
Raben Group
Raben Group
XXI. Joint Rules w/ SEC
Securities and Exchange Commission ("SEC")
Depository Trust & Clearing Corporation (“DTCC”)
Depository Trust & Clearing Corporation (“DTCC”)
XVIII. Real Time Reporting
International Swaps and Derivatives Association ("ISDA")
Mayer Brown
Kalorama Partners
Mayer Brown
Kalorama Partners
XVIII. Real Time Reporting
The World Bank (World Bank)
International Finance Corporation (IFC)
International Finance Corporation (IFC)
XXI. Joint Rules w/ SEC
Athilon Structured Investment Advisors LLC (Athilon)
Sullivan & Cromwell
Sullivan & Cromwell
II. Definitions
Blue Mountain Capital Management LLC (Blue Mountain)
Citadel, Delta Strategy Group (Delta)
D.E. Shaw Group (D.E. Shaw)
DRW Trading Group (DRW)
Tudor Investment Corporation (Tudor)
Citadel, Delta Strategy Group (Delta)
D.E. Shaw Group (D.E. Shaw)
DRW Trading Group (DRW)
Tudor Investment Corporation (Tudor)
VI. Segregation and Bankruptcy
VII. DCO Core Principles
VIII. Process for Review of Swaps
VII. DCO Core Principles
VIII. Process for Review of Swaps
LCH Clearnet (LCH)
Rich Feuer Group
Rich Feuer Group
IX. Governance & Possible Limits
General
General
California State Teachers’ Retirement System (CalSTRS)
Covington & Burling
Covington & Burling
II. Definitions
Institute for Agriculture and Trade Policy
Oxfam
Maryknoll Office
Departmento Intersindical De Estatistica E Estudos Socioeconomicos, Brasil
Oxfam
Maryknoll Office
Departmento Intersindical De Estatistica E Estudos Socioeconomicos, Brasil
XXVI. Position Limits
Washington Analysis (WA)
Atlanta Capital Management (Atlanta)
Conatus Capital (Conatus)
JP Morgan
Millennium Partners (Millenium)
Pyramis Global Advisors (Pyramis)
Wellington Asset Management (Wellington)
U.S. Securities and Exchange Commission (SEC)
Atlanta Capital Management (Atlanta)
Conatus Capital (Conatus)
JP Morgan
Millennium Partners (Millenium)
Pyramis Global Advisors (Pyramis)
Wellington Asset Management (Wellington)
U.S. Securities and Exchange Commission (SEC)
XI. End-user Exception
Depository & Trust Clearing Corporation (DTCC)
XVI. Swap Data Repositories Registration
XVIII. Real Time Reporting
XVIII. Real Time Reporting
American Electric Power
Calpine
Constellation
DC Energy
Edison Electric Institute
Edison International
EPSA
Exelon
GenOn
Southern Company
Sutherland
Bracewell
Cadwalader
Calpine
Constellation
DC Energy
Edison Electric Institute
Edison International
EPSA
Exelon
GenOn
Southern Company
Sutherland
Bracewell
Cadwalader
II. Definitions
Credit Suisse
Millennium Capital
Marathon Capital
TRowe Price
BlackRock
Blue Mountain
Goldman Sachs Asset Management
King Street
Millennium Capital
Marathon Capital
TRowe Price
BlackRock
Blue Mountain
Goldman Sachs Asset Management
King Street
II. Definitions
V. Capital & Margin
XIII. SEF Registration
V. Capital & Margin
XIII. SEF Registration
American Council of Life Insurers
Genworth
Manulife
John Hancock Life
New York Life Insurance Company (New York Life)
Northwestern Mutual
Prudential
MetLife
Allstate Life
Genworth
Manulife
John Hancock Life
New York Life Insurance Company (New York Life)
Northwestern Mutual
Prudential
MetLife
Allstate Life
XVIII. Real Time Reporting
BlackRock
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
IX. Governance & Possible Limits
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
IX. Governance & Possible Limits
The Options Clearing Corporation
VII. DCO Core Principles
X. Systemically Important DCO Rules
X. Systemically Important DCO Rules
International Institute of Bankers
XVI. Swap Data Repositories Registration
Institute of International Bankers
Davis Polk & Wardwell
Clearly Gottlieb
Davis Polk & Wardwell
Clearly Gottlieb
II. Definitions
Rabobank
Davis Polk
Davis Polk
I. Registration
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
V. Capital & Margin
XVII. Data Recordkeeping
XVIII. Real Time Reporting
General
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
V. Capital & Margin
XVII. Data Recordkeeping
XVIII. Real Time Reporting
General
Depository Trust & Clearing Corporation (DTCC)
XVI. Swap Data Repositories Registration
Constellation Energy
BRT
Chamber of Commerce
National Association of Manufacturers
NAREIT
Financial Executives International
IBM
Caterpillar
John Deere
GE
Forest City
Inland
MillerCoors
Ford
Energy Future Holdings
Chatham Financial
Gibson Dunn
BRT
Chamber of Commerce
National Association of Manufacturers
NAREIT
Financial Executives International
IBM
Caterpillar
John Deere
GE
Forest City
Inland
MillerCoors
Ford
Energy Future Holdings
Chatham Financial
Gibson Dunn
II. Definitions
XI. End-user Exception
XI. End-user Exception
The Cypress Group (Cypress)
Primus Asset Management, Inc. (Primus)
Invicta Financial Group (Invicta)
Quadrant Structured Investment Advisers LLC (Quadrant)
U.S. Securities and Exchange Commission (SEC)
Primus Asset Management, Inc. (Primus)
Invicta Financial Group (Invicta)
Quadrant Structured Investment Advisers LLC (Quadrant)
U.S. Securities and Exchange Commission (SEC)
II. Definitions
ISDA
Kalorama Partners
Mayer Brown
Kalorama Partners
Mayer Brown
II. Definitions
IX. Governance & Possible Limits
XXVI. Position Limits
General
IX. Governance & Possible Limits
XXVI. Position Limits
General
ISDA
Kalorama Partners
Mayer Brown
Kalorama Partners
Mayer Brown
II. Definitions
XIII. SEF Registration
XVIII. Real Time Reporting
XXI. Joint Rules w/ SEC
XIII. SEF Registration
XVIII. Real Time Reporting
XXI. Joint Rules w/ SEC
Morgan Stanley
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
IV. Business Conduct Standards – Internal
Property Casualty Insurers Assoc, The Raben Group
II. Definitions
XI. End-user Exception
XI. End-user Exception
Constellation
BP
GenOn
Cargill
Shell
Electrip Power Supply Association (EPSA)
BP
GenOn
Cargill
Shell
Electrip Power Supply Association (EPSA)
II. Definitions
V. Capital & Margin
XXI. Joint Rules w/ SEC
V. Capital & Margin
XXI. Joint Rules w/ SEC
Working Group of Commercial Energy Firms
I. Registration
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
V. Capital & Margin
XVII. Data Recordkeeping
XVIII. Real Time Reporting
General
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
V. Capital & Margin
XVII. Data Recordkeeping
XVIII. Real Time Reporting
General
Nomura
Citi
Goldman Sachs
Credit Suisse
Bank of America/Merrill Lynch
Mayer Brown
Citi
Goldman Sachs
Credit Suisse
Bank of America/Merrill Lynch
Mayer Brown
II. Definitions
Morgan Stanley, Deutsche Bank, JP Morgan, Goldman Sachs, Bank of America Merrill Lynch, UBS, BlackRock, Wellington, PIMCO, SIFMA, FIA, ISDA
General
MBIA
II. Definitions
V. Capital & Margin
XVI. Swap Data Repositories Registration
V. Capital & Margin
XVI. Swap Data Repositories Registration
Next Era Energy Power Marketing, LLC
Next Era Energy Resources, LLC
Delta Strategy Group
Cadwalader, Wickersham & Taft LLP
Next Era Energy Resources, LLC
Delta Strategy Group
Cadwalader, Wickersham & Taft LLP
II. Definitions
Credit Suisse, Deutsche Bank, Citi, JP Morgan, Barclays, Morgan Stanley, Goldman Sachs, UBS
I. Registration
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
XVII. Data Recordkeeping
XVIII. Real Time Reporting
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
XVII. Data Recordkeeping
XVIII. Real Time Reporting
Hungary, France, Sweden, UK, Poland and Netherlands
II. Definitions
VII. DCO Core Principles
VII. DCO Core Principles
John Gandolfo, Acting Vice President and Treasurer
Doris-Herrera-Pol, Director, Capital Markets Department, WB Treasury
J. Clifford Frazier, Chief Counsel, Coporate Finance, Legal Vice Presidency
Elan Liang, North American Affairs, External Affairs Vice Presidency
Glenn Jessee, Principal Counsel, Global Financial Markets, International Finance Corporation
John Powers, Head Compliance and Conflicts Functions, Office of the Vice President and General Counsel, International Finance Corporation
Andrew S. Rushing, Advisor, Office of the US Executive Director
Keshav Gaur, Chief Officer, IFC
Doris-Herrera-Pol, Director, Capital Markets Department, WB Treasury
J. Clifford Frazier, Chief Counsel, Coporate Finance, Legal Vice Presidency
Elan Liang, North American Affairs, External Affairs Vice Presidency
Glenn Jessee, Principal Counsel, Global Financial Markets, International Finance Corporation
John Powers, Head Compliance and Conflicts Functions, Office of the Vice President and General Counsel, International Finance Corporation
Andrew S. Rushing, Advisor, Office of the US Executive Director
Keshav Gaur, Chief Officer, IFC
General
European Parliament's Economic and Monetary Affairs Committee
II. Definitions
European Parliament
II. Definitions
VII. DCO Core Principles
XI. End-user Exception
XVIII. Real Time Reporting
VII. DCO Core Principles
XI. End-user Exception
XVIII. Real Time Reporting
European Commission
II. Definitions
VII. DCO Core Principles
XI. End-user Exception
XVI. Swap Data Repositories Registration
VII. DCO Core Principles
XI. End-user Exception
XVI. Swap Data Repositories Registration
Fidelity
Vanguard
Fidelity
Wellington
Goldman Sachs Asset Management
MFS
Securities Industry Financial Markets Association (SIFMA)
Vanguard
Fidelity
Wellington
Goldman Sachs Asset Management
MFS
Securities Industry Financial Markets Association (SIFMA)
II. Definitions
Shell Energy North America
Shell Oil Company
Shell Oil Company
II. Definitions
XXI. Joint Rules w/ SEC
XXVI. Position Limits
XXI. Joint Rules w/ SEC
XXVI. Position Limits
Shell Energy
II. Definitions
XXI. Joint Rules w/ SEC
XXVI. Position Limits
XXI. Joint Rules w/ SEC
XXVI. Position Limits
Shell Oil Company
II. Definitions
XXI. Joint Rules w/ SEC
XXVI. Position Limits
XXI. Joint Rules w/ SEC
XXVI. Position Limits
SEC
Department of Treasury
Federal Reserve Bank of New York
Goldman Sachs
JP Morgan
PwC
SIFMA
Department of Treasury
Federal Reserve Bank of New York
Goldman Sachs
JP Morgan
PwC
SIFMA
XVII. Data Recordkeeping
U.S. Department of Labor, Employee Benefits Security Administration (EBSA)
III. Business Conduct Standards w/ Counterparties
Futures Industry Association (FIA)
VII. DCO Core Principles
X. Systemically Important DCO Rules
X. Systemically Important DCO Rules
SIFMA
J.P. Morgan
Bank of America
Davis Polk
Societe Generale
Wells Fargo
Credit Suisse
Morgan Stanley
Goldman Sachs
BNY Mellon
State Street
J.P. Morgan
Bank of America
Davis Polk
Societe Generale
Wells Fargo
Credit Suisse
Morgan Stanley
Goldman Sachs
BNY Mellon
State Street
XXVIII. Volcker Rule
US Chamber of Commerce
Delta Strategy Group
Delta Strategy Group
IV. Business Conduct Standards – Internal
General
General
LCH.Clearnet Limited
VI. Segregation and Bankruptcy
VII. DCO Core Principles
VIII. Process for Review of Swaps
VII. DCO Core Principles
VIII. Process for Review of Swaps
Covington & Burling
National Petroleum Refiners Association
American Petroleum Institute
National Petroleum Refiners Association
American Petroleum Institute
XXIII. Anti-Manipulation
American Petroleum Institute.
National Petrochemical and Refiners Association.
National Petrochemical and Refiners Association.
XXIII. Anti-Manipulation
Amcot
Calcot
Staplcotn
Plains Cotton Cooperative Association
Carolinas Cotton Growers Cooperation
Calcot
Staplcotn
Plains Cotton Cooperative Association
Carolinas Cotton Growers Cooperation
General
Amcot
Calcot
Staplcotn
Plains Cotton Cooperative Association
Carolinas Cotton Growers Cooperative
Calcot
Staplcotn
Plains Cotton Cooperative Association
Carolinas Cotton Growers Cooperative
General
BlueMountain Capital Management
Citadel LLC
Brevan Howard
King Street Capital Management, L.P.
The D.E. Shaw Group
BlackRock, Inc.
HBK Investments LP
Managed Funds Association
Citadel LLC
Brevan Howard
King Street Capital Management, L.P.
The D.E. Shaw Group
BlackRock, Inc.
HBK Investments LP
Managed Funds Association
General
BlueMountain Capital Management
Citadel LLC
Brevan Howard
King Street Capital Management, LP
D.E. Shaw Group
HBK Investments LP
Managed Funds Association
Delta Strategies
Citadel LLC
Brevan Howard
King Street Capital Management, LP
D.E. Shaw Group
HBK Investments LP
Managed Funds Association
Delta Strategies
General
American Benefits Council (ABC), The Committee on Investment of Employee Benefit Assets (CIEBA), United States Steel and Carnegie Pension Fund, NISA Investment Advisors
IV. Business Conduct Standards – Internal
Blackrock
IV. Business Conduct Standards – Internal
VII. DCO Core Principles
VII. DCO Core Principles
BlueMountain Capital Management
Citadel LLC
Brevan Howard
King Street Capital Management LP
DE Shaw Group
BlackRock Inc.
HBK Investments LP
MFA
Citadel LLC
Brevan Howard
King Street Capital Management LP
DE Shaw Group
BlackRock Inc.
HBK Investments LP
MFA
General
Morgan Stanely
II. Definitions
III. Business Conduct Standards w/ Counterparties
XIII. SEF Registration
XVIII. Real Time Reporting
III. Business Conduct Standards w/ Counterparties
XIII. SEF Registration
XVIII. Real Time Reporting
Morgan Stanley
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
XIII. SEF Registration
XVIII. Real Time Reporting
IV. Business Conduct Standards – Internal
XIII. SEF Registration
XVIII. Real Time Reporting
Morgan Stanley
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
XIII. SEF Registration
XVIII. Real Time Reporting
IV. Business Conduct Standards – Internal
XIII. SEF Registration
XVIII. Real Time Reporting
Berkshire Hathaway
MidAmerican Energy Holdens Company
Burlington Northern Santa Fe
Hunton & Williams LLP
MidAmerican Energy Holdens Company
Burlington Northern Santa Fe
Hunton & Williams LLP
II. Definitions
Berkshire Hathaway
MidAmerican Energy Holdings Company
Burlington Northern Santa Fe
MidAmerican Energy Company
Hunton & Williams LLP
MidAmerican Energy Holdings Company
Burlington Northern Santa Fe
MidAmerican Energy Company
Hunton & Williams LLP
II. Definitions
General
General
Berkshire Hathaway
MidAmerican Energy Holdens Company
Burlington Northern Santa Fe
Hunton & Williams LLP
MidAmerican Energy Holdens Company
Burlington Northern Santa Fe
Hunton & Williams LLP
II. Definitions
European Banking Federation (EBF)
Swiss Bankers Association
Deutsche Bank
British Bankers Association
Association of German Banks
BNP Paribas
Swiss Bankers Association
Deutsche Bank
British Bankers Association
Association of German Banks
BNP Paribas
II. Definitions
V. Capital & Margin
V. Capital & Margin
Cleary Gottleib Steen and Hamilton LLP (Cleary Gottleib)
Securities and Exchange Commission (SEC)
Barclays
BNP Paribas
Citigroup
Credit Suisse
Deutsche Bank
Morgan Stanley
Nomura
Societe Generale
Wells Fargo
Securities and Exchange Commission (SEC)
Barclays
BNP Paribas
Citigroup
Credit Suisse
Deutsche Bank
Morgan Stanley
Nomura
Societe Generale
Wells Fargo
V. Capital & Margin
Cleary Gottlieb, Barclays, BNP Paribas, Citi, Credit Suisse, Deutsche Bank, Morgan Stanley, Normura, Societe General, Wells Fargo
IX. Governance & Possible Limits
Institute of International Bankers
Royal Bank of Canada
Barclays Capital
BNP Paribas
Credit Suisse
Deutsche Bank
HSBC
Rabobank
Societe Generale
The Royal Bank of Scotland
UBS
Clearly Gottlieb
Royal Bank of Canada
Barclays Capital
BNP Paribas
Credit Suisse
Deutsche Bank
HSBC
Rabobank
Societe Generale
The Royal Bank of Scotland
UBS
Clearly Gottlieb
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
V. Capital & Margin
XVII. Data Recordkeeping
XVIII. Real Time Reporting
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
V. Capital & Margin
XVII. Data Recordkeeping
XVIII. Real Time Reporting
Morgan Stanley
III. Business Conduct Standards w/ Counterparties
XIII. SEF Registration
XVIII. Real Time Reporting
XIII. SEF Registration
XVIII. Real Time Reporting
Pacific Investment Management Company (PIMCO)
Sullivan & Cromwell (S&C)
K&L Gates (K&L)
Sullivan & Cromwell (S&C)
K&L Gates (K&L)
XXVI. Position Limits
Southern California Edison Company
Edison Mission Energy
Hogan Lovells LLP
Edison Mission Energy
Hogan Lovells LLP
II. Definitions
Better Markets, Inc. (Better Markets)
U.S. Securities and Exchange Commission (SEC)
U.S. Securities and Exchange Commission (SEC)
XI. End-user Exception
Coalition for Derivatives End-Users
Agriculture Retailers Association
Chesapeake Energy
Energy Future Holdings
General Motors
Ford
Chatham
U.S. Chamber of Commerce
Business Roundtable
Proctor & Gamble
Agriculture Retailers Association
Chesapeake Energy
Energy Future Holdings
General Motors
Ford
Chatham
U.S. Chamber of Commerce
Business Roundtable
Proctor & Gamble
XVIII. Real Time Reporting
Wholesale Market Brokers Association (WMBA)
BGC Cantor
ICAP
Tradition Financial Services ("Tradition")
Tullett Prebon
GFI Group ("GFI")
Patton Boggs
BGC Cantor
ICAP
Tradition Financial Services ("Tradition")
Tullett Prebon
GFI Group ("GFI")
Patton Boggs
XVIII. Real Time Reporting
Bunge
Commodity Markets Council (CMC)
Arnold & Porter
Commodity Markets Council (CMC)
Arnold & Porter
XXI. Joint Rules w/ SEC
Morgan Stanley
III. Business Conduct Standards w/ Counterparties
XIII. SEF Registration
XVIII. Real Time Reporting
XIII. SEF Registration
XVIII. Real Time Reporting
Federated Investors, Inc.
Arnold & Porter, LLP
Arnold & Porter, LLP
XXIX. Alternatives to Credit Ratings
Getco
XIII. SEF Registration
XVI. Swap Data Repositories Registration
XXIV. Disruptive Trading Practices
XVI. Swap Data Repositories Registration
XXIV. Disruptive Trading Practices
Sullivan & Cromwell LLP (Sullivan)
Canada Pension Plan Investment Board (CPPIB)
Canada Pension Plan Investment Board (CPPIB)
III. Business Conduct Standards w/ Counterparties
Loan Syndications and Trading Association (LSTA)
Wilmer Hale
Richards Kibbe & Orbe
Nappi & Hoppe
Wilmer Hale
Richards Kibbe & Orbe
Nappi & Hoppe
XXI. Joint Rules w/ SEC
Bank for International Settlements (BIS)
Davis Polk & Wardwell LLP (Davis Polk)
Davis Polk & Wardwell LLP (Davis Polk)
XXI. Joint Rules w/ SEC
IntercontinentalExchange (ICE)
II. Definitions
VII. DCO Core Principles
VIII. Process for Review of Swaps
XIII. SEF Registration
XVII. Data Recordkeeping
VII. DCO Core Principles
VIII. Process for Review of Swaps
XIII. SEF Registration
XVII. Data Recordkeeping
Kraft Foods
Russell & Barron
Sutherland Asbill & Brennan LLP
Russell & Barron
Sutherland Asbill & Brennan LLP
II. Definitions
XI. End-user Exception
XI. End-user Exception
Participants discussed the swap dealer definition and speculative position limits.
II. Definitions
XXVI. Position Limits
XXVI. Position Limits
National Rural Utilities Cooperative Finance Corporation
Russell Barron
Hogan Lovells
Russell Barron
Hogan Lovells
II. Definitions
MBF Clearing Corp. (MBF)
Delta Strategy Group (DSG)
Delta Strategy Group (DSG)
XXVI. Position Limits
Winston & Strawn LLP, United Technologies, U.S. Steel & Carnegie Pension Fund, NISA Investment Advisors, Skadden, Arps, American Benefits Council, and the Committee on Investment of Employee Benefit Assets (CIEBA)
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
XIII. SEF Registration
XVIII. Real Time Reporting
IV. Business Conduct Standards – Internal
XIII. SEF Registration
XVIII. Real Time Reporting
S.A.C. Capital Advisors, L.P.
D.E. Shaw Group
Sullivan & Cromwell LLP
Citadel LLC
Brevan Howard
BlueMountain Capital Management
Elliott Management Corporation
King Street Capital Management, L.P.
Managed Funds Association
D.E. Shaw Group
Sullivan & Cromwell LLP
Citadel LLC
Brevan Howard
BlueMountain Capital Management
Elliott Management Corporation
King Street Capital Management, L.P.
Managed Funds Association
II. Definitions
International Swaps and Derivatives Association, Inc. (ISDA), UBS AG and J.P.Morgan
IV. Business Conduct Standards – Internal
SIFMA
HSBC
HSBC
XIII. SEF Registration
XVI. Swap Data Repositories Registration
XVIII. Real Time Reporting
XVI. Swap Data Repositories Registration
XVIII. Real Time Reporting
SIFMA
XIII. SEF Registration
XVI. Swap Data Repositories Registration
XVIII. Real Time Reporting
XVI. Swap Data Repositories Registration
XVIII. Real Time Reporting
V. Capital & Margin
IX. Governance & Possible Limits
XXVI. Position Limits
General
IX. Governance & Possible Limits
XXVI. Position Limits
General
Winston & Strawn LLP
United Technologies
U.S. Steel & Carnegie Pension Fund
NISA Investment Advisors
Skadden, Arps
American Benefits Council
Committee on Investment of Employee Benefit Assets (CIEBA)
United Technologies
U.S. Steel & Carnegie Pension Fund
NISA Investment Advisors
Skadden, Arps
American Benefits Council
Committee on Investment of Employee Benefit Assets (CIEBA)
III. Business Conduct Standards w/ Counterparties
XIII. SEF Registration
XVIII. Real Time Reporting
XIII. SEF Registration
XVIII. Real Time Reporting
NISA Investment Advisors
United Technologies
Committee on Investment of Employee Benefit Assests(CIEBA)
American Benefits Council (ABC)
U.S. Steel
Winston
Skadden
United Technologies
Committee on Investment of Employee Benefit Assests(CIEBA)
American Benefits Council (ABC)
U.S. Steel
Winston
Skadden
III. Business Conduct Standards w/ Counterparties
XIII. SEF Registration
XVIII. Real Time Reporting
XIII. SEF Registration
XVIII. Real Time Reporting
Winston & Strawn LLP
United Technologies
U.S. Steel & Carnegie Pension Fund
NISA Investment Advisors, LLC
Davis & Harman LLP
American Benefits Council (ABC)
Committee on Investment of Employee Benefit Assets (CIEBA)
Skadden, Arps
United Technologies
U.S. Steel & Carnegie Pension Fund
NISA Investment Advisors, LLC
Davis & Harman LLP
American Benefits Council (ABC)
Committee on Investment of Employee Benefit Assets (CIEBA)
Skadden, Arps
III. Business Conduct Standards w/ Counterparties
The Federal Reserve Bank of Boston
The Federal Reserve Board
The Securities Exchange Commission
The CFTC
The Federal Reserve Board
The Securities Exchange Commission
The CFTC
II. Definitions
Edison Electric Institute (“EEI”)
Dominion Resources Services, Inc. (“Dominion”)
Exelon Corporation (“Exelon”)
Bracewell & Giuliani (“Bracewell”)
NextEra Energy (“NextEra”)
Dayton Power & Light (“DPL”)
Consolidated Edision
American Electric Power (“AEP”)
Constellation Energy
Dominion Resources Services, Inc. (“Dominion”)
Exelon Corporation (“Exelon”)
Bracewell & Giuliani (“Bracewell”)
NextEra Energy (“NextEra”)
Dayton Power & Light (“DPL”)
Consolidated Edision
American Electric Power (“AEP”)
Constellation Energy
XVIII. Real Time Reporting
American Benefits Council
NISA Investment Advisors
Davis Harman
Committee on Investment of Employee Benefit Assets
Skadden
Winston & Strawn
NISA Investment Advisors
Davis Harman
Committee on Investment of Employee Benefit Assets
Skadden
Winston & Strawn
XVII. Data Recordkeeping
Committee on Investment of Employee Benefit Assets ("CIEBA")
American Benefits Council ("ABC")
NISA Investment Advisors
Lockheed Martin
Davis & Harman
General Motors
Winston Strawn
Skadden Arps
American Benefits Council ("ABC")
NISA Investment Advisors
Lockheed Martin
Davis & Harman
General Motors
Winston Strawn
Skadden Arps
XVIII. Real Time Reporting
Capital One N.A.
B&F Capital Markets Inc.
Branch Banking & Trust Company
Wilmer Cutler Pickering Hale and Dorr LLP
B&F Capital Markets Inc.
Branch Banking & Trust Company
Wilmer Cutler Pickering Hale and Dorr LLP
II. Definitions
Barclays Capital
IX. Governance & Possible Limits
XIII. SEF Registration
XXVI. Position Limits
General
XIII. SEF Registration
XXVI. Position Limits
General
Vanguard
Goldman Sachs Asset Management
Pimco
Wellington Management Co., LLP
Fidelity Investments
SIFMA AMG
Davis Polk & Wardwell LLP
Goldman Sachs Asset Management
Pimco
Wellington Management Co., LLP
Fidelity Investments
SIFMA AMG
Davis Polk & Wardwell LLP
II. Definitions
FXall, LCH Clearnet, NYSE Euronext, Rich Feuer Group
VII. DCO Core Principles
X. Systemically Important DCO Rules
XII. DCM Core Principles
XIII. SEF Registration
X. Systemically Important DCO Rules
XII. DCM Core Principles
XIII. SEF Registration
Barclays Capital, Goldman Sachs
XIII. SEF Registration
XVIII. Real Time Reporting
XVIII. Real Time Reporting
Representatives from energy firms, electric utilitiy industry, las firm of Morgan, Lewis & Bockius
II. Definitions
XI. End-user Exception
XXV. Whistleblowers
General
XI. End-user Exception
XXV. Whistleblowers
General
Wilmer Cutler Pickering Hale and Dorr LLP ("WilmerHale")
U.S. Airways
JetBlue
AirTran
Air Transport Association ("ATA")
U.S. Airways
JetBlue
AirTran
Air Transport Association ("ATA")
XVIII. Real Time Reporting
(The Dayton Poer and Light)
(Edison Electric Institute)
(Exelon Corporation)
(Constellation Energy)
(Dominion Resources)
(Edison International)
(NexEra Energy Resources)
(American Electric Power Service)
(Exelon Corporation)
(Southern California Edison)
(Dominion Resources)
(Duke Energy)
(Edison Electric Institute)
(Exelon Corporation)
(Constellation Energy)
(Dominion Resources)
(Edison International)
(NexEra Energy Resources)
(American Electric Power Service)
(Exelon Corporation)
(Southern California Edison)
(Dominion Resources)
(Duke Energy)
XVII. Data Recordkeeping
American Public Power Association
National Rural Electric Association
New York Power Authority
Large Public Power Association
ACES Power Marketing
National Rural Electric Cooperative Association
Schiff Hardin
National Rural Electric Association
New York Power Authority
Large Public Power Association
ACES Power Marketing
National Rural Electric Cooperative Association
Schiff Hardin
XVII. Data Recordkeeping
Wholesale Markets Brokers' Association Americas (WMBAA)
XIII. SEF Registration
NYSE
Tradeweb
FXall
LCH.Clearnet
Tradeweb
FXall
LCH.Clearnet
I. Registration
VII. DCO Core Principles
IX. Governance & Possible Limits
VII. DCO Core Principles
IX. Governance & Possible Limits
FXall
LCH.Clearnet
NYSE Euronext
Tradeweb
LCH.Clearnet
NYSE Euronext
Tradeweb
I. Registration
IX. Governance & Possible Limits
IX. Governance & Possible Limits
Independent Petroleum Association of America (IPAA)
II. Definitions
V. Capital & Margin
XI. End-user Exception
V. Capital & Margin
XI. End-user Exception
ABASA member banks; Cecilia Calaby, ABASA; Paul Architzel, Wilmer Hale
I. Registration
II. Definitions
II. Definitions
LCH.Clearnet
Rich Feuer Group
Rich Feuer Group
VI. Segregation and Bankruptcy
XVI. Swap Data Repositories Registration
XVI. Swap Data Repositories Registration
Better Markets
V. Capital & Margin
VII. DCO Core Principles
VIII. Process for Review of Swaps
XXIV. Disruptive Trading Practices
VII. DCO Core Principles
VIII. Process for Review of Swaps
XXIV. Disruptive Trading Practices
Natural Gas Supply Association and National Corn Growers Association
II. Definitions
V. Capital & Margin
XI. End-user Exception
V. Capital & Margin
XI. End-user Exception
ONEOK Energy Services Company (ONEOK)
Wilmer Cutler Pickering Hale and Dorr LLP (Wilmer)
Wilmer Cutler Pickering Hale and Dorr LLP (Wilmer)
II. Definitions
National Rural Electric Cooperative Association
American Public Power Association
American Public Gas Association
Large Public Power Council
ACES Power Marketing
Schiff Hardin LLP
Wilmer Cutler Pickering Hale and Dorr LLP
American Public Power Association
American Public Gas Association
Large Public Power Council
ACES Power Marketing
Schiff Hardin LLP
Wilmer Cutler Pickering Hale and Dorr LLP
XVI. Swap Data Repositories Registration
National Rural Electric Cooperative Association
American Public Power Association
American Public Gas Association
Large Public Power Council
ACES Power Marketing
Schiff Hardin LLP
Wilmer Cutler Pickering Hale and Dorr LLP
American Public Power Association
American Public Gas Association
Large Public Power Council
ACES Power Marketing
Schiff Hardin LLP
Wilmer Cutler Pickering Hale and Dorr LLP
XVII. Data Recordkeeping
National Rural Electric Cooperative Association
American Public Power Association
American Public Gas Association
Large Public Power Council
ACES Power Marketing
Schiff Hardin LLP
Wilmer Cutler Pickering Hale and Dorr LLP
American Public Power Association
American Public Gas Association
Large Public Power Council
ACES Power Marketing
Schiff Hardin LLP
Wilmer Cutler Pickering Hale and Dorr LLP
XI. End-user Exception
National Rural Electric Cooperative Association
American Public Power Association
American Public Gas Association
Large Public Power Council
ACES Power Marketing
Schiff Hardin LLP
Wilmer Cutler Pickering Hale and Dorr LLP
American Public Power Association
American Public Gas Association
Large Public Power Council
ACES Power Marketing
Schiff Hardin LLP
Wilmer Cutler Pickering Hale and Dorr LLP
II. Definitions
XXI. Joint Rules w/ SEC
XXI. Joint Rules w/ SEC
National Rural Electric Cooperative Association
American Public Power Association
American Public Gas Association
Large Public Power Council
ACES Power Marketing
Schiff Hardin LLP
Wilmer Cutler Pickering Hale and Dorr LLP
American Public Power Association
American Public Gas Association
Large Public Power Council
ACES Power Marketing
Schiff Hardin LLP
Wilmer Cutler Pickering Hale and Dorr LLP
III. Business Conduct Standards w/ Counterparties
National Rural Electric Cooperative Association
American Public Power Association
American Public Gas Association
Large Public Power Council
ACES Power Marketing
Schiff Hardin LLP
Wilmer Cutler Pickering Hale and Dorr LLP
American Public Power Association
American Public Gas Association
Large Public Power Council
ACES Power Marketing
Schiff Hardin LLP
Wilmer Cutler Pickering Hale and Dorr LLP
II. Definitions
Not-For-Profit Energy End-User Coalition ("NFPEEU")
National Rural Electric Cooperative Association
American Public Power Association
American Public Gas Association
Large Public Power Council
ACES Power Marketing
National Rural Electric Cooperative Association
Schiff Hardin LLP
Wilmer Cutler Pickering Hale and Dorr LLP ("WilmerHale")
National Rural Electric Cooperative Association
American Public Power Association
American Public Gas Association
Large Public Power Council
ACES Power Marketing
National Rural Electric Cooperative Association
Schiff Hardin LLP
Wilmer Cutler Pickering Hale and Dorr LLP ("WilmerHale")
XVIII. Real Time Reporting
National Council of Farmer Cooperatives
XI. End-user Exception
XVI. Swap Data Repositories Registration
XVI. Swap Data Repositories Registration
Barclays Bank plc
BNP Paribas S.A.
Deutsche Bank AG
Societe Generale
The Royal Bank of Scotland Group plc
UBS AG
The Royal Bank of Canada
Davis, Polk, and Wardwell, LLP
BNP Paribas S.A.
Deutsche Bank AG
Societe Generale
The Royal Bank of Scotland Group plc
UBS AG
The Royal Bank of Canada
Davis, Polk, and Wardwell, LLP
I. Registration
II. Definitions
IV. Business Conduct Standards – Internal
II. Definitions
IV. Business Conduct Standards – Internal
Markit
Winston & Strawn
Securities and Exchange Commission (SEC)
Winston & Strawn
Securities and Exchange Commission (SEC)
XVI. Swap Data Repositories Registration
XVII. Data Recordkeeping
XVIII. Real Time Reporting
XVII. Data Recordkeeping
XVIII. Real Time Reporting
Commodity Markets Oversight Coalition
II. Definitions
XI. End-user Exception
XXVI. Position Limits
XI. End-user Exception
XXVI. Position Limits
National Rural Utilities Cooperative Finance Corporation (NRUCFC)
Russell Barron
Hogan Lovells
Russell Barron
Hogan Lovells
II. Definitions
XI. End-user Exception
XI. End-user Exception
National Association of Regulatory Utility Commissioners (NARUC)
II. Definitions
Adam Lavier and Michael Donnelly (Treasury)
Samuel Wong (OFR Treasury)
Matthew Reed, Matt Carruth, Thomas Easy, Walter Hamscher, Tiago Requeijo (SEC)
Michael Will, Daniel T. Mudge, R. Douglas Kemp (DocGenix)
Samuel Wong (OFR Treasury)
Matthew Reed, Matt Carruth, Thomas Easy, Walter Hamscher, Tiago Requeijo (SEC)
Michael Will, Daniel T. Mudge, R. Douglas Kemp (DocGenix)
Study: Algorithmic Descriptions
MF Global
VI. Segregation and Bankruptcy
VII. DCO Core Principles
XII. DCM Core Principles
XIII. SEF Registration
VII. DCO Core Principles
XII. DCM Core Principles
XIII. SEF Registration
US Chamber of Commerce
Financial Executives International
General Electric
NAREIT
Procter & Gamble
IBM
General Motors
National Association of Corporate Treasurers
FMC Corporation
ConocoPhillips
Microsoft
Chatham Financial
Gibson Dunn
Financial Executives International
General Electric
NAREIT
Procter & Gamble
IBM
General Motors
National Association of Corporate Treasurers
FMC Corporation
ConocoPhillips
Microsoft
Chatham Financial
Gibson Dunn
II. Definitions
Samlyn Capital
Lone Pine Capital
Capital Research and Management
T Rowe Price
Wellington
Oppenheimer
Highfields Capital
Cornerstone Government Affairs
Capstone
Lone Pine Capital
Capital Research and Management
T Rowe Price
Wellington
Oppenheimer
Highfields Capital
Cornerstone Government Affairs
Capstone
XVI. Swap Data Repositories Registration
CME Group
VII. DCO Core Principles
XII. DCM Core Principles
XIII. SEF Registration
XXVI. Position Limits
XII. DCM Core Principles
XIII. SEF Registration
XXVI. Position Limits
National Petrochemical and Refiners Association (NPRA)
XXIII. Anti-Manipulation
American Petroleum Institute
National Petrochemical and Refiners Association
National Petrochemical and Refiners Association
XXIII. Anti-Manipulation
Farm Credit Council
Co Bank
Agri Bank
Co Bank
Agri Bank
II. Definitions
XI. End-user Exception
XI. End-user Exception
Farm Credit Council
II. Definitions
VI. Segregation and Bankruptcy
XI. End-user Exception
VI. Segregation and Bankruptcy
XI. End-user Exception
MFA
Blue Mountain Capital Management LLC
Brevan Howard Inc.
Tudor Investment Corporation
Delta Strategy Group
King Street Capital Management
Blue Mountain Capital Management LLC
Brevan Howard Inc.
Tudor Investment Corporation
Delta Strategy Group
King Street Capital Management
XVIII. Real Time Reporting
MFA
Delta Strategy Group
King Street Capital Management
BlueMountain Capital Management, LLC
Citadel LLC
Brevan Howard, Inc.
Tudor Investment Corporation
Delta Strategy Group
King Street Capital Management
BlueMountain Capital Management, LLC
Citadel LLC
Brevan Howard, Inc.
Tudor Investment Corporation
II. Definitions
VI. Segregation and Bankruptcy
IX. Governance & Possible Limits
XII. DCM Core Principles
XIII. SEF Registration
XVI. Swap Data Repositories Registration
XXIII. Anti-Manipulation
XXIV. Disruptive Trading Practices
VI. Segregation and Bankruptcy
IX. Governance & Possible Limits
XII. DCM Core Principles
XIII. SEF Registration
XVI. Swap Data Repositories Registration
XXIII. Anti-Manipulation
XXIV. Disruptive Trading Practices
Managed Funds Association
I. Registration
II. Definitions
IV. Business Conduct Standards – Internal
V. Capital & Margin
II. Definitions
IV. Business Conduct Standards – Internal
V. Capital & Margin
National Association of Insurance Commissioners (NAIC)
XXI. Joint Rules w/ SEC
BGC Partners (BGC)
GFI Group Inc. (GFI)
ICAP plc (ICAP)
Tradition (North America) Inc. (Tradition)
Tullet Prebon Ltd (Tullett)
Patton Boggs LLP (Patton Boggs)
GFI Group Inc. (GFI)
ICAP plc (ICAP)
Tradition (North America) Inc. (Tradition)
Tullet Prebon Ltd (Tullett)
Patton Boggs LLP (Patton Boggs)
XIII. SEF Registration
NextEra Energy Resources, LLC
II. Definitions
V. Capital & Margin
XI. End-user Exception
XVII. Data Recordkeeping
XVIII. Real Time Reporting
V. Capital & Margin
XI. End-user Exception
XVII. Data Recordkeeping
XVIII. Real Time Reporting
Ernst & Young LLP
FTI Consulting, Inc.
SolutionPoint International, Inc.
University of Maryland School of Law
All Stars Project, Inc.
NextEra Energy Resources, LLC
Elliot Management Corporation
FTI Consulting, Inc.
SolutionPoint International, Inc.
University of Maryland School of Law
All Stars Project, Inc.
NextEra Energy Resources, LLC
Elliot Management Corporation
V. Capital & Margin
VII. DCO Core Principles
XVI. Swap Data Repositories Registration
XVII. Data Recordkeeping
XVIII. Real Time Reporting
VII. DCO Core Principles
XVI. Swap Data Repositories Registration
XVII. Data Recordkeeping
XVIII. Real Time Reporting
Wholesale Markets Brokers Association, Americas
XIII. SEF Registration
XVII. Data Recordkeeping
XVII. Data Recordkeeping
Patton Boggs, Wholesale Markets Brokers' Association
XIII. SEF Registration
Deere Credit
Caterpillar Financial Services
Volkswagen
Deere & Company
Caterpillar
Ford Motor Company
Arnold & Porter on behalf of Toyota Finance
Caterpillar Financial Services
Volkswagen
Deere & Company
Caterpillar
Ford Motor Company
Arnold & Porter on behalf of Toyota Finance
XI. End-user Exception
Deere Credit, Caterpillar Financial Services, Volkswagen, US Chamber of Commerce, Chatham Financial, Deere & Company, Caterpillar, Ford Motor Company, and Arnold & Porter on behalf of Toyota Finance.
XI. End-user Exception
Better Markets, Inc. (BMI)
V. Capital & Margin
IX. Governance & Possible Limits
XII. DCM Core Principles
XIII. SEF Registration
XXVI. Position Limits
IX. Governance & Possible Limits
XII. DCM Core Principles
XIII. SEF Registration
XXVI. Position Limits
The Investment Company Institute (ICI)
Prudential Investments
PIMCO
Fidelity Investments
Prudential Investments
PIMCO
Fidelity Investments
XXVII. Investment Adviser Reporting
NAREIT
Chatham Financial
GE Capital
National Association of Manufacturers
Financial Executives International
Ford
Forest City
Boeing
General Motors
Gibson Dunn
Chatham Financial
GE Capital
National Association of Manufacturers
Financial Executives International
Ford
Forest City
Boeing
General Motors
Gibson Dunn
XVIII. Real Time Reporting
National Ass'n of REITs (NAREIT); Chatham Financial; National Ass'n of Manufacturers (NAM); Gibson Dunn law firm; and GE Capital (GE).
V. Capital & Margin
XI. End-user Exception
XI. End-user Exception
Bank of America Merrill Lynch (BoA/ML)
Goldman Sachs (GS)
JP Morgan Chase (JP)
Goldman Sachs (GS)
JP Morgan Chase (JP)
V. Capital & Margin
Woodrow Wilson School of Public and International Affairs
IX. Governance & Possible Limits
General
General
AEGON
American Benefits Council
Davis & Harman
Prudential
Securities Exchange Commission
American Benefits Council
Davis & Harman
Prudential
Securities Exchange Commission
II. Definitions
International Swaps and Derivatives Association
VI. Segregation and Bankruptcy
Depository Trust & Clearing Corporation (DTCC)
Patton Boggs (PB)
APCO Worldwide (APCO)
Patton Boggs (PB)
APCO Worldwide (APCO)
XVI. Swap Data Repositories Registration
General Motors (GM)
Davis & Harman (DM)
NISA Investment Advisors (NISA)
Association for Financial Professionals (AFP)
Skadden (S)
American Benefits Council (ABC)
Winston & Strawn (WS)
Davis & Harman (DM)
NISA Investment Advisors (NISA)
Association for Financial Professionals (AFP)
Skadden (S)
American Benefits Council (ABC)
Winston & Strawn (WS)
II. Definitions
III. Business Conduct Standards w/ Counterparties
VI. Segregation and Bankruptcy
XVI. Swap Data Repositories Registration
III. Business Conduct Standards w/ Counterparties
VI. Segregation and Bankruptcy
XVI. Swap Data Repositories Registration
State Street
Davis Polk & Wardwell LLP (DPW)
Davis Polk & Wardwell LLP (DPW)
V. Capital & Margin
VI. Segregation and Bankruptcy
VI. Segregation and Bankruptcy
Aces Power Marketing Co-ops of America (Aces Power)
American Public Gas Association (APGA)
American Public Power Association (APPA)
National Rural Electric Cooperatives Association (NRECA)
New York Power Authority (NYPA)
Schiff Hardin, LLP (Schiff Hardin)
American Public Gas Association (APGA)
American Public Power Association (APPA)
National Rural Electric Cooperatives Association (NRECA)
New York Power Authority (NYPA)
Schiff Hardin, LLP (Schiff Hardin)
V. Capital & Margin
General Motors (GM)
NISA Investment Advisors (NISA)
Association for Financial Professionals (AFP)
American Benefits Council (ABC)
Skadden (S)
Winston & Strawn (WS)
NISA Investment Advisors (NISA)
Association for Financial Professionals (AFP)
American Benefits Council (ABC)
Skadden (S)
Winston & Strawn (WS)
II. Definitions
III. Business Conduct Standards w/ Counterparties
XI. End-user Exception
III. Business Conduct Standards w/ Counterparties
XI. End-user Exception
Highbridge Capital (HC)
Citadel (C)
The Hartford (H)
Eaton Vance (EV)
UBS
Citadel (C)
The Hartford (H)
Eaton Vance (EV)
UBS
XIII. SEF Registration
XVIII. Real Time Reporting
XVIII. Real Time Reporting
DC Bar Association Members
II. Definitions
VII. DCO Core Principles
VIII. Process for Review of Swaps
XIV. FBOT Registration
XVII. Data Recordkeeping
XVIII. Real Time Reporting
VII. DCO Core Principles
VIII. Process for Review of Swaps
XIV. FBOT Registration
XVII. Data Recordkeeping
XVIII. Real Time Reporting
Chesapeake Energy Corporation
Delta Strategy Group
Delta Strategy Group
II. Definitions
V. Capital & Margin
V. Capital & Margin
Delta Stretgy
Chesapeake Energy
Chesapeake Energy
XI. End-user Exception
XXVI. Position Limits
XXVI. Position Limits
Chesapeake Energy (CE)
Delta Strategy Group (DSG)
Delta Strategy Group (DSG)
XVIII. Real Time Reporting
XXVI. Position Limits
XXVI. Position Limits
UK Financial Services Authority, Shearman & Sterling, other financial institutions.
General
Societe Generale
I. Registration
II. Definitions
IV. Business Conduct Standards - Internal
II. Definitions
IV. Business Conduct Standards - Internal
Goldman Sachs & Co.
VI. Segregation and Bankruptcy
VII. DCO Core Principles
IX. Governance & Possible Limits
VII. DCO Core Principles
IX. Governance & Possible Limits
ISDA
JPM Chase
Morgan Stanley
Goldman Sachs
D.E. Shaw & Co.
Deutsche Bank
JPM Chase
Morgan Stanley
Goldman Sachs
D.E. Shaw & Co.
Deutsche Bank
General
CIEBA
American Benefits Council
American Benefits Council
II. Definitions
III. Business Conduct Standards w/ Counterparties
XVI. Swap Data Repositories Registration
XVII. Data Recordkeeping
III. Business Conduct Standards w/ Counterparties
XVI. Swap Data Repositories Registration
XVII. Data Recordkeeping
Evolution Markets
Hunton & Williams
JP Morgan Chase & Co.
Morgan Stanley
VanNess Feldman
The Melby Group
Hunton & Williams
JP Morgan Chase & Co.
Morgan Stanley
VanNess Feldman
The Melby Group
General
Apache Corporation (Apache)
Bracewell and Giuliani (Bracewell)
Competitive Power Ventures, Inc (Competitive Power)
El Paso Corporation (El Paso)
Iberdrola Renewables, Inc. (Iberdorola)
Markwest Energy Partners, L.P. (Markwest)
Noble Energy, Inc. (Noble)
Shell Energy North America (Shell)
Bracewell and Giuliani (Bracewell)
Competitive Power Ventures, Inc (Competitive Power)
El Paso Corporation (El Paso)
Iberdrola Renewables, Inc. (Iberdorola)
Markwest Energy Partners, L.P. (Markwest)
Noble Energy, Inc. (Noble)
Shell Energy North America (Shell)
V. Capital & Margin
XI. End-user Exception
XI. End-user Exception
MetLife
Clifford Chance
Clifford Chance
II. Definitions
VII. DCO Core Principles
XIII. SEF Registration
XVIII. Real Time Reporting
VII. DCO Core Principles
XIII. SEF Registration
XVIII. Real Time Reporting
Fidelity
PIMCO
Vanguard
Investment Company Institute (ICI)
PIMCO
Vanguard
Investment Company Institute (ICI)
II. Definitions
SIFMA
Association for Financial Markets in Europe
Association for Financial Markets in Europe
VII. DCO Core Principles
VIII. Process for Review of Swaps
XXVI. Position Limits
VIII. Process for Review of Swaps
XXVI. Position Limits
D.E. Shaw & Co., L.P. (D.E. Shaw)
Deutsche Bank
International Swaps and Derivatives Association (ISDA)
Kalorama Partners LLC (Kalorama)
Deutsche Bank
International Swaps and Derivatives Association (ISDA)
Kalorama Partners LLC (Kalorama)
I. Registration
IX. Governance & Possible Limits
XIII. SEF Registration
XVI. Swap Data Repositories Registration
IX. Governance & Possible Limits
XIII. SEF Registration
XVI. Swap Data Repositories Registration
Cargill Risk Management
V. Capital & Margin
XI. End-user Exception
XIX. Agricultural Swaps
XXVI. Position Limits
XI. End-user Exception
XIX. Agricultural Swaps
XXVI. Position Limits
Electric Power Supply Association (EPSA)
PSEG Energy Resources & Trade (PSEG)
NRG Energy (NRG)
Constellation Energy
Calpine
Mirant Corporation (Mirant)
Sutherland
PSEG Energy Resources & Trade (PSEG)
NRG Energy (NRG)
Constellation Energy
Calpine
Mirant Corporation (Mirant)
Sutherland
II. Definitions
V. Capital & Margin
V. Capital & Margin
EPSA
PSEG Energy Resources
Calpine
Sutherland
Constellation Energy
NRG
PSEG Energy Resources
Calpine
Sutherland
Constellation Energy
NRG
II. Definitions
V. Capital & Margin
V. Capital & Margin
Cargill Risk Management
V. Capital & Margin
XI. End-user Exception
XIX. Agricultural Swaps
XXVI. Position Limits
XI. End-user Exception
XIX. Agricultural Swaps
XXVI. Position Limits
LCH Clearnet
Rich Feuer Group
Rich Feuer Group
IX. Governance & Possible Limits
XIII. SEF Registration
XIII. SEF Registration
Vitol, Hunton & Williams, Constellation, ConocoPhillips
II. Definitions
XI. End-user Exception
XXVI. Position Limits
XI. End-user Exception
XXVI. Position Limits
LCH Clearnet, Rich Feuer Group
VII. DCO Core Principles
IX. Governance & Possible Limits
IX. Governance & Possible Limits
Cargill Risk Management
V. Capital & Margin
XI. End-user Exception
XXVI. Position Limits
XI. End-user Exception
XXVI. Position Limits
OTC
Vitol
Constellation Energy
Conoco Phillips
Vitol
Constellation Energy
Conoco Phillips
II. Definitions
XIII. SEF Registration
XIII. SEF Registration
Electric Power Supply Association (EPSA)
I. Registration
II. Definitions
V. Capital & Margin
II. Definitions
V. Capital & Margin
Energy Working Group, Vitol, Hunton & Williams, Constellation, ConocoPhillips
XIII. SEF Registration
XXVI. Position Limits
XXVI. Position Limits
Cargill Risk Management
V. Capital & Margin
XI. End-user Exception
XXVI. Position Limits
XI. End-user Exception
XXVI. Position Limits
EPSA, PSEG Energy Resources & Trade, NGR, Constellation Energy, Calpine, Mirant Corporation
II. Definitions
Tudor Investment Corporation
II. Definitions
VI. Segregation and Bankruptcy
VII. DCO Core Principles
VI. Segregation and Bankruptcy
VII. DCO Core Principles
Natural Gas Exchange (NGX)
Alston & Bird, LLP (Alston & Bird)
Alston & Bird, LLP (Alston & Bird)
II. Definitions
XXI. Joint Rules w/ SEC
XXI. Joint Rules w/ SEC
Tudor Investment
Sullivan & Cromwell LLP
Sullivan & Cromwell LLP
V. Capital & Margin
VI. Segregation and Bankruptcy
XXVI. Position Limits
VI. Segregation and Bankruptcy
XXVI. Position Limits
Prudential Global Funding (Prudential Global)
Genworth Financial (Genworth)
Prudential Financial (Prudential)
Genworth Financial (Genworth)
John Hancock Financial Services Inc. (John Hancock)
MetLife (MetLife)
American Council of Life Insurers (ACLI)
Lincoln Financial Group (Lincoln)
The Northwestern Mutual Life Insurance Co. (Northwestern Mutual)
Genworth Financial (Genworth)
Prudential Financial (Prudential)
Genworth Financial (Genworth)
John Hancock Financial Services Inc. (John Hancock)
MetLife (MetLife)
American Council of Life Insurers (ACLI)
Lincoln Financial Group (Lincoln)
The Northwestern Mutual Life Insurance Co. (Northwestern Mutual)
II. Definitions
XXI. Joint Rules w/ SEC
XXI. Joint Rules w/ SEC
The Committee of Annuity Insurers
III. Business Conduct Standards w/ Counterparties
Albourne Partners Ltd., Securities and Exchange Commission, Department of Treasury, Federal Reserve Board
XXVII. Investment Adviser Reporting
SIFMA, Morgan Stanley, Credit Suisse and Citi
XVI. Swap Data Repositories Registration
XVII. Data Recordkeeping
XVIII. Real Time Reporting
XVII. Data Recordkeeping
XVIII. Real Time Reporting
BGC Partners (BGC)
ICAP plc (ICAP)
GFI Group Inc. (GFI)
Tradition (North America) Inc. (Tradition)
Tullet Prebon Ltd (Tullett Prebon)
Patton Boggs (Patton Boggs LLP)
ICAP plc (ICAP)
GFI Group Inc. (GFI)
Tradition (North America) Inc. (Tradition)
Tullet Prebon Ltd (Tullett Prebon)
Patton Boggs (Patton Boggs LLP)
XIII. SEF Registration
Nidera
National Grain and Feed Assn
Advance Trading
Advanced Market Concepts
University of Illinois
Kansas Farm Bureau
Kansas State University
Shay Grain
Kansas City Board of Trade Wheat Cash Committee
Haviland Coop
Kansas Grain and Feed Association
Illinois Farm Bureau
National Grain and Feed Assn
Advance Trading
Advanced Market Concepts
University of Illinois
Kansas Farm Bureau
Kansas State University
Shay Grain
Kansas City Board of Trade Wheat Cash Committee
Haviland Coop
Kansas Grain and Feed Association
Illinois Farm Bureau
II. Definitions
XIX. Agricultural Swaps
XXVI. Position Limits
XIX. Agricultural Swaps
XXVI. Position Limits
BAMl
Creidit Suisse
Goldman Sachs
Newedge
Katten Muchin
Futures Industry(FIA)
Creidit Suisse
Goldman Sachs
Newedge
Katten Muchin
Futures Industry(FIA)
VI. Segregation and Bankruptcy
Independent Community Bankers of America (ICBA).
XI. End-user Exception
DTCC Derivatives Repository Ltd, DTCC Warehouse Trust Company, Regis-TR, TriOptima, Xtrakter Limited
XVI. Swap Data Repositories Registration
XVII. Data Recordkeeping
XVII. Data Recordkeeping
Winston & Strawn
CME Group
Chesapeake Energy
Citadel
Caterpillar, Inc.
Delta Strategies
U.S. Chamber of Commerce
The Boeing Company
TruMarx Data Partners Inc.
GTCR Golder Rauner
The PrivateBank & Trust Co.
McGuire Woods
Chatham
Deere & Company
IMC Financial Markets
Inland
CME Group
Chesapeake Energy
Citadel
Caterpillar, Inc.
Delta Strategies
U.S. Chamber of Commerce
The Boeing Company
TruMarx Data Partners Inc.
GTCR Golder Rauner
The PrivateBank & Trust Co.
McGuire Woods
Chatham
Deere & Company
IMC Financial Markets
Inland
II. Definitions
V. Capital & Margin
XI. End-user Exception
XVIII. Real Time Reporting
XXVI. Position Limits
V. Capital & Margin
XI. End-user Exception
XVIII. Real Time Reporting
XXVI. Position Limits
Hess Energy
McDermott Will & Emory
Delta Strategies
McDermott Will & Emory
Delta Strategies
XXI. Joint Rules w/ SEC
European Commission, Futures Industry Association
VII. DCO Core Principles
XIII. SEF Registration
XXVI. Position Limits
XIII. SEF Registration
XXVI. Position Limits
Wholesale Market Brokers Association
BGC Partners
GFI Group
ICAP plc
Tullett Prebon Ltd.
Patton Boggs LLP
BGC Partners
GFI Group
ICAP plc
Tullett Prebon Ltd.
Patton Boggs LLP
XVIII. Real Time Reporting
CME, Eurex, ICE Clear Europe, ICE Trust US, International Derivatives Clearing Group, Japan Securities Clearing Corporation, LCH.Clearnet Ltd/SwapClear, LCH.Clearnet SA, SGX Asiaclear
IV. Business Conduct Standards - Internal
VI. Segregation and Bankruptcy
VII. DCO Core Principles
VI. Segregation and Bankruptcy
VII. DCO Core Principles
CME Group
VII. DCO Core Principles
X. Systemically Important DCO Rules
XXIII. Anti-Manipulation
XXIV. Disruptive Trading Practices
XXVI. Position Limits
X. Systemically Important DCO Rules
XXIII. Anti-Manipulation
XXIV. Disruptive Trading Practices
XXVI. Position Limits
Chopper Trading LLC
Chicago Trading Co.
Allston
Gelber Group
RGM
Getco
Infinium
DRW
Chicago Trading Co.
Allston
Gelber Group
RGM
Getco
Infinium
DRW
VII. DCO Core Principles
XIII. SEF Registration
XXIV. Disruptive Trading Practices
XIII. SEF Registration
XXIV. Disruptive Trading Practices
MBF Clearing Corp.
XXIII. Anti-Manipulation
XXIV. Disruptive Trading Practices
XXIV. Disruptive Trading Practices
MFS
Wellington
Goldman Sachs
Fidelity Investments
Vanguard Group
BlackRock
AllianceBernstein
Securities Industry and Financial Markets Association (SIFMA)
Davis Polk & Wardwell LLP
Wellington
Goldman Sachs
Fidelity Investments
Vanguard Group
BlackRock
AllianceBernstein
Securities Industry and Financial Markets Association (SIFMA)
Davis Polk & Wardwell LLP
II. Definitions
XXVI. Position Limits
XXVI. Position Limits
Old Dominion Power (ODP); American Public Gas Association (APGA); American Public Power Association (APPA); National Rural Electric Cooperative Association (NRECA); Schiff Hardin law firm; New York Power Authority (NYPA); Aces Power Marketing (APM); and Alston & Bird law firm (Alston & Bird).
II. Definitions
XI. End-user Exception
XI. End-user Exception
IntercontinentalExchange (ICE)
XIII. SEF Registration
XVIII. Real Time Reporting
XVIII. Real Time Reporting
Air Transport Association (ATA)
XI. End-user Exception
XXVI. Position Limits
XXVI. Position Limits
ISDA
Morgan Stanley
BP
Morgan Stanley
BP
XVI. Swap Data Repositories Registration
XVII. Data Recordkeeping
XVII. Data Recordkeeping
The Options Clearing Corporation (OCC)
VII. DCO Core Principles
X. Systemically Important DCO Rules
X. Systemically Important DCO Rules
Options Clearing Corporation (OCC)
VII. DCO Core Principles
IX. Governance & Possible Limits
IX. Governance & Possible Limits
Morgan Stanley
BP
ISDA
BP
ISDA
XVI. Swap Data Repositories Registration
XVII. Data Recordkeeping
XVII. Data Recordkeeping
CME Group (CME)
Delta Strategy Group (DSG)
Skadden, Arps, Slate, Meagher & Flom LLP (S)
Delta Strategy Group (DSG)
Skadden, Arps, Slate, Meagher & Flom LLP (S)
XII. DCM Core Principles
CME Group
XVI. Swap Data Repositories Registration
XVII. Data Recordkeeping
XVIII. Real Time Reporting
XVII. Data Recordkeeping
XVIII. Real Time Reporting
Hess Energy
Hess Energy Trading Company LLC (HETCO)
Delta Strategy Group
Hess Energy Trading Company LLC (HETCO)
Delta Strategy Group
II. Definitions
Delta Strategy Group
Hess Energy
Hess Energy
XI. End-user Exception
XXVI. Position Limits
XXVI. Position Limits
Edison Electric Institute (EEI)
American Electric Power (AEP)
Exelon
Florida Power and Light Company (FPL)
NextEra Energy (NextEra)
American Electric Power (AEP)
Exelon
Florida Power and Light Company (FPL)
NextEra Energy (NextEra)
V. Capital & Margin
XI. End-user Exception
XI. End-user Exception
Hess Energy (H)
Delta Strategy Group (DSG)
Delta Strategy Group (DSG)
XI. End-user Exception
XXVI. Position Limits
XXVI. Position Limits
Coalition of Derivatives End Users
XVI. Swap Data Repositories Registration
The World Bank
II. Definitions
IV. Business Conduct Standards - Internal
IV. Business Conduct Standards - Internal
Allston Trading
RGM Advisors
Hudson River Trading
Quantlab Financial
Summit Global Strategies
Patton Boggs
APCO Worldwide
RGM Advisors
Hudson River Trading
Quantlab Financial
Summit Global Strategies
Patton Boggs
APCO Worldwide
XXIII. Anti-Manipulation
XXIV. Disruptive Trading Practices
XXIV. Disruptive Trading Practices
NextEra Energy Resources (NextEra)
Delta Strategy Group (DSG)
Delta Strategy Group (DSG)
XXVI. Position Limits
Barclays
Credit Suisse
JP Morgan
Louis Dreyfus Commodities
Credit Suisse
JP Morgan
Louis Dreyfus Commodities
XXVI. Position Limits
NextEra Energy
Delta Strategy Group
Parsons Strategies
Delta Strategy Group
Parsons Strategies
XI. End-user Exception
XXII. Portfolio Margining Procedures
XXVI. Position Limits
XXII. Portfolio Margining Procedures
XXVI. Position Limits
American Benefits Council
Committee on Investment of Employee Benefit Assets (CIEBA)
General Motors
Boeing
United Technologies Corporation (UTC)
NISA Investment Advisors
Committee on Investment of Employee Benefit Assets (CIEBA)
General Motors
Boeing
United Technologies Corporation (UTC)
NISA Investment Advisors
III. Business Conduct Standards w/ Counterparties
Commodity Markets Council (CMC)
Macquarie Bank
Louis Dreyfus Commodities
Macquarie Bank
Louis Dreyfus Commodities
XIX. Agricultural Swaps
NextEra Energy Resources
Delta Strategy Group
Delta Strategy Group
II. Definitions
XI. End-user Exception
XI. End-user Exception
Metchant Data Repository
Nothern Trust
The Bank of New York Mellon
The American Boat Company
American Milling
Nothern Trust
The Bank of New York Mellon
The American Boat Company
American Milling
XVII. Data Recordkeeping
Institute of International Bankers
VII. DCO Core Principles
IX. Governance & Possible Limits
X. Systemically Important DCO Rules
IX. Governance & Possible Limits
X. Systemically Important DCO Rules
Institute of International Bankers
VII. DCO Core Principles
IX. Governance & Possible Limits
X. Systemically Important DCO Rules
IX. Governance & Possible Limits
X. Systemically Important DCO Rules
Citi
UBS Investment Bank
MetLife, Inc.
State Street
JPMorgan Chase & Co.
Credit Suisse
Prudential Financial
Goldman Sachs
Deutsche Bank Americas
BNY Mellon
Financial Services Forum
UBS Investment Bank
MetLife, Inc.
State Street
JPMorgan Chase & Co.
Credit Suisse
Prudential Financial
Goldman Sachs
Deutsche Bank Americas
BNY Mellon
Financial Services Forum
VI. Segregation and Bankruptcy
VII. DCO Core Principles
IX. Governance & Possible Limits
X. Systemically Important DCO Rules
VII. DCO Core Principles
IX. Governance & Possible Limits
X. Systemically Important DCO Rules
Americna Benefits Council
Boeing
NISA Invetment Advisors
GM Pension Plan
Boeing
NISA Invetment Advisors
GM Pension Plan
XVII. Data Recordkeeping
CIEBA
American Benefits Counsel
GM Asset Management
Boeing
NISA Investment Advisors
Winston & Strawn LLP
Skadden, Arps, Slate, Meagher & Flom LLP
American Benefits Counsel
GM Asset Management
Boeing
NISA Investment Advisors
Winston & Strawn LLP
Skadden, Arps, Slate, Meagher & Flom LLP
XVIII. Real Time Reporting
Davis & Harman
American Benefits Council
GM Pension
Boeing
Nisa Investment Advisors
Skadden Arps
Winston & Strawn
Winston & Strawn
American Benefits Council
GM Pension
Boeing
Nisa Investment Advisors
Skadden Arps
Winston & Strawn
Winston & Strawn
VI. Segregation and Bankruptcy
BlackRock (BR)
XIII. SEF Registration
XVI. Swap Data Repositories Registration
XVII. Data Recordkeeping
XVIII. Real Time Reporting
XVI. Swap Data Repositories Registration
XVII. Data Recordkeeping
XVIII. Real Time Reporting
Barclays Capital Inc. (BC)
Winston & Strawn LLP (WS)
Winston & Strawn LLP (WS)
XIII. SEF Registration
XVI. Swap Data Repositories Registration
XVIII. Real Time Reporting
XVI. Swap Data Repositories Registration
XVIII. Real Time Reporting
Goldman Sachs
XII. DCM Core Principles
XIII. SEF Registration
XVIII. Real Time Reporting
XXVI. Position Limits
XIII. SEF Registration
XVIII. Real Time Reporting
XXVI. Position Limits
American Benefits Council
Specialists In Employee Benefit Administration, Ltd. (SIEBA)
Specialists In Employee Benefit Administration, Ltd. (SIEBA)
III. Business Conduct Standards w/ Counterparties
UBS
II. Definitions
XIII. SEF Registration
XVI. Swap Data Repositories Registration
XIII. SEF Registration
XVI. Swap Data Repositories Registration
Firms participating in the conference.
II. Definitions
XVII. Data Recordkeeping
XIX. Agricultural Swaps
XXI. Joint Rules w/ SEC
XXVI. Position Limits
XVII. Data Recordkeeping
XIX. Agricultural Swaps
XXI. Joint Rules w/ SEC
XXVI. Position Limits
JP Morgan Chase & Co. (JPM)
LTD Group (LTD)
LTD Group (LTD)
XIII. SEF Registration
General
General
Edison Mission Energy
PSEG
Sempra Energy
NRG
NRG
BP
Constellation Energy
Shell Energy North America
Exelon Generation Co.
Bracewell Giuliani
Electric Power Supply Association (EPSA)
Sutherland
PSEG
Sempra Energy
NRG
NRG
BP
Constellation Energy
Shell Energy North America
Exelon Generation Co.
Bracewell Giuliani
Electric Power Supply Association (EPSA)
Sutherland
V. Capital & Margin
Bloomberg (B)
Williams & Jensen, PLLC (WJ)
Williams & Jensen, PLLC (WJ)
XIII. SEF Registration
XVI. Swap Data Repositories Registration
XVI. Swap Data Repositories Registration
Fidelity
ING
JPMorgan
Fidelity Investments
McDermott
SEC
Stable Value Investment Association
ING
JPMorgan
Fidelity Investments
McDermott
SEC
Stable Value Investment Association
II. Definitions
Algebris Investments
VII. DCO Core Principles
X. Systemically Important DCO Rules
X. Systemically Important DCO Rules
The Depository Trust & Clearing Corporation
IX. Governance & Possible Limits
Members of MFA.
I. Registration
II. Definitions
XI. End-user Exception
XIII. SEF Registration
XXI. Joint Rules w/ SEC
XXVI. Position Limits
General
II. Definitions
XI. End-user Exception
XIII. SEF Registration
XXI. Joint Rules w/ SEC
XXVI. Position Limits
General
Morgan Stanley
VII. DCO Core Principles
VIII. Process for Review of Swaps
IX. Governance & Possible Limits
X. Systemically Important DCO Rules
VIII. Process for Review of Swaps
IX. Governance & Possible Limits
X. Systemically Important DCO Rules
Sullivan & Cromwell LLP
BT Pension Scheme Management Ltd London
BT Pension Scheme Management Ltd London
XXVI. Position Limits
Alternative Invstment Management Association (AIMA)
II. Definitions
XXI. Joint Rules w/ SEC
XXI. Joint Rules w/ SEC
BlackRock
VI. Segregation and Bankruptcy
XVI. Swap Data Repositories Registration
XVI. Swap Data Repositories Registration
Eris
DRW Trading Group
DRW Trading Group
II. Definitions
XII. DCM Core Principles
XIII. SEF Registration
XII. DCM Core Principles
XIII. SEF Registration
Allstate Insurance Company
American International Group, Inc.
Bank of America
BNY Mellon
Citi
Deutsche Bank AG
Edward Jones
Fidelity Investments
Financial Services Forum
GE Capital
The Goldman Sachs Group, Inc.
JPMorgan Chase & Co.
MetLife, Inc.
Prudential Financial
State Street Corporation
UBS AG
US Bancorp
Wells Fargo & Company
American International Group, Inc.
Bank of America
BNY Mellon
Citi
Deutsche Bank AG
Edward Jones
Fidelity Investments
Financial Services Forum
GE Capital
The Goldman Sachs Group, Inc.
JPMorgan Chase & Co.
MetLife, Inc.
Prudential Financial
State Street Corporation
UBS AG
US Bancorp
Wells Fargo & Company
IX. Governance & Possible Limits
XI. End-user Exception
XXI. Joint Rules w/ SEC
XI. End-user Exception
XXI. Joint Rules w/ SEC
Shell Energy North America
V. Capital & Margin
XVIII. Real Time Reporting
XXVI. Position Limits
XVIII. Real Time Reporting
XXVI. Position Limits
J.P. Morgan Chase & Co.
I. Registration
II. Definitions
V. Capital & Margin
VI. Segregation and Bankruptcy
VII. DCO Core Principles
VIII. Process for Review of Swaps
IX. Governance & Possible Limits
X. Systemically Important DCO Rules
XI. End-user Exception
II. Definitions
V. Capital & Margin
VI. Segregation and Bankruptcy
VII. DCO Core Principles
VIII. Process for Review of Swaps
IX. Governance & Possible Limits
X. Systemically Important DCO Rules
XI. End-user Exception
NYSE Euronext
IntercontinentalExchange
DRW Trading Group
IntercontinentalExchange
DRW Trading Group
II. Definitions
XIII. SEF Registration
XIV. FBOT Registration
XIII. SEF Registration
XIV. FBOT Registration
National Association of Insurance Commissioners
Securities Exchange Commission
Securities Exchange Commission
XXI. Joint Rules w/ SEC
Financial Industry Regulatory Authority (FINRA)
XIII. SEF Registration
XVIII. Real Time Reporting
XXIV. Disruptive Trading Practices
XVIII. Real Time Reporting
XXIV. Disruptive Trading Practices
State Street Global Markets
VI. Segregation and Bankruptcy
VII. DCO Core Principles
X. Systemically Important DCO Rules
XIII. SEF Registration
VII. DCO Core Principles
X. Systemically Important DCO Rules
XIII. SEF Registration
State Street (SS)
VI. Segregation and Bankruptcy
VII. DCO Core Principles
X. Systemically Important DCO Rules
XIII. SEF Registration
VII. DCO Core Principles
X. Systemically Important DCO Rules
XIII. SEF Registration
Markit
MarkitSERV
Depository Trust & Clearing Corporation (DTCC)
Winston & Strawn
MarkitSERV
Depository Trust & Clearing Corporation (DTCC)
Winston & Strawn
II. Definitions
XIII. SEF Registration
XVI. Swap Data Repositories Registration
XVIII. Real Time Reporting
XIII. SEF Registration
XVI. Swap Data Repositories Registration
XVIII. Real Time Reporting
Wholesale Markets Brokers' Association, Americas
XIII. SEF Registration
Department of Labor, Employee Benefits Security Administration
Securities Exchange Commission
Securities Exchange Commission
XXI. Joint Rules w/ SEC
the National Rural Electric Cooperative Association, the American Public Power Association, The Edison Electric Institute, The American Public Gas Association and the Electric Power Supply Association.
XI. End-user Exception
Depository Trust & Clearing Corporation (DTCC)
APCO Worldwide (APCO)
Patton Boggs
APCO Worldwide (APCO)
Patton Boggs
IX. Governance & Possible Limits
XVI. Swap Data Repositories Registration
XVI. Swap Data Repositories Registration
American Public Gas Association (APGA)
Electric Power Supply Association (EPSA)
Edison Electric Institute (EEI)
National Rural Electric Cooperative Association (NRECA)
Electric Power Supply Association (EPSA)
Edison Electric Institute (EEI)
National Rural Electric Cooperative Association (NRECA)
XXVI. Position Limits
Natural Gas Supply Association
I. Registration
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards - Internal
V. Capital & Margin
VI. Segregation and Bankruptcy
VIII. Process for Review of Swaps
XI. End-user Exception
XXVI. Position Limits
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards - Internal
V. Capital & Margin
VI. Segregation and Bankruptcy
VIII. Process for Review of Swaps
XI. End-user Exception
XXVI. Position Limits
The Bank of NY Mellon
Federation of European Securities Exchanges (FESE)
NYSE Euronext
BNP Paribas Securities Services
CACEIS
Deutsche Bank
DTCC
JP Morgan
Goldman Sachs
Chi-X Europe Limited
Euroclear
Grupo Santander
Citi
OMX Stockholm
Federation of European Securities Exchanges (FESE)
NYSE Euronext
BNP Paribas Securities Services
CACEIS
Deutsche Bank
DTCC
JP Morgan
Goldman Sachs
Chi-X Europe Limited
Euroclear
Grupo Santander
Citi
OMX Stockholm
VII. DCO Core Principles
VIII. Process for Review of Swaps
VIII. Process for Review of Swaps
Energy End User Coalition
V. Capital & Margin
XVII. Data Recordkeeping
XVIII. Real Time Reporting
XVII. Data Recordkeeping
XVIII. Real Time Reporting
MarkitSERV
Depository Trust & Clearing Corporation (DTCC)
Winston & Strawn
Depository Trust & Clearing Corporation (DTCC)
Winston & Strawn
XVIII. Real Time Reporting
Black Rock
Vanguard
Chicago Mercantile Exchange
London Clearinghouse
Barclays Capital
JP Morgan
Morgan Stanley
BNY Mellon
Vanguard
Chicago Mercantile Exchange
London Clearinghouse
Barclays Capital
JP Morgan
Morgan Stanley
BNY Mellon
VI. Segregation and Bankruptcy
NYSE Euronext
NYSE Liffe US
NYSE Liffe US
VIII. Process for Review of Swaps
XIII. SEF Registration
XIII. SEF Registration
Coalition for Derivatives End-Users
US Chamber of Commerce
National Association of Manufacturers
American Petroleum Institute
National Association of Real Estate Investment Trusts
Chatham Financial
Conoco Phillips
Occidental
Ford Motor Co
Forest City Enterprises
Walt Disney
GE
Gibson Dunn
US Chamber of Commerce
National Association of Manufacturers
American Petroleum Institute
National Association of Real Estate Investment Trusts
Chatham Financial
Conoco Phillips
Occidental
Ford Motor Co
Forest City Enterprises
Walt Disney
GE
Gibson Dunn
II. Definitions
The Goldman Sachs Group, Inc. (GS)
Winston & Strawn LLP (WS)
Winston & Strawn LLP (WS)
XIII. SEF Registration
Barclays
Winston & Strawn
Winston & Strawn
XVIII. Real Time Reporting
XXVI. Position Limits
XXVI. Position Limits
Counterparty Risk Management Policy Group (CRMPG)
Goldman Sachs
Goldman Sachs
III. Business Conduct Standards w/ Counterparties
Citigrouop
JP Morgan
Goldman Sachs
Barclays
Morgan Stanley
JP Morgan
Goldman Sachs
Barclays
Morgan Stanley
II. Definitions
VI. Segregation and Bankruptcy
XV. Rule Certification
VI. Segregation and Bankruptcy
XV. Rule Certification
American Benefits Council
III. Business Conduct Standards w/ Counterparties
Futures Industry Association
VII. DCO Core Principles
X. Systemically Important DCO Rules
X. Systemically Important DCO Rules
Various representatives of energy companies, energy-related organizations; federal, state and local governmental agencies. The conference was open to the press.
General
CME Group (CME)
Skadden, Arps, Slate, Meagher & Flom LLP (Skadden)
Skadden, Arps, Slate, Meagher & Flom LLP (Skadden)
VII. DCO Core Principles
X. Systemically Important DCO Rules
X. Systemically Important DCO Rules
The National Futures Association (NFA)
I. Registration
III. Business Conduct Standards w/ Counterparties
XIII. SEF Registration
XVIII. Real Time Reporting
III. Business Conduct Standards w/ Counterparties
XIII. SEF Registration
XVIII. Real Time Reporting
Caisse de depot et placement du Quebec
ATB Financial
Jones Day
ATB Financial
Jones Day
II. Definitions
London Stock Exchange (LSE)
Patton Boggs
Patton Boggs
XIII. SEF Registration
XVI. Swap Data Repositories Registration
XVII. Data Recordkeeping
XVIII. Real Time Reporting
XVI. Swap Data Repositories Registration
XVII. Data Recordkeeping
XVIII. Real Time Reporting
NRECA, APPA
II. Definitions
XI. End-user Exception
XXIII. Anti-Manipulation
XXIV. Disruptive Trading Practices
XI. End-user Exception
XXIII. Anti-Manipulation
XXIV. Disruptive Trading Practices
London Stock Exchange (LSE)
Patton Boggs (PB)
Patton Boggs (PB)
IX. Governance & Possible Limits
Consumer Federation of America
II. Definitions
III. Business Conduct Standards w/ Counterparties
III. Business Conduct Standards w/ Counterparties
Caisse de depot et placement du Quebec
ATB Financial
Jones Day
ATB Financial
Jones Day
V. Capital & Margin
VIII. Process for Review of Swaps
VIII. Process for Review of Swaps
Hogan Lovells US LLP
XXIII. Anti-Manipulation
XXIV. Disruptive Trading Practices
XXIV. Disruptive Trading Practices
Morgan Stanley (MS)
Capital Alpha (CA)
Chesapeake Management Co. (CMC)
Millenium Partners (MP)
Deka (D)
Dutko Worldwide
Capital Alpha (CA)
Chesapeake Management Co. (CMC)
Millenium Partners (MP)
Deka (D)
Dutko Worldwide
II. Definitions
V. Capital & Margin
XXVI. Position Limits
V. Capital & Margin
XXVI. Position Limits
Sullivan & Cromwell
BNP Paribas Commodities
BNP Paribas Commodities
II. Definitions
XVIII. Real Time Reporting
XXVI. Position Limits
XXVIII. Volcker Rule
XVIII. Real Time Reporting
XXVI. Position Limits
XXVIII. Volcker Rule
BNP Paribas
II. Definitions
XVIII. Real Time Reporting
XXVI. Position Limits
XXVIII. Volcker Rule
XVIII. Real Time Reporting
XXVI. Position Limits
XXVIII. Volcker Rule
BNP Paribas
Sullivan & Cromwell
Sullivan & Cromwell
II. Definitions
XVIII. Real Time Reporting
XXVI. Position Limits
XXVIII. Volcker Rule
XVIII. Real Time Reporting
XXVI. Position Limits
XXVIII. Volcker Rule
Americans for Financial Reform
VII. DCO Core Principles
X. Systemically Important DCO Rules
X. Systemically Important DCO Rules
Goldman Sachs
VII. DCO Core Principles
IX. Governance & Possible Limits
X. Systemically Important DCO Rules
IX. Governance & Possible Limits
X. Systemically Important DCO Rules
Patton Boggs
BGC
ICAP
GFI
Tullett Prebon
BGC
ICAP
GFI
Tullett Prebon
VII. DCO Core Principles
XII. DCM Core Principles
XIII. SEF Registration
General
XII. DCM Core Principles
XIII. SEF Registration
General
Horizons Exchange Traded Funds
XVIII. Real Time Reporting
XXVI. Position Limits
XXVI. Position Limits
Goldman Sachs
XIII. SEF Registration
XVIII. Real Time Reporting
XXVI. Position Limits
XVIII. Real Time Reporting
XXVI. Position Limits
U.S. Chamber of Commerce
II. Definitions
V. Capital & Margin
XVIII. Real Time Reporting
V. Capital & Margin
XVIII. Real Time Reporting
Chamber of Commerce
K&L Gates
Caterpillar, Inc.
Constellation Energy
Chatham Financial
Boeing
The Walt Disney Company
Wholesale Markets Brokers Association, Americas
IBM
Thomson Reuters
CME Clearing
FMC Corporation
NASDAQ OMX
Trustmark Corporation
K&L Gates
Caterpillar, Inc.
Constellation Energy
Chatham Financial
Boeing
The Walt Disney Company
Wholesale Markets Brokers Association, Americas
IBM
Thomson Reuters
CME Clearing
FMC Corporation
NASDAQ OMX
Trustmark Corporation
II. Definitions
V. Capital & Margin
XI. End-user Exception
V. Capital & Margin
XI. End-user Exception
Cleary Gottlieb
Morgan Stanley
Credit Agricole
Credit Suisse
Citigroup
Barclays Capital
PNC Bank
Nomura
Bank of America Merrill Lynch
Bank of America Securities LLC
Barclays Capital
Nomura Securities Intl
HSBC Securities USA
SEC
Morgan Stanley
Credit Agricole
Credit Suisse
Citigroup
Barclays Capital
PNC Bank
Nomura
Bank of America Merrill Lynch
Bank of America Securities LLC
Barclays Capital
Nomura Securities Intl
HSBC Securities USA
SEC
II. Definitions
XXI. Joint Rules w/ SEC
XXI. Joint Rules w/ SEC
American Benefits Council
General Dynamics
GM Asset Management
NISA Investment Advisors LLC
CIEBA
Davis & Harman LLP
Skadden
General Dynamics
GM Asset Management
NISA Investment Advisors LLC
CIEBA
Davis & Harman LLP
Skadden
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards - Internal
IX. Governance & Possible Limits
XI. End-user Exception
XVI. Swap Data Repositories Registration
XVII. Data Recordkeeping
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards - Internal
IX. Governance & Possible Limits
XI. End-user Exception
XVI. Swap Data Repositories Registration
XVII. Data Recordkeeping
Industrial Energy Consumers of America (IECA)
V. Capital & Margin
XI. End-user Exception
XVII. Data Recordkeeping
XXI. Joint Rules w/ SEC
XXIII. Anti-Manipulation
XXVI. Position Limits
General
XI. End-user Exception
XVII. Data Recordkeeping
XXI. Joint Rules w/ SEC
XXIII. Anti-Manipulation
XXVI. Position Limits
General
NASDAQ
International Derivatives Clearing Group
International Derivatives Clearing Group
II. Definitions
VIII. Process for Review of Swaps
XIII. SEF Registration
VIII. Process for Review of Swaps
XIII. SEF Registration
ISDA
MorganStanley
CitiBank
Societe Generale
Deutsche Bank
DE Shaw
MorganStanley
CitiBank
Societe Generale
Deutsche Bank
DE Shaw
II. Definitions
V. Capital & Margin
VIII. Process for Review of Swaps
XIII. SEF Registration
V. Capital & Margin
VIII. Process for Review of Swaps
XIII. SEF Registration
International Swaps and Derivatives Association's Regional Conference
II. Definitions
V. Capital & Margin
VIII. Process for Review of Swaps
XIII. SEF Registration
V. Capital & Margin
VIII. Process for Review of Swaps
XIII. SEF Registration
Futures Industry Association-FIA
Goldman Sachs
Bank of America-Merrill Lynch
Citigroup
Credit Suisse
Goldman Sachs
Bank of America-Merrill Lynch
Citigroup
Credit Suisse
VI. Segregation and Bankruptcy
General
General
Morgan Stanley
I. Registration
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards - Internal
V. Capital & Margin
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards - Internal
V. Capital & Margin
Shiff Hardin
The Energy Authority
National Rural Electric Cooperative Association (NRECA)
American Public Power Association (APPA)
ACES Power Marketing
American Public Gas Association (APGA)
The Energy Authority
National Rural Electric Cooperative Association (NRECA)
American Public Power Association (APPA)
ACES Power Marketing
American Public Gas Association (APGA)
II. Definitions
V. Capital & Margin
XI. End-user Exception
XVII. Data Recordkeeping
XVIII. Real Time Reporting
XXVI. Position Limits
V. Capital & Margin
XI. End-user Exception
XVII. Data Recordkeeping
XVIII. Real Time Reporting
XXVI. Position Limits
Morgan Stanley
I. Registration
II. Definitions
III. Business Conduct Standards w/ Counterparties
V. Capital & Margin
II. Definitions
III. Business Conduct Standards w/ Counterparties
V. Capital & Margin
IntercontinentalExchange
XII. DCM Core Principles
XIII. SEF Registration
XIV. FBOT Registration
XV. Rule Certification
XIII. SEF Registration
XIV. FBOT Registration
XV. Rule Certification
National Council of Farmer Cooperatives (NCFC)
Land O'Lakes
Growmark
Dairy Farmers of America (DFA)
CHS, Inc. (CHS)
Land O'Lakes
Growmark
Dairy Farmers of America (DFA)
CHS, Inc. (CHS)
II. Definitions
V. Capital & Margin
XI. End-user Exception
XIX. Agricultural Swaps
V. Capital & Margin
XI. End-user Exception
XIX. Agricultural Swaps
National Consumers League
III. Business Conduct Standards w/ Counterparties
XXVI. Position Limits
XXVI. Position Limits