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The Commission and its staff have received inquiries from interested persons wishing to submit their views on the Wall Street Reform and Consumer Protection Act and the rulemakings that will be issued by the CFTC. Persons interested in making their views known on the overall Rulemaking process may submit them electronically via the General Dodd-Frank Submissions File.
These submissions may be considered in the pre-proposal process by the Commission and its staff, but will not be treated as official comments on specific proposed rulemakings. Members of the public who wish to submit official comments should submit them during the comment period commencing with the notice of proposed rulemaking published in the Federal Register.
View all General Dodd-Frank Submissions
Submit a General Dodd-Frank OpinionDetails of meetings held between CFTC staff and outside parties about the overall Rulemaking process are provided below.
Date
MEETING WITH
REGARDING RULEMAKING
SIFMA Asset Management Group
III. Business Conduct Standards w/ Counterparties
General
General
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
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
trueEx
Alliance Bernstein
Citi Mortgages
Eaton Vance
Sullivan & Cromwell
Alliance Bernstein
Citi Mortgages
Eaton Vance
Sullivan & Cromwell
General
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
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
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
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
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
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
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
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
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
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
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
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
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
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
Perry Capital, LLC
MFA, Serengeti Asset Managment
MFA, Tenor Capital
Delta Strategy Group
MFA, Serengeti Asset Managment
MFA, Tenor Capital
Delta Strategy Group
General
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
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
MFS
PIMCO
SIFMA
SIFMA Asset Management Group
Vanguard
Fidelity
Goldman Sachs Asset Management
MFS
MFS
PIMCO
SIFMA
SIFMA Asset Management Group
Vanguard
General
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
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
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
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
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
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
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
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
SIFMA
Barclays
Morgan Stanley
Institute of International Bankers
Cleary Gottlieb
Barclays
Morgan Stanley
Institute of International Bankers
Cleary Gottlieb
General
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
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
Farm Credit Council
Federal Farm Credit Banks Funding Corporation
Agri Bank
Co Bank
Federal Farm Credit Banks Funding Corporation
Agri Bank
Co Bank
General
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
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
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
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
Hess
Nextera Energy
Sutherland
CMC
Nextera Energy
Sutherland
CMC
IV. Business Conduct Standards – Internal
General
General
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
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
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
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
Reed Smith
American Public Power Association
National Rural Electric Power Association
American Public Power Association
National Rural Electric Power Association
General
Morgan Lewis & Bockius
Deutsche Bank
Campbell & Company
Tudor Investments
Morgan Stanley
SIFMA
MFA
Deutsche Bank
Campbell & Company
Tudor Investments
Morgan Stanley
SIFMA
MFA
General
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
Morgan Stanley
III. Business Conduct Standards w/ Counterparties
General
General
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
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
Javelin Capital Markets
Swaps and Derivatives Market Association
Swaps and Derivatives Market Association
General
Topics discussed: core principle 9 and portfolio margining for credit default swaps.
General
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
Constellation Energy Group
Direct Energy
NextEra Energy
Hunton & Williams
Direct Energy
NextEra Energy
Hunton & Williams
XVI. Swap Data Repositories Registration
General
General
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
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
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
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
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
Gavilon
CMC
Constellation Energy
Bunge
Conoco Phillips
Vitol
Hunton & Williams
Arnold & Porter
CMC
Constellation Energy
Bunge
Conoco Phillips
Vitol
Hunton & Williams
Arnold & Porter
General
FIA, Goldman Sachs, Bank of America Merrill Lynch, Credit Suisse, UBS, RJ O'brien & Assoc., MF Global
General
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
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
BG Americas
XVI. Swap Data Repositories Registration
XXVI. Position Limits
General
XXVI. Position Limits
General
WMBAA, BGC, GFI, ICAP, Tradition, Tullett Prebon, Patton Boggs
XIII. SEF Registration
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
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
Winton Capital
King Street
Tudor
DE Shaw
Serengeti
MFA
King Street
Tudor
DE Shaw
Serengeti
MFA
XXVI. Position Limits
General
General
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
Prudential Insurance
Sullivan & Cromwell
Sullivan & Cromwell
Study: Clearing Regulations Abroad
General
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
Alternative Investment Management Association (AIMA)
Crossroads Strategies
Crossroads Strategies
XXVI. Position Limits
General
General
LCH Clearnet (LCH)
Rich Feuer Group
Rich Feuer Group
IX. Governance & Possible Limits
General
General
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
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
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
Morgan Stanley, Deutsche Bank, JP Morgan, Goldman Sachs, Bank of America Merrill Lynch, UBS, BlackRock, Wellington, PIMCO, SIFMA, FIA, ISDA
General
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
US Chamber of Commerce
Delta Strategy Group
Delta Strategy Group
IV. Business Conduct Standards – Internal
General
General
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
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
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
V. Capital & Margin
IX. Governance & Possible Limits
XXVI. Position Limits
General
IX. Governance & Possible Limits
XXVI. Position Limits
General
Barclays Capital
IX. Governance & Possible Limits
XIII. SEF Registration
XXVI. Position Limits
General
XIII. SEF Registration
XXVI. Position Limits
General
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
Woodrow Wilson School of Public and International Affairs
IX. Governance & Possible Limits
General
General
UK Financial Services Authority, Shearman & Sterling, other financial institutions.
General
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
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
JP Morgan Chase & Co. (JPM)
LTD Group (LTD)
LTD Group (LTD)
XIII. SEF Registration
General
General
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
Various representatives of energy companies, energy-related organizations; federal, state and local governmental agencies. The conference was open to the press.
General
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
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
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
Bank of NY, Mellon
City National
Citizens Financial Group
Fulton Financial Group
Key Corporation
Capital One
Trustmark Corporation
Discover Financial Services
First Horizon National Corporation
US Bancorp
First National of Nebraska
Cullen/Frost
Federal Advisory Council
City National
Citizens Financial Group
Fulton Financial Group
Key Corporation
Capital One
Trustmark Corporation
Discover Financial Services
First Horizon National Corporation
US Bancorp
First National of Nebraska
Cullen/Frost
Federal Advisory Council
General
Air Transport Association
AirTran Airways
Alaska Airline
American Airlines
Atlas Worldwide Holdings, Inc.
Delta Air Lines
FedEx Express
Hawaiian Airlines
JetBlue Airways
Southwest Airlines
UPS
U.S. Airways Group
AirTran Airways
Alaska Airline
American Airlines
Atlas Worldwide Holdings, Inc.
Delta Air Lines
FedEx Express
Hawaiian Airlines
JetBlue Airways
Southwest Airlines
UPS
U.S. Airways Group
General
Represenatives of various energy companies, financial firms, consultants, and other interested persons. The session was open to the press.
All
Citigroup, Inc.
Goldman Sachs & Company
Bank of NY Mellon
MidSouth Bank
Standard & Poor's
Yale University School of Management
WL Ross
U.S. Bank
Bank of America
BlackRock
Morgan Stanley
Wells Fargo
JP MorganChase & Co.
Federal Deposit Insurance Corporation
Wachovia
Securities & Exchange Commission
Office of the Comptroller of the Currency
U.S. Department of the Treasury
Board of Governors
Federal Reserve Bank of NY
Goldman Sachs & Company
Bank of NY Mellon
MidSouth Bank
Standard & Poor's
Yale University School of Management
WL Ross
U.S. Bank
Bank of America
BlackRock
Morgan Stanley
Wells Fargo
JP MorganChase & Co.
Federal Deposit Insurance Corporation
Wachovia
Securities & Exchange Commission
Office of the Comptroller of the Currency
U.S. Department of the Treasury
Board of Governors
Federal Reserve Bank of NY
General
Wholesale Market Brokers Association
ICAP
Cantor Fitzgerald
Tullett Prebon
Tradition Financial
Patton Boggs
ICAP
Cantor Fitzgerald
Tullett Prebon
Tradition Financial
Patton Boggs
General
Business Roundtable
FMC and Corporate Treasurers
U.S. Chamber of Commerce
National Association of Manufacturers
American Petroleum Institute
Chatham
National Association of Real Estate Investment Trusts
Financial Executive Int'l.
Gibson Dunn
FMC and Corporate Treasurers
U.S. Chamber of Commerce
National Association of Manufacturers
American Petroleum Institute
Chatham
National Association of Real Estate Investment Trusts
Financial Executive Int'l.
Gibson Dunn
General
See Also:
