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Mandatory Clearing of Security-Based Swaps, End-User Exception and Security-Based Swap Clearing Agencies:
Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
See also: Comments on Proposed Rule: Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC; File No. S7-27-10
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(Click here for meetings with SEC officials)
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| 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 |
| Jun. 3, 2011 | Natural Gas Supply Association and National Corn Growers Association |
| May 31, 2011 | Deloris Wakeford, Morganton, North Carolina |
| 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 |
| May 1, 2011 | Walter J. Jack |
| Apr. 19, 2011 | James Cawley, The Swaps & Derivatives Market Association |
| Mar. 24, 2011 | Richard H. Baker, President & Chief Executive Officer, Managed Funds Association |
| Feb. 22, 2011 | Natural Gas Supply Association and National Corn Growers Association, Washington, District of Columbia |
| Feb. 16, 2011 | National Corn Growers Association and Natural Gas Supply Association |
| Feb. 8, 2011 | Kenneth A. Monahan, Principal, Vizier Ltd. |
| Feb. 3, 2011 | Gerald Donini, Barclays Capital Inc. |
| Dec. 28, 2010 | Alan Thomas, Managing Director, Morgan Stanley |
| Nov. 29, 2010 | Timothy B. Selby, Chair, Committee on Futures and Derivatives Regulation, New York City Bar |
| Nov. 10, 2010 | Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, SIFMA |
| 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. 24, 2010 | Roger Liddell, Chief Executive, LCH.Clearnet |
| Sep. 22, 2010 | Richard H. Baker, President and CEO, Managed Funds Association |
| Sep. 17, 2010 | David Geen, General Counsel, International Swaps and Derivatives Association, Inc. |
| Aug. 23, 2010 | Arthur Lewis |
| Aug. 5, 2010 | Coalition for Derivatives End-Users |
| July 28, 2010 | Robin McLeish, Virginia Beach, Virginia
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Meetings with SEC Officials
(Click here for submitted comments from the public)
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| 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 |
| Jan. 17, 2013 | Memorandum from the Division of Trading and Markets regarding a January 17, 2013, meeting with representatives from MFA |
| 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) |
| Jul. 24, 2012 | Memorandum from the Division of Trading and Markets, Division of Risk, Strategy, and Financial Innovation and Office of Compliance Inspections and Examinations, regarding a July 23, 2012, meeting with representatives from SIFMA |
| Feb.1, 2012 | Memorandum from the Division of Trading and Markets regarding a February 1, 2012, meeting with a representative of the Swaps & Derivatives Market Association |
| Nov. 14, 2011 | Memorandum from the Division of Trading and Markets regarding a November 14, 2011 meeting with representatives of JP Morgan Chase |
| 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 |
| Oct. 3, 2011 | Memorandum from the Office of the Chairman regarding a September 23, 2011, meeting with representatives from LCH.Clearnet |
| Oct. 3, 2011 | Memorandum from the Office of the Chairman regarding a September 27, 2011, meeting with representatives from Delta Strategy Group |
| 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 |
| May 20, 2011 | Memorandum from the Division of Trading and Markets regarding a May 20, 2011, meeting with representatives from Morgan Stanley |
| May 20, 2011 | Memorandum from the Division of Trading and Markets regarding a May 15, 2011, meeting with representatives from Siemens Corporation |
| 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 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. |
| Apr. 14, 2010 | Memorandum from the Division of Trading and Markets regarding an April 14, 2011 meeting with representative of LCH.Clearnet and Rich Feuer Group |
| Apr. 7, 2011 | Memorandum from the Office of the Chairman regarding an April 5, 2011 meeting with members of the Board of SIFMA |
| Apr. 5, 2011 | Memorandum from the Division of Trading and Markets regarding an April 5, 2011, telephone meeting with representatives of CME Group 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. 3, 2011 | Memorandum from the Division of Trading and Markets regarding a March 3, 2011, telephone meeting with representatives of Better Markets, Inc. |
| 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 |
| Feb. 3, 2011 | Memorandum from the Office of Commissioner Aguilar regarding a February 3, 2011, meeting with representatives of Barclays Capital |
| Jan. 31, 2011 | Memorandum from the Office of Commissioner Walter regarding a January 31, 2011, meeting with representatives of Nomura Holding America Inc. |
| Dec. 8, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a December 8, 2010, meeting with representatives of GETCO, LLC |
| Dec. 3, 2010 | Memorandum from the Office of Commissioner Paredes regarding a November 10, 2010, meeting with representatives of ISDA and Kalorama Partners |
| Nov. 17, 2010 | Memorandum from the Division of Trading and Markets regarding a November 17, 2010 meeting with representatives of Property Casualty Association of America |
| 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 Office of Commissioner Walter regarding a November 12, 2010 meeting with representatives of the International Swaps and Derivatives Association |
| Nov. 12, 2010 | Memorandum from the Division of Trading and Markets regarding a November 12, 2010 meeting with representatives of MetLife |
| Nov. 12, 2010 | Memorandum from the Division of Trading and Markets regarding a November 10, 2010 meeting with representatives of ERISA-Regulated Pension Plans |
| Nov. 4, 2010 | Memorandum from the Division of Trading and Markets regarding a November 4, 2010 meeting with representatives of the Association of Institutional Investors |
| Nov. 3, 2010 | Memorandum from the Division of Trading and Markets regarding a November 3, 2010 meeting with representatives and members of ISDA |
| Nov. 1, 2010 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a November 1, 2010 meeting with representatives of ICE Trust and the Intercontinental Exchange, Inc. |
| 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 Elise Walter 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 13, 2010 | Memorandum from the Division of Trading and Markets regarding an October 13, 2010 meeting with Financial Services Forum |
| Oct. 8, 2010 | Memorandum from the Division of Trading and Markets regarding an October 8, 2010 meeting with representatives of Bank of America |
| Oct. 8, 2010 | Memorandum from the Office of the Chairman regarding an October 6, 2010, meeting with representatives of the Financial Services Forum |
| Oct. 8, 2010 | Memorandum from the Office of the Chairman regarding an October 1, 2010, meeting with representatives of the Financial Services Roundtable |
| Oct. 6, 2010 | Memorandum from the Division of Trading and Markets regarding an October 6, 2010 meeting with representatives of ICE Link |
| Oct. 5, 2010 | Memorandum from the Division of Trading and Markets regarding an October 4, 2010 meeting with representatives of the Association of Institutional Investors |
| Sep. 30, 2010 | Memorandum from the Division of Trading and Markets regarding a September 30, 2010 meeting representatives of the ICE Trust |
| Sep. 29, 2010 | Memorandum from the Office of the Chairman regarding a September 21, 2010, meeting with representatives of NYSE |
| Sep. 28, 2010 | Memorandum from the Division of Trading and Markets regarding a September 28, 2010 meeting with representatives of Goldman Sachs |
| 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. 23, 2010 | Memorandum from the Division of Trading and Markets regarding a September 21, 2010 meeting with the Financial Services Roundtable |
| 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. 15, 2010 | Memorandum from the Office of Commissioner Paredes regarding a September 8, 2010, meeting with representatives of Credit Suisse |
| Sep. 15, 2010 | Memorandum from the Office of Commissioner Troy A. Paredes regarding an August 31, 2010 meeting with representatives of the Managed Funds Association |
| Sep. 10, 2010 | Memorandum from the Division of Trading and Markets regarding a September 9, 2010 meeting with representatives of the Alternative Investment Management Association (AIMA) |
| Sep. 9, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a September 8, 2010 meeting with representatives from the Alternative Investment Management Association |
| Sep. 8, 2010 | Memorandum from the Division of Trading and Markets regarding a September 8, 2010 meeting with representatives of Tradeweb, LLC |
| Sep. 7, 2010 | Memorandum from the Division of Trading and Markets regarding a September 2, 2010 meeting with representatives of Assured Guaranty |
| Sep. 1, 2010 | Memorandum from the Division of Trading and Markets regarding a September 1, 2010 teleconference with representatives of Goldman, Sachs & Co. and Goldman Sachs Execution & Clearing 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")" |
| Sep. 1, 2010 | Memorandum from the Office of Commissioner Walter regarding an August 31, 2010 meeting with representatives of the Managed Funds Association |
| Aug. 31, 2010 | Memorandum from the Division of Trading and Markets regarding an August 31, 2010 meeting with representatives of the Managed Funds Association |
| 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. 24, 2010 | Memorandum from the Division of Trading and Markets regarding an August 23, 2010 meeting with representatives of the National Association of College and University Business Officers (NACUBO) |
| Aug. 24, 2010 | Memorandum from the Office of International Affairs regarding an August 16, 2010 meeting with representatives of the Government of Singapore Investment Corporation |
| Aug. 16, 2010 | Memorandum from the Office of Commissioner Paredes regarding an August 16, 2010, meeting with representatives of Nasdaq |
| Aug. 13, 2010 | Memorandum from the Office of Commissioner Troy A. Paredes regarding an August 13, 2010 meeting with representatives from The Cypress Group and Koch Companies Public Sector, LLC |
| 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 |
http://www.sec.gov/comments/df-title-vii/mandatory-clearing/mandatory-clearing.shtml
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