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Capital & Margin
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Capital & Margin for Non-banks
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 Capital & Margin for Non-banks is provided below, including factsheets for each proposed rule, and details of meetings held between CFTC staff and outside parties.
Related Federal Register Releases
Proposed Rule: 76 FR 58176 // PDF Version
9/20/2011
17 CFR Part 23 Swap Transaction Compliance and Implementation Schedule: Trading Documentation and Margining Requirements under Section 4s of the CEA
Comment File - Closing Date: 11/4/2011Proposed Rule: 76 FR 27802 // PDF Version
5/12/2011
17 CFR Parts 1, 23, and 140 Capital Requirements of Swap Dealers and Major Swap Participants
Comment File - Closing Date: 7/11/2011Proposed Rule: 76 FR 23732 // PDF Version
4/28/2011
17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Comment File - Extended Date: 7/11/2011
----See Also----
76 FR 27621 // PDF Version
Comments Extension: 17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap ParticipantsAdditional Information
Fact Sheet: Proposed Rules Regarding Capital Requirements for Swap Dealers and Major Swap Participants
Q&A: Capital Requirements for Swap Dealers and Major Swap ParticipantsEvent: Open Meeting on Fourteenth Series of Proposed Rules under the Dodd-Frank Act
Fact Sheet: Proposed Rules Regarding Margin for Uncleared Swaps
Q&A: Proposed Rules Regarding Margin for Uncleared SwapsEvent: Open Meeting on Thirteenth Series of Proposed Rules under the Dodd-Frank Act
Date
MEETING WITH
REGARDING RULEMAKING
Alernative Investment Management Association (AIMA)
V. Capital & Margin
General
General
Markit
arkitSERV
M
Markit Valuations
DTCC
Latham & Watkins
arkitSERV
M
Markit Valuations
DTCC
Latham & Watkins
III. Business Conduct Standards w/ Counterparties
V. Capital & Margin
General
V. Capital & Margin
General
Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
II. Definitions
V. Capital & Margin
XI. End-user Exception
V. Capital & Margin
XI. End-user Exception
BP
II. Definitions
III. Business Conduct Standards w/ Counterparties
V. Capital & Margin
XXVI. Position Limits
III. Business Conduct Standards w/ Counterparties
V. Capital & Margin
XXVI. Position Limits
LCH.Clearnet
V. Capital & Margin
VII. DCO Core Principles
VIII. Process for Review of Swaps
VII. DCO Core Principles
VIII. Process for Review of Swaps
Companies in the oil & gas industry and financial companies engaged in swaps with energy market participants.
II. Definitions
V. Capital & Margin
XI. End-user Exception
General
V. Capital & Margin
XI. End-user Exception
General
John Deere, Caterpillar, Boeing, Siemens, Volvo, Toyota, Ford, GM, Honda
V. Capital & Margin
BlackRock
Fidelity Investments
Goldman Sachs Asset Management
MFS
PIMCO
SIFMA
Vanguard
Wellington
Davis Polk and Wardwell
Fidelity Investments
Goldman Sachs Asset Management
MFS
PIMCO
SIFMA
Vanguard
Wellington
Davis Polk and Wardwell
V. Capital & Margin
American Council of Life Insurers (ACLI)
ING
MetLife
Prudential Financial
ING
MetLife
Prudential Financial
V. Capital & Margin
ABN AMRO, Amalgamated Metal Trading, Bank of America Merrill Lynch, BP Oil International, Citigroup, CME Group, Credit Suisse Securities, Deutsche Bank, Elliott Advisors, FOA, Goldman Sachs, ICE Futures, IG Group, JP Morgan, London Stock Exchange, Marex Financial, Monument Securities, Morgan Stanley, Natixis Commodity Markets, NYSE LIFFE, RWE Supply Trading, UBS
II. Definitions
V. Capital & Margin
VII. DCO Core Principles
XII. DCM Core Principles
XXVI. Position Limits
V. Capital & Margin
VII. DCO Core Principles
XII. DCM Core Principles
XXVI. Position Limits
Shell Energy N.A.
Shell Oil
Shell Oil
IV. Business Conduct Standards – Internal
V. Capital & Margin
XXVI. Position Limits
V. Capital & Margin
XXVI. Position Limits
JP Morgan Chase & Co.
I. Registration
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
V. Capital & Margin
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
V. Capital & Margin
Macquarie Holdings (U.S.A) Inc. (MH)
Macquarie Group (MG)
Macquarie Group Limited (MGL)
Sullivan & Cromwell
Macquarie Group (MG)
Macquarie Group Limited (MGL)
Sullivan & Cromwell
V. Capital & Margin
Morgan Stanley
I. Registration
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
V. Capital & Margin
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
V. Capital & Margin
UBS Americas, Inc.
II. Definitions
V. Capital & Margin
XII. DCM Core Principles
XIII. SEF Registration
V. Capital & Margin
XII. DCM Core Principles
XIII. SEF Registration
TMX Group
Natural Gas Exchange
Natural Gas Exchange
V. Capital & Margin
VIII. Process for Review of Swaps
General
VIII. Process for Review of Swaps
General
TMX Group
Natural Gas Exchange
Natural Gas Exchange
V. Capital & Margin
VIII. Process for Review of Swaps
VIII. Process for Review of Swaps
Jackson National Life Insurance (Jackson)
PPM America
Robertu & White
Office of Rep. Ed Perlmutter (CO-7)
PPM America
Robertu & White
Office of Rep. Ed Perlmutter (CO-7)
V. Capital & Margin
XVIII. Real Time Reporting
XVIII. Real Time Reporting
Height Analytics
Brigade Capital Management
Glenview Capital Management
Fir Tree Partners
Thompson, Siegel and Walmsley
Brigade Capital Management
Glenview Capital Management
Fir Tree Partners
Thompson, Siegel and Walmsley
V. Capital & Margin
XXVI. Position Limits
General
XXVI. Position Limits
General
Chatham Financial (Chatham)
Commodity Markets Council
Financial Executives International
National Association of Manufacturers (NAM)
Chamber of Commerce
GE Capital
John Deere
Constellation
Proctor and Gamble
IBM
BP
Energy Futures Holding
Real Estate RoundtableÂ
Gibson, Dunn & Crutcher LLP (Gibson Dunn)
Commodity Markets Council
Financial Executives International
National Association of Manufacturers (NAM)
Chamber of Commerce
GE Capital
John Deere
Constellation
Proctor and Gamble
IBM
BP
Energy Futures Holding
Real Estate RoundtableÂ
Gibson, Dunn & Crutcher LLP (Gibson Dunn)
V. Capital & Margin
American Securitzation Forum (ASF)
Credit Suisse Securities USA LLCÂ (Credit Suisse)
Dewey & LeBoeuf LLP (Dewey & LeBoeuf)
RBC Capital Markets (RBCCM)
Credit Suisse Securities USA LLCÂ (Credit Suisse)
Dewey & LeBoeuf LLP (Dewey & LeBoeuf)
RBC Capital Markets (RBCCM)
V. Capital & Margin
Geneva Energy Markets LLC (Geneva Energy)
Geneva Trading USA LLC (Geneva Trading)
Ogilvy Government Relations (Ogilvy)
Geneva Trading USA LLC (Geneva Trading)
Ogilvy Government Relations (Ogilvy)
V. Capital & Margin
XIII. SEF Registration
XIII. SEF Registration
Chrysler Group LLC (Chrysler)
GM Asset Management (GM)
NISA Investment Advisors LLC (NISA)
Skadden, Arps, Slate, Meagher & Flom LLP (Skadden)
GM Asset Management (GM)
NISA Investment Advisors LLC (NISA)
Skadden, Arps, Slate, Meagher & Flom LLP (Skadden)
V. Capital & Margin
CalPERS
III. Business Conduct Standards w/ Counterparties
V. Capital & Margin
XXVI. Position Limits
V. Capital & Margin
XXVI. Position Limits
Mizuho Securities USA, Inc. (MSUSA)
Sherman & Sterling LLP (Sherman & Sterling)
Sapient Global Markets (Sapient)
Sherman & Sterling LLP (Sherman & Sterling)
Sapient Global Markets (Sapient)
I. Registration
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
V. Capital & Margin
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
V. Capital & Margin
Business Roundtable
Chamber of Commerce
Financial Executives International
Agricultural Retailers Association
Chatham
GE
Ford
Chamber of Commerce
Financial Executives International
Agricultural Retailers Association
Chatham
GE
Ford
V. Capital & Margin
General
General
Business Roundtable
Chamber of Commerce
Financial Executives International
Agricultural Retailers Association
Chatham
GE
Ford
Chamber of Commerce
Financial Executives International
Agricultural Retailers Association
Chatham
GE
Ford
II. Definitions
V. Capital & Margin
General
V. Capital & Margin
General
Coalition for Derivatives End-Users
Chamber of Commerce
Business Roundtable
Chatham Financial
ConocoPhillips
GE
Cargill
John Deere
Constellation
Chamber of Commerce
Business Roundtable
Chatham Financial
ConocoPhillips
GE
Cargill
John Deere
Constellation
II. Definitions
V. Capital & Margin
VII. DCO Core Principles
V. Capital & Margin
VII. DCO Core Principles
Fidelity Investments
II. Definitions
V. Capital & Margin
XXVI. Position Limits
V. Capital & Margin
XXVI. Position Limits
Van Ness Feldman Law Firm
Nixon Peabody LLP
Colorado Springs Utilities
Sacremento Municipal Utility District Treasurer
Los Angeles Department of Water & Power
Public Utility District No. 1 of Chelan County
CEO Tacoma Public Utilities
Nixon Peabody LLP
Colorado Springs Utilities
Sacremento Municipal Utility District Treasurer
Los Angeles Department of Water & Power
Public Utility District No. 1 of Chelan County
CEO Tacoma Public Utilities
V. Capital & Margin
XVI. Swap Data Repositories Registration
XVII. Data Recordkeeping
XVI. Swap Data Repositories Registration
XVII. Data Recordkeeping
Van Ness Feldman Law Firm
Nixon Peabody LLP
Colorado Springs Utilities
Sacremento Municipal Utility District Treasurer
Los Angeles Deparment of Water and Power
Public Utility District No. 1 of Chelan County
CEO Tacoma Public Utilities
Nixon Peabody LLP
Colorado Springs Utilities
Sacremento Municipal Utility District Treasurer
Los Angeles Deparment of Water and Power
Public Utility District No. 1 of Chelan County
CEO Tacoma Public Utilities
V. Capital & Margin
XVI. Swap Data Repositories Registration
XVII. Data Recordkeeping
XVI. Swap Data Repositories Registration
XVII. Data Recordkeeping
Citi
JP Morgan
Morgan Stanley
JP Morgan
Morgan Stanley
II. Definitions
V. Capital & Margin
VI. Segregation and Bankruptcy
VIII. Process for Review of Swaps
XIII. SEF Registration
XVIII. Real Time Reporting
V. Capital & Margin
VI. Segregation and Bankruptcy
VIII. Process for Review of Swaps
XIII. SEF Registration
XVIII. Real Time Reporting
Citadel
King Street
Blue Mountain
D.E. Shaw
King Street
Blue Mountain
D.E. Shaw
IV. Business Conduct Standards – Internal
V. Capital & Margin
VI. Segregation and Bankruptcy
VII. DCO Core Principles
VIII. Process for Review of Swaps
XIII. SEF Registration
V. Capital & Margin
VI. Segregation and Bankruptcy
VII. DCO Core Principles
VIII. Process for Review of Swaps
XIII. SEF Registration
Nomura Holding America Inc. (NHA)
Nomura International PLC (NI)
Nomura Securities International Inc. (NSI)
Nomura International PLC (NI)
Nomura Securities International Inc. (NSI)
V. Capital & Margin
American Bankers' Association
V. Capital & Margin
XXVI. Position Limits
XXVI. Position Limits
Reval
LTD Group (LTD)
LTD Group (LTD)
III. Business Conduct Standards w/ Counterparties
V. Capital & Margin
V. Capital & Margin
Riverside Risk Advisors
II. Definitions
V. Capital & Margin
XI. End-user Exception
V. Capital & Margin
XI. End-user Exception
Credit Suisse
Millennium Capital
Marathon Capital
TRowe Price
BlackRock
Blue Mountain
Goldman Sachs Asset Management
King Street
Millennium Capital
Marathon Capital
TRowe Price
BlackRock
Blue Mountain
Goldman Sachs Asset Management
King Street
II. Definitions
V. Capital & Margin
XIII. SEF Registration
V. Capital & Margin
XIII. SEF Registration
Rabobank
Davis Polk
Davis Polk
I. Registration
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
V. Capital & Margin
XVII. Data Recordkeeping
XVIII. Real Time Reporting
General
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
V. Capital & Margin
XVII. Data Recordkeeping
XVIII. Real Time Reporting
General
Constellation
BP
GenOn
Cargill
Shell
Electrip Power Supply Association (EPSA)
BP
GenOn
Cargill
Shell
Electrip Power Supply Association (EPSA)
II. Definitions
V. Capital & Margin
XXI. Joint Rules w/ SEC
V. Capital & Margin
XXI. Joint Rules w/ SEC
Working Group of Commercial Energy Firms
I. Registration
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
V. Capital & Margin
XVII. Data Recordkeeping
XVIII. Real Time Reporting
General
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
V. Capital & Margin
XVII. Data Recordkeeping
XVIII. Real Time Reporting
General
MBIA
II. Definitions
V. Capital & Margin
XVI. Swap Data Repositories Registration
V. Capital & Margin
XVI. Swap Data Repositories Registration
European Banking Federation (EBF)
Swiss Bankers Association
Deutsche Bank
British Bankers Association
Association of German Banks
BNP Paribas
Swiss Bankers Association
Deutsche Bank
British Bankers Association
Association of German Banks
BNP Paribas
II. Definitions
V. Capital & Margin
V. Capital & Margin
Cleary Gottleib Steen and Hamilton LLP (Cleary Gottleib)
Securities and Exchange Commission (SEC)
Barclays
BNP Paribas
CitigroupÂ
Credit Suisse
Deutsche Bank
Morgan Stanley
Nomura
Societe Generale
Wells Fargo
Securities and Exchange Commission (SEC)
Barclays
BNP Paribas
CitigroupÂ
Credit Suisse
Deutsche Bank
Morgan Stanley
Nomura
Societe Generale
Wells Fargo
V. Capital & Margin
Institute of International Bankers
Royal Bank of Canada
Barclays Capital
BNP Paribas
Credit Suisse
Deutsche Bank
HSBC
Rabobank
Societe Generale
The Royal Bank of Scotland
UBS
Clearly Gottlieb
Royal Bank of Canada
Barclays Capital
BNP Paribas
Credit Suisse
Deutsche Bank
HSBC
Rabobank
Societe Generale
The Royal Bank of Scotland
UBS
Clearly Gottlieb
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
V. Capital & Margin
XVII. Data Recordkeeping
XVIII. Real Time Reporting
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards – Internal
V. Capital & Margin
XVII. Data Recordkeeping
XVIII. Real Time Reporting
V. Capital & Margin
IX. Governance & Possible Limits
XXVI. Position Limits
General
IX. Governance & Possible Limits
XXVI. Position Limits
General
Independent Petroleum Association of America (IPAA)
II. Definitions
V. Capital & Margin
XI. End-user Exception
V. Capital & Margin
XI. End-user Exception
Better Markets
V. Capital & Margin
VII. DCO Core Principles
VIII. Process for Review of Swaps
XXIV. Disruptive Trading Practices
VII. DCO Core Principles
VIII. Process for Review of Swaps
XXIV. Disruptive Trading Practices
Natural Gas Supply Association and National Corn Growers Association
II. Definitions
V. Capital & Margin
XI. End-user Exception
V. Capital & Margin
XI. End-user Exception
Managed Funds Association
I. Registration
II. Definitions
IV. Business Conduct Standards – Internal
V. Capital & Margin
II. Definitions
IV. Business Conduct Standards – Internal
V. Capital & Margin
NextEra Energy Resources, LLC
II. Definitions
V. Capital & Margin
XI. End-user Exception
XVII. Data Recordkeeping
XVIII. Real Time Reporting
V. Capital & Margin
XI. End-user Exception
XVII. Data Recordkeeping
XVIII. Real Time Reporting
Ernst & Young LLP
FTI Consulting, Inc.
SolutionPoint International, Inc.
University of Maryland School of Law
All Stars Project, Inc.
NextEra Energy Resources, LLC
Elliot Management Corporation
FTI Consulting, Inc.
SolutionPoint International, Inc.
University of Maryland School of Law
All Stars Project, Inc.
NextEra Energy Resources, LLC
Elliot Management Corporation
V. Capital & Margin
VII. DCO Core Principles
XVI. Swap Data Repositories Registration
XVII. Data Recordkeeping
XVIII. Real Time Reporting
VII. DCO Core Principles
XVI. Swap Data Repositories Registration
XVII. Data Recordkeeping
XVIII. Real Time Reporting
Better Markets, Inc. (BMI)
V. Capital & Margin
IX. Governance & Possible Limits
XII. DCM Core Principles
XIII. SEF Registration
XXVI. Position Limits
IX. Governance & Possible Limits
XII. DCM Core Principles
XIII. SEF Registration
XXVI. Position Limits
National Ass'n of REITs (NAREIT); Chatham Financial; National Ass'n of Manufacturers (NAM); Gibson Dunn law firm; and GE Capital (GE).
V. Capital & Margin
XI. End-user Exception
XI. End-user Exception
Bank of America Merrill Lynch (BoA/ML)
Goldman Sachs (GS)
JP Morgan Chase (JP)
Goldman Sachs (GS)
JP Morgan Chase (JP)
V. Capital & Margin
State Street
Davis Polk & Wardwell LLP (DPW)
Davis Polk & Wardwell LLP (DPW)
V. Capital & Margin
VI. Segregation and Bankruptcy
VI. Segregation and Bankruptcy
Aces Power Marketing Co-ops of America (Aces Power)
American Public Gas Association (APGA)
American Public Power Association (APPA)
National Rural Electric Cooperatives Association (NRECA)
New York Power Authority (NYPA)
Schiff Hardin, LLP (Schiff Hardin)
American Public Gas Association (APGA)
American Public Power Association (APPA)
National Rural Electric Cooperatives Association (NRECA)
New York Power Authority (NYPA)
Schiff Hardin, LLP (Schiff Hardin)
V. Capital & Margin
Chesapeake Energy Corporation
Delta Strategy Group
Delta Strategy Group
II. Definitions
V. Capital & Margin
V. Capital & Margin
Apache Corporation (Apache)
Bracewell and Giuliani (Bracewell)
Competitive Power Ventures, Inc (Competitive Power)
El Paso Corporation (El Paso)
Iberdrola Renewables, Inc. (Iberdorola)
Markwest Energy Partners, L.P. (Markwest)
Noble Energy, Inc. (Noble)
Shell Energy North America (Shell)
Bracewell and Giuliani (Bracewell)
Competitive Power Ventures, Inc (Competitive Power)
El Paso Corporation (El Paso)
Iberdrola Renewables, Inc. (Iberdorola)
Markwest Energy Partners, L.P. (Markwest)
Noble Energy, Inc. (Noble)
Shell Energy North America (Shell)
V. Capital & Margin
XI. End-user Exception
XI. End-user Exception
Cargill Risk Management
V. Capital & Margin
XI. End-user Exception
XIX. Agricultural Swaps
XXVI. Position Limits
XI. End-user Exception
XIX. Agricultural Swaps
XXVI. Position Limits
Electric Power Supply Association (EPSA)
PSEG Energy Resources & Trade (PSEG)
NRG Energy (NRG)
Constellation Energy
Calpine
Mirant Corporation (Mirant)
Sutherland
PSEG Energy