Segregation and Bankruptcy
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Segregation & Bankruptcy for both Cleared and Uncleared Swaps
The Commission has issued proposed rules to implement the Dodd-Frank Wall Street Reform and Consumer Protection Act, and is seeking input on these rules from the public.
A list of proposed rules for this topic, along with other related Federal Register notices, is provided below. Members of the public are encouraged to review proposed rules, and offer comment by clicking the associated "Comment File" link.
Additional information regarding Segregation & Bankruptcy for both Cleared and Uncleared Swaps is provided below, including factsheets for each proposed rule, and details of meetings held between CFTC staff and outside parties.
Related Federal Register Releases
Final Rule: 77 FR 6336 //PDF Version
2/7/2012
17 CFR Parts 22 and 190 Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions
Effective Date: April 9, 2012Proposed Rule: 76 FR 33818 // PDF Version
6/9/2011
17 CFR Parts 22 and 190 Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions
Comment File - Closing Date: 8/8/2011
----See Also----
76 FR 35141 // PDF Version
6/16/2011
Correction: 17 CFR Parts 22 and 190 Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions; CorrectionProposed Rule: 75 FR 75432 // PDF Version
12/3/2010
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
Comment File - Extended Date: 6/3/2011Proposed Rule: 75 FR 75162 // PDF Version
12/2/2010
17 CFR Part 190 Protection of Cleared Swaps Customers Before and After Commodity Broker Bankruptcies
Comment File - Closing Date: 1/18/2011Additional Information
Fact Sheet: Final Rule on the Protection of Cleared Swaps Customer Contracts and Collateral and Conforming Amendments to the Commodity Broker Bankruptcy Provisions
Q&A: Final Rule on the Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy ProvisionsEvent: Open Meeting on Three Final Rules, One Proposed Rule and a Delegation of Authority Order
Event: CFTC Staff Roundtable to Discuss Protection of Cleared Swaps Customer Collateral
- Transcript
- Roundtable Comment FileFact Sheet: Proposed Rule on the Protection of Cleared Swaps Customer Contracts and Collateral and Conforming Amendments to the Commodity Broker Bankruptcy Provisions
Q&A: Protection of Cleared Swaps Customer Contracts and CollateralEvent: Open Meeting on Fourteenth Series of Proposed Rules under the Dodd-Frank Act
Fact Sheet: Advanced Notice of Proposed Rulemaking on Protection of Cleared Swaps Customers Before And After Commodity Broker Bankruptcies
Q&A: Protection of Cleared Swaps Customers Before And After Commodity Broker BankruptciesFact Sheet: Proposed Rule on Protection of Collateral of Counterparties to Uncleared Swaps
Q&A: Protection of Collateral of Counterparties to Uncleared SwapsEvent: Open Meeting on Fifth Series of Proposed Rules under the Dodd-Frank Act
Deutsche Bank
Goldman Sachs
ISDA
PIMCO
Societs Generale
VII. DCO Core Principles
VIII. Process for Review of Swaps
XIII. SEF Registration
XVIII. Real Time Reporting
Brevan Howard, Inc.
Citadel LLC
Convexity Capital Management
D.E. Shaw & Co.
Eton Park Capital Management, LP
HBK Capital Management
King Street Capital Management, LP
MFA
VII. DCO Core Principles
VIII. Process for Review of Swaps
XIII. SEF Registration
XVIII. Real Time Reporting
Goldman Sachs Assets Management
MFS
PIMCO
Vanguard
Investment Adviser Assoc.
ICI
Managed Fund Association
SIFMA AMG
Davis Polk
Citadel
HBK
T. Rowe Price
Credit Suisse Securities (USA), LLC
Goldman, Sachs & Co.
Katten Muchin Rosenman LLP
Credit Suisse Securities (USA), LLC
Newedge USA, LLC
Futures Industry Association Inc.
VI. Segregation and Bankruptcy
Davis Polk
Fidelity
GM Asset Management
Goldman Sachs Asset Management
SIFMA
SIFMA Asset Management Group
VI. Segregation and Bankruptcy
Morgan Stanley
J.P. Morgan
Goldman Sachs
Mayer Brown
VI. Segregation and Bankruptcy
Teachers Retirement System of Texas
State of Wisconsin Investment Board
Lussier, Gregor, Vienna & Associates
Teachers Retirement System of Texas
State of Wisconsin Investment Board
Lussier, Gregor, Vienna & Assoiciates
VI. Segregation and Bankruptcy
Teachers Retirement System of Texas (TRST)
State of Wisconsin Investment Board (SWIB)
Lussier, Gregor, Vienna & Associates (LGV&A)
American Benefits Council
The European Pension Federation
Franklin Advisors, Inc.
General Motors Pension Fund
NISA Investment Advisors
D.E. Shaw & Co.
International Swaps & Derivatives Association (ISDA)
JPMorgan Chase & Co.
Morgan Stanley
PIMCO
VIII. Process for Review of Swaps
XIII. SEF Registration
XVII. Data Recordkeeping
XVIII. Real Time Reporting
XII. DCM Core Principles
Goldman Sachs
Deutsche Bank
JPMorgan Chase
Katten Muchin Rosenman LLP
Credit Suisse
Goldman Sachs
U.S. Steel & Carnegie Pension Fund
Clifford Chance US LLP
Winston & Strawn LLP
Skadden, Arps, Slate, Meagher & Flom LLP
Clifford Chance US LLP
JP Morgan
Morgan Stanley
V. Capital & Margin
VI. Segregation and Bankruptcy
VIII. Process for Review of Swaps
XIII. SEF Registration
XVIII. Real Time Reporting
King Street
Blue Mountain
D.E. Shaw
V. Capital & Margin
VI. Segregation and Bankruptcy
VII. DCO Core Principles
VIII. Process for Review of Swaps
XIII. SEF Registration
Wellington
Goldman Sachs Asset Management
VI. Segregation and Bankruptcy
VII. DCO Core Principles
VIII. Process for Review of Swaps
XIII. SEF Registration
VII. DCO Core Principles
XII. DCM Core Principles
XXVI. Position Limits
Bank of America Merrill Lynch
Allen & Overy
CME Group
Katten Muchin Rosenman
BlackRock
Citadel, Delta Strategy Group (Delta)
D.E. Shaw Group (D.E. Shaw)
DRW Trading Group (DRW)
Tudor Investment Corporation (Tudor)
VII. DCO Core Principles
VIII. Process for Review of Swaps
VII. DCO Core Principles
VIII. Process for Review of Swaps
Rich Feuer Group
XVI. Swap Data Repositories Registration
VII. DCO Core Principles
XII. DCM Core Principles
XIII. SEF Registration
VI. Segregation and Bankruptcy
XI. End-user Exception
Delta Strategy Group
King Street Capital Management
BlueMountain Capital Management, LLC
Citadel LLC
Brevan Howard, Inc.
Tudor Investment Corporation
VI. Segregation and Bankruptcy
IX. Governance & Possible Limits
XII. DCM Core Principles
XIII. SEF Registration
XVI. Swap Data Repositories Registration
XXIII. Anti-Manipulation
XXIV. Disruptive Trading Practices
Davis & Harman (DM)
NISA Investment Advisors (NISA)
Association for Financial Professionals (AFP)
Skadden (S)
American Benefits Council (ABC)
Winston & Strawn (WS)
III. Business Conduct Standards w/ Counterparties
VI. Segregation and Bankruptcy
XVI. Swap Data Repositories Registration
Davis Polk & Wardwell LLP (DPW)
VI. Segregation and Bankruptcy
VII. DCO Core Principles
IX. Governance & Possible Limits
VI. Segregation and Bankruptcy
VII. DCO Core Principles
Sullivan & Cromwell LLP
VI. Segregation and Bankruptcy
XXVI. Position Limits
Creidit Suisse
Goldman Sachs
Newedge
Katten Muchin
Futures Industry(FIA)
VI. Segregation and Bankruptcy
VII. DCO Core Principles
UBS Investment Bank
MetLife, Inc.
State Street
JPMorgan Chase & Co.
Credit Suisse
Prudential Financial
Goldman Sachs
Deutsche Bank Americas
BNY Mellon
Financial Services Forum
VII. DCO Core Principles
IX. Governance & Possible Limits
X. Systemically Important DCO Rules
American Benefits Council
GM Pension
Boeing
Nisa Investment Advisors
Skadden Arps
Winston & Strawn
Winston & Strawn
XVI. Swap Data Repositories Registration
II. Definitions
V. Capital & Margin
VI. Segregation and Bankruptcy
VII. DCO Core Principles
VIII. Process for Review of Swaps
IX. Governance & Possible Limits
X. Systemically Important DCO Rules
XI. End-user Exception
VII. DCO Core Principles
X. Systemically Important DCO Rules
XIII. SEF Registration
VII. DCO Core Principles
X. Systemically Important DCO Rules
XIII. SEF Registration
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards - Internal
V. Capital & Margin
VI. Segregation and Bankruptcy
VIII. Process for Review of Swaps
XI. End-user Exception
XXVI. Position Limits
Vanguard
Chicago Mercantile Exchange
London Clearinghouse
Barclays Capital
JP Morgan
Morgan Stanley
BNY Mellon
JP Morgan
Goldman Sachs
Barclays
Morgan Stanley
VI. Segregation and Bankruptcy
XV. Rule Certification
Goldman Sachs
Bank of America-Merrill Lynch
Citigroup
Credit Suisse
General
VII. DCO Core Principles
X. Systemically Important DCO Rules
VII. DCO Core Principles
IX. Governance & Possible Limits
Brevan Howard
King Street Capital Management, LLC
Managed Funds Association (MFA)
HPK Investments LP
BlueMountain Capital Management
SAC Capital Advisors, LP (SAC)
The D.E. Shaw Group
Barclays
Citi
Credit Suisse
Deutsche Bank
Goldman
HSBC
JP Morgan
Katten
MF GLobal
Morgan Stanley
Newedge
Nomura
Prudential
State Street
UBS
Macquarie
RJ O'Brien
From External Meeting on 12/15/2011
From External Meeting on 4/15/2011
David Murphy
Independent Community Bankers of America
StateStreet, From External Meeting on 11/16/2010
American Public Gas Association
National Sorghum Producers
BlackRock
National Farmers Organization
American Public Gas Association
National Rural Electric Cooperative Association
OTC Derivatives Regulators' Forum
OTC Derivatives Regulators' Forum
OTC Derivatives Regulators' Forum
OTC Derivatives Regulators’ Forum, From External Meeting on 11/2/2010
OTC Derivatives Regulators Forum, From External Meeting on 11/2/2010
SGX ASIACLEAR, From External Meeting on 11/2/2010
OTC Derivatives Regulators’ Forum, From External Meeting on 11/2/2010
Commodity Futures Trading Commission
Newedge USA, LLC
BlackRock
Natural Gas Supply Association
BlackRock
Natural Gas Supply Association (NGSA), From External Meeting on 9/29/2010
Blackrock, From External Meeting on 9/28/2010
Blackrock, From External Meeting on 9/23/2010
Futures Industry Association
Futures Industry Association, From External Meeting on 9/15/2010
Argus Oil Market Regulation Summit 2010
See Also:
