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Governance and Conflict of Interest Controls for Clearing Agencies, Swap Execution Facilities and Exchanges:
Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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(Click here for meetings with SEC officials)
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| Jun. 6, 2012 | Daniel E. Glatter, GFI Group Inc., Assistant General Counsel, New York, New York |
| Sep. 12, 2011 | Christopher A. Klem, Ropes & Gray LLP |
| Sep. 8, 2011 | ABA Securities Association, American Council of Life Insurers, Financial Services Roundtable, Futures Industry Association, Institute of International Bankers, International Swaps and Derivatives Association and the Securities Industry and Financial Markets Association |
| May 31, 2011 | Futures Industry Association, The Financial Services Roundtable, Institute of International Bankers, Insured Retirement Institute, International Swaps and Derivatives Association, Securities Industry and Financial Markets Association, and U.S. Chamber of Commerce |
| May 4, 2011 | Financial Services Forum, Futures Industry Association, International Swaps and Derivatives Association, and Securities Industry and Financial Markets Association |
| Apr. 14, 2011 | "Swap Dealers and Major Swap Participants
Should Not be Treated as Identical Twins" submitted by Blackrock |
| Mar. 24, 2011 | Richard H. Baker, President & Chief Executive Officer, Managed Funds Association |
| Feb. 3, 2011 | Gerald Donini, Barclays Capital Inc. |
| Nov. 1, 2010 | James Hill, Managing Director, Morgan Stanley |
| Oct. 27, 2010 | Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, SIFMA |
| Oct. 6, 2010 | Ernest Goodrich and Marcelo Riffaud, Deutche Bank AG |
| Sep. 29, 2010 | Neal Brady, Chief Executive Officer, Eris Exchange LLC |
| Sep. 24, 2010 | Roger Liddell, Chief Executive, LCH.Clearnet |
| Sep. 17, 2010 | David Geen, General Counsel, International Swaps and Derivatives Association, Inc. |
| Sep. 15, 2010 | Hall S. Scott, President & Director,
Committee on Capital Markets Regulation |
| Sep. 13, 2010 | Letter from Raymond May Regarding the Roundtable on Governance and Conflicts of Interest in the Clearing and Listing of Swaps |
| Aug. 24, 2010 | Communication from Darrell Duffie Regarding the Minimal Size of Clearing Members |
| Aug. 5, 2010 | Coalition for Derivatives End-Users |
| Jul. 28, 2010 | Robin McLeish, Virginia Beach, Virginia |
Meetings with SEC Officials
(Click here for submitted comments from the public) |
| Mar. 28, 2013 | Memorandum from the Division of Trading and Markets regarding a March 21-22, 2013 meeting between OTC Derivatives Regulators Forum members and representatives of certain central counterparties (CCPs), trade repositories (TRs) and ISDA |
| Oct. 26, 2012 | Memorandum from the OTC Derivatives Regulators Forum regarding an October 16, 2012, meeting with representatives of certain central counterparties (CCPs) and trade repositories (TRs) |
| Oct. 21, 2011 | Memorandum from the Division of Trading and Markets regarding an October 5, 2011 meeting between OTC Derivatives Regulators Forum members and representatives of certain central counterparties |
| Sep. 26, 2011 | Memorandum from the Division of Trading and Markets regarding a meeting with a Representative of the Swaps & Derivatives Market Association |
| Jun. 21, 2011 | Memorandum from the Division of Trading and Markets regarding a telephone call with a representative from Citadel LLC |
| Jun. 20, 2011 | Memorandum from the Division of Trading and Markets regarding a telephone call with representatives from D. E. Shaw & Co., L.P. |
| Jun. 15, 2011 | Memorandum from the Division of Trading and Markets regarding a telephone call with a representative from BlueMountain Capital Management LLC |
| Jun. 6, 2011 | Memorandum from the Division of Trading and Markets regarding a June 6, 2011, telephone call with representatives of Citadel LLC and Winston & Strawn LLP |
