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
Governance -- Getco Meeting_553 PDF Image
GETCO LLC
02/08/2011
RE: Comment on Proposed Conflicts of Interest Rule PDF Image
ELX, From External Meeting on 2/8/2011
01/28/2011
RIN 3038-AD01 - Requirements for Derivatives Clearing Organizations, Designated Contract Markets, and Swap Execution Facilities Regarding the Mitigation of Conflicts of Interest PDF Image
Stephen Humenik
01/04/2011
Position limits PDF Image
Sphereshadow
12/09/2010
Transcript of Open Meeting on the Seven Series of Proposed Rulemakings Under the Dodd-Frank Act PDF Image
CFTC
12/03/2010
The LCH.Clearnet Group Comment PDF Image
Charlotte Foy
12/03/2010
Comments on Rulemakings Required by the Dodd-Frank Wall Street Reform Act PDF Image
Peter J. Carini
11/29/2010
Re: CFTC Rulemakings as Required by the Dodd-Frank Wall Street Reform Act PDF Image
Hirsch Fuels, Inc.
11/24/2010
Re: CFTC Rulemakings as Required.by the Dodd-Frank Wall Street Reform Act PDF Image
OMEGA
11/17/2010
"Re: RIN 3038 AD01, ""Requirements for Derivatives Clearing Organizations, Designated Contract Markets, and Swap Execution Facilities Regarding the Mitigation of Conflicts of Interest""" PDF Image
LCH Clearnet
11/05/2010
"RE: RIN 3038 AD01, ""Requirements for Derivatives Clearing Organizations, Designated Contract Markets, and Swap Execution Facilities Regarding the Mitigation of Conflicts of Interest""" PDF Image
LCH Clearnet
10/27/2010
Comment on Proposed Rule on Mitigation of Conflicts of Interest PDF Image
Options Clearing Corporation
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
Re: Regarding Proposed Rules on Governance Arrangements and Mitigation of Conflicts of Interest PDF Image
DTCC
10/05/2010
OTC Derivatives Regulators? Forum; Guidance on Warehouse Trust Data Access PDF Image
Warehouse Trust
10/05/2010
THE WAREHOUSE TRUST COMPANY LLC OPERATING PROCEDURES PDF Image
Warehouse Trust
10/05/2010
Trade Information Warehouse Data PDF Image
Warehouse Trust
10/05/2010
DTCC DERIVATIVES REPOSITORY; OPERATING PROCEDURES PDF Image
Warehouse Trust
10/05/2010
Trade Information Warehouse Data - ODRF Guidance PDF Image
Warehouse Trust
10/05/2010
Range of Access to Information stored in The Warehouse Trust LLC PDF Image
Warehouse Trust
10/05/2010
RE: CFTC Request for Information regarding SDR Governance PDF Image
Warehouse Trust
10/01/2010
Letter in response to the questions you sent by e-mail to Raf Pritchard on PDF Image
TriOptima
10/01/2010
Responses to the CFTC?s Questions on the SDR Requirements PDF Image
Reval
10/01/2010
Response of CME Group -- Swap Data Repositories PDF Image
CME Group
09/29/2010
Natural Gas Supply Association PDF Image
Natural Gas Supply Association
09/24/2010
Commission?s Request for Comments re Rulemaking following the Dodd-Frank Act. PDF Image
LCH Clearnet
09/21/2010
Discussions with the CFTC & SEC; Clearing PDF Image
Goldman Sachs
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
Agenda of 9-17 CFTC-SEC Meeting with Pension Plans PDF Image
PPPS
09/17/2010
Comments of American Benefits Council Provided at 9-17 CFTC Meeting PDF Image
ABC
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
09/16/2010
Transcript: Public Roundtable on Commission?s Proposed Rulemaking that Calls for the Collection of Account Ownership and Control Information PDF Image
Commodity Futures Trading Commission
09/15/2010
AGENDA: Meeting of the ?NFP Energy End User Coalition? PDF Image
NFP Energy End User Coalition
09/12/2010
Re: Roundtable on Governance and Conflicts of Interest in the Clearing and Listing of Swaps PDF Image
Odex Group Inc.
09/01/2010
Argus Oil Market Regulation Summit 2010 PDF Image
Argus
09/01/2010
dmb argus_72 PDF Image
Argus Oil Market Regulation Summit 2010
08/23/2010
Minimal size of clearing members PDF Image
Darrell Duffie
08/23/2010
Transcript from 8/20 Roundtable PDF Image
Andrew P. Cross
08/20/2010
Transcript of August 20th Roundtable PDF Image
CFTC
08/20/2010
Transcript: CFTC-SEC Roundtable on Governance and Conflicts of Interest in the Clearing and Listing of Swaps PDF Image
CFTC
08/03/2010
Title VII Rulemakings PDF Image
SEC/CFTC and ISDA/SIFMA