Event: Commission Meetings


Transcript

CFTC Open Meeting on One Final Rule and One Proposed Rule


The Commodity Futures Trading Commission (CFTC) will hold a public meeting to consider one final rule and one proposed rule on the following topics:

    (1) Final Rule: Swap Dealer and Major Swap Participant Recordkeeping and Reporting, Duties, and Conflicts of Interest Policies and Procedures; Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Swap Dealer, Major Swap Participant, and Futures Commission Merchant Chief Compliance Officer; and

    (2) Proposed Rule: Procedures to Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades; Further Measures to Protect the Identities of Parties to Swap Transactions (Reproposal).

When:

Thursday, February 23, 2011, 9:30 a.m. (ET)

Where:

CFTC Headquarters Conference Center, 1155 21st, NW, Washington DC

Topic:

Open meeting to consider two final rules and one proposed rule under the Dodd-Frank Wall Street Reform and Consumer Protection Act.

Viewing/Listening Information:

 

Watch a live broadcast of the meeting via webcast on www.cftc.gov. Call-in to a toll-free or toll-telephone line to connect to a live audio feed.  Call-in participants should be prepared to provide their first name, last name and affiliation.  Conference call information is listed below:

 

US Toll-Free: 866-844-9416

International Toll: International Numbers

Call Leader Name: CFTC

Participant Passcode/Pin: CFTC

This event is open to the public on a first-come, first-served basis.

CFTC Press Release 6184-12

CFTC Press Release 6182-12

Sunshine Act Notice

View Archived Webcast

Opening Statements:

Opening Statement of Chairman Gary Gensler

Chairman Gensler’s Statements of Support

Opening Statement of Commissioner Jill Sommers

Opening Statement of Commissioner Bart Chilton

Opening Statement of Commissioner Scott O’Malia
– Commissioner O’Malia’s Statement on Block Trade Reproposal
– Commissioner O’Malia’s letter to OMB Director Jeffrey Zients

Additional Documents:

Fact Sheet: Final Rule on SD and MSP Recordkeeping and Reporting, Duties, and Conflicts of Interest Policies and Procedures; FCM and Introducing Broker Conflicts of Interest Policies and Procedures; SD, MSP, and FCM Chief Compliance Officer
Q&A: Final Rule on SD and MSP Recordkeeping and Reporting, Duties, and Conflicts of Interest Policies and Procedures; FCM and Introducing Broker Conflicts of Interest Policies and Procedures; SD, MSP, and FCM Chief Compliance Officer
— Approved 3 – 2

Fact Sheet: Proposed Rule on Procedures to Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades; Further Measures to Protect the Identities of Parties to Swap Transactions (Reproposal)
Q&A: Procedures to Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades; Further Measures to Protect the Identities of Parties to Swap Transactions (Reproposal)
— Approved 3 – 2

Federal Register Releases:

77 FR 15460: 17 CFR Part 43 Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades

77 FR 20128: 17 CFR Parts 1, 3, and 23 Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants


Last Updated: October 17, 2014