| Jun. 3, 2011 | Memorandum from the Division of Trading and Markets regarding a June 3, 2011, telephonic meeting with representatives from BNY Mellon Clearing |
| May 20, 2011 | Memorandum from the Division of Trading and Markets regarding a May 20, 2011, meeting with representatives from Morgan Stanley |
| May 13, 2011 | Memorandum from the Division of Trading and Markets regarding a May 13, 2011, meeting with a representative from Kalorama Partners, LLC |
| May 13, 2011 | Memorandum from the Division of Trading and Markets regarding a May 12, 2011, meeting with representatives from Barclays Capital |
| May 13, 2011 | Memorandum from the Division of Trading and Markets regarding an April 27, 2011, meeting with representatives from the Securities Industry and Financial Markets Association (SIFMA) |
| May 11, 2011 | Memorandum from the Division of Trading and Markets regarding a May 9, 2011, telephonic meeting with representatives the Capital Steering Committee of the Securities Industry and Financial Markets Association (SIFMA) |
| May 10, 2010 | Memorandum from the Division of Trading and Markets regarding a May 10, 2011, meeting with representatives of Citadel LLC and Delta Strategy Group |
| May 5, 2011 | Memorandum from the Division of Trading and Markets regarding a May 5, 2011, meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA), et al. |
| May 4, 2011 | Memorandum from the Division of Trading and Markets regarding a May 4, 2011, meeting with representatives of the Institute of International Bankers (IIB) |
| Apr. 21, 2011 | Memorandum from the Office of the Chairman regarding an April 21, 2011, meeting with representatives of the International Swaps and Derivatives Association, Inc. |
| Mar. 30, 2011 | Memorandum from the Division of Trading and Markets regarding a March 30, 2011, meeting with representatives of Nomura Securities International, Inc. |
| Mar. 25, 2011 | Memorandum from the Division of Trading and Markets regarding a March 25, 2011, meeting with representatives of Goldman Sachs |
| Mar. 21, 2010 | Memorandum from the Division of Trading and Markets regarding March 16 and 18, 2011, telephone calls with a representative of Citadel LLC |
| Mar. 9, 2011 | Memorandum from the Division of Trading and Markets regarding a March 9, 2011, meeting with representatives from and members of the Managed Funds Association (MFA) |
| Mar. 3, 2011 | Memorandum from the Division of Trading and Markets regarding a March 3, 2011, meeting with representatives of the Institute of International Bankers (IIB) |
| Mar. 1, 2011 | Memorandum from the Division of Trading and Markets regarding a March 1, 2011, meeting with representatives of Nomura Holding America Inc. and Nomura Securities International, Inc |
| Feb. 18, 2011 | CFTC Phase-in Implementation Discussion |
| Jan. 31, 2011 | Memorandum from the Office of Commissioner Walter regarding a January 31, 2011, meeting with representatives of Nomura Holding America Inc. |
| Dec. 3, 2010 | Memorandum from the Office of Commissioner Paredes regarding a November 10, 2010, meeting with representatives of ISDA and Kalorama Partners |
| Dec. 3, 2010 | Memorandum from the Office of Commissioner Paredes regarding a November 10, 2010, meeting with representatives of LCH.Clearnet and Rich Feuer Group |
| Nov. 15, 2010 | Memorandum from the Division of Trading and Markets regarding a November 2, 2010 meeting with the OTC Derivatives Regulators Forum members and representatives of certain central counterparties |
| Nov. 12, 2010 | Memorandum from the Division of Trading and Markets regarding a November 10, 2010 meeting with representatives of ERISA-Regulated Pension Plans |
| Oct. 28, 2010 | Memorandum from the Division of Trading and Markets re: Meeting with the Capital Steering Committee of the Securities Industry and Financial Markets Association |
| Oct. 28, 2010 | Memorandum from the Division of Trading and Markets re: Phone Conference with Representatives of the Depository Trust and Clearing Corporation |
| Oct. 13, 2010 | Memorandum from the Office of Commissioner Troy A. Paredes regarding a October 13, 2010 meeting with representatives of Goldman Sachs |
| Oct. 13, 2010 | Memorandum from the Division of Trading and Markets regarding an October 13, 2010 meeting with representatives of various Buy-Side Firms |
| Oct. 8, 2010 | Memorandum from the Division of Risk, Strategy, and Financial Innovation regarding an October 8, 2010 meeting with representatives from The Depository Trust & Clearing Corporation |
| Oct. 6, 2010 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a September 30, 2010 meeting with representatives of The Depository Trust & Clearing Corporation |
| Sep. 30, 2010 | Memorandum from the Division of Trading and Markets regarding a September 30, 2010 meeting representatives of the ICE Trust |
| Sep. 23, 2010 | Memorandum from the Division of Trading and Markets regarding a September 23, 2010, meeting with representatives of Javelin Capital Markets, LLC |
| Sep. 22, 2010 | Memorandum from the Division of Trading and Markets re: U.S. Chamber of Commerce, Center for Capital Markets Competitiveness event on "Over the Counter (OTC) Derivatives Reform: Preparing for a Changing Marketplace." |
| Sep. 20, 2010 | Memorandum from the Division of Trading and Markets regarding a September 17, 2010 meeting with the CFTC and representatives from certain pension plans |
| Sep. 17, 2010 | Memorandum from the Division of Trading and Markets regarding a September 17, 2010 meeting (p.m.) with representatives of Morgan Stanley |
| Sep. 17, 2010 | Memorandum from the Division of Trading and Markets regarding a September 17, 2010 meeting (a.m.) with representatives of Morgan Stanley |
| Sep. 10, 2010 | Memorandum from the Division of Trading and Markets regarding an August 17, 2010 afternoon meeting with representatives of TriOptima |
| Sep. 8, 2010 | Memorandum from the Division of Trading and Markets regarding a September 8, 2010 meeting with representatives of Tradeweb, LLC |
| Sep. 1, 2010 | Memorandum from the Division of Trading and Markets regarding a September 1, 2010 meeting with representatives from the Conference of State Bank Supervisors ("CSBS"), the National Association of Insurance Commissioners ("NAIC"), and the North American Securities Administrators Association ("NASAA")" |
| Aug. 30, 2010 | Memorandum from the Division of Trading and Markets regarding an August 27, 2010 meeting with representatives of Americans for Financial Reform, et al. |
| Aug. 26, 2010 | Memorandum from the Division of Trading and Markets regarding an August 26, 2010 meeting with representatives of the International Swaps and Derivatives Association (ISDA) |
| Aug. 25, 2010 | Memorandum from the Division of Trading and Markets regarding an August 25, 2010 meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA), et al. |
| Aug. 25, 2010 | Memorandum from the Office of International Affairs regarding an August 25, 2010 meeting with a representative of the Institute of International Finance |
| Aug. 23, 2010 | Memorandum from the Division of Trading and Markets regarding an August 23, 2010 meeting with representatives of D.E. Shaw |
| Aug. 17, 2010 | Memorandum from the Division of Trading and Markets regarding an August 12, 2010 meeting with representatives of the dealer industry |
| Aug. 16, 2010 | Memorandum from the Office of Commissioner Paredes regarding an August 16, 2010, meeting with representatives of Nasdaq |
| Aug. 11, 2010 | Memorandum from the Division of Trading and Markets regarding an August 11, 2010 meeting with representatives of J.P. Morgan |
| Aug. 19, 2010 | Memorandum from the Division of Trading and Markets regarding an August 19, 2010 phone meeting with JPMorgan Chase & Co. regarding OTC Derivative Legislation |
| Aug. 3, 2010 | Memorandum from the Division of Trading and Markets regarding an August 3, 2010 meeting with representatives of the International Swaps and Derivatives Association and the Securities Industry and Financial Markets Association |
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http://www.sec.gov/comments/df-title-vii/governance/governance.shtml
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