Governance & Conflicts of Interest

The Commission has issued proposed rules to implement provisios in the Dodd-Frank Wall Street Reform and Consumer Protection Act related to governance and conflict of interest.  The Comment Period is closed

A list of proposed rules for this topic, along with other related Federal Register notices, is provided below.

Related Federal Register Releases

Proposed Rule: 76 FR 722 // PDF Version
1/6/2011
17 CFR Parts 1, 37, 38, 39, and 40 Governance Requirements for Derivatives Clearing Organizations, Designated Contract Markets, and Swap Execution Facilities; Additional Requirements Regarding the Mitigation of Conflicts of Interest
Comment File - Extended Date: 6/3/2011

Proposed Rule: 75 FR 63732 // PDF Version
10/18/2010
17 CFR Parts 1, 37, 38, 39, and 40 Requirements for Derivatives Clearing Organizations, Designated Contract Markets, and Swap Execution Facilities Regarding the Mitigation of Conflicts of Interest
Comment File - Extended Date: 6/3/2011

Additional Information

Fact Sheet: Proposed Rule on Governance Requirements for DCOs, DCMSs and SEFs, & Additional Requirements Regarding the Mitigation of Conflict of Interest

Q&A: Governance Requirements for DCOs, DCMSs and SEFs

Event: Open Meeting on Seventh Series of Proposed Rules under the Dodd-Frank Act

Fact Sheet: Proposal to Mitigate Potential Conflicts of Interest in the Operation of Derivatives Clearing Organizations, Designated Contract Markets, and Swap Execution Facilities

Q&A: Governance and Conflicts of Interest

Event: Open Meeting on First Series of Proposed Rules under the Dodd-Frank Act

Event: CFTC-SEC Roundtable on Governance and Conflicts of Interest in the Clearing and Listing of Swaps

 

Date
SUBMISSION
04/12/2011
SDs and MSPs Should Not be Treated as Identical Twins PDF Image
BlackRock, From External Meeting on 4/12/2011
02/23/2011
02/08/2011
RE: Comment on Proposed Conflicts of Interest Rule PDF Image
ELX, From External Meeting on 2/8/2011
01/04/2011
Position limits PDF Image
Sphereshadow
12/03/2010
10/27/2010
Governance_Memorandum_of_Conversation_with_OCC_on_October_27_2010_259 PDF Image
Options Clearing Corporation, From External Meeting on 10/27/2010
10/05/2010
09/29/2010
Natural Gas Supply Association PDF Image
Natural Gas Supply Association
09/21/2010
Discussions with the CFTC & SEC - Clearing PDF Image
The Goldman Sachs Group, Inc., From External Meeting on 9/21/2010
09/17/2010
Comments of American Benefits Council Provided at 9-17 CFTC Meeting_25 PDF Image
American Benefits Council, From External Meeting on 9/17/2010
09/17/2010
Agenda of 9-17 CFTC-SEC Meeting with Pension Plans_25 PDF Image
American Benefits Council, From External Meeting on 9/17/2010
09/15/2010
09/01/2010
dmb argus_72 PDF Image
Argus Oil Market Regulation Summit 2010
08/23/2010
08/23/2010
08/03/2010
Title VII Rulemakings PDF Image
SEC/CFTC and ISDA/SIFMA