EVENT: Commission Meetings Oct 30, 2013


Transcript

CFTC Will Hold an Open Meeting to Consider Enhancing Protections for Futures Customers and Other Business

Washington, DC – The U.S. Commodity Futures Trading Commission will hold a public meeting on Wednesday, October 30, 2013, at 9:30 a.m. to consider:

WHAT:

Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations

Protection of Collateral of Counterparties to Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy

Ownership and Control ("OCR") Reports, Forms 102/102S, 40/40S, and 71

WHERE:

CFTC Headquarters Conference Center, Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581

WHEN:

Wednesday, October 30, 2013 at 9:30 a.m.

Viewing/Listening Information: The CFTC has made available the following options to access the meeting:

 

Watch a webcast of the meeting at www.cftc.gov or call toll-free to be connected to an audio feed. Call-in participants must provide first and last name and affiliation.

Dial-in information
:

 

Domestic Toll-Free Number: (866) 844-9416

 

International Toll Numbers: International Numbers

 

Passcode: CFTC

View Archived Webcast

CFTC Press Release 6746-13

Federal Register

Opening Statements:

Opening Statement of Chairman Gary Gensler
Statement of Support of Chairman Gary Gensler- Ownership and Control ("OCR")

Statement of Support of Chairman Gary Gensler - Segregation for Uncleared Swaps

Statement of Support of Chairman Gary Gensler - Customer Protection

Opening Statement of Commissioner Bart Chilton – “The Law”

Opening Statement of Commissioner Scott O’Malia – Customer Protection
Statement of Commissioner Scott O’Malia – Customer Protection Residual Interest Amendment

Statement of Dissent of Commissioner Scott O’Malia – Customer Protection

Opening Statement of Commissioner Mark Wetjen

Additional Documents:

Fact Sheet: Final Rules Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations
Questions and Answers: Final Rules Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing

— Approved 3 – 1

Fact Sheet: Final Rule on Segregation for Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy
Questions & Answers: Segregation for Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy

— Approved — unanimously by seriatim

Fact Sheet: Final Rule on Ownership and Control Reports, Forms 102/102S, 40/40S, and 71
Questions & Answers: Final Rule on Ownership and Control Reports, Forms 102/102S, 40/40S, and 71

— Approved — unanimously by seriatim

Federal Register Releases:

78 FR 66621: 17 CFR Parts 23 and 190 Protection of Collateral of Counterparties to Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy

78 FR 68506: 17 CFR Parts 1, 3, 22, 30, and 140 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations

79 FR 14174: 17 CFR Part 30 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction

78 FR 69178: 17 CFR Parts 15, 17, 18, and 20 Ownership and Control Reports, Forms 102/102S, 40/40S, and 71


Last Updated: October 26, 2016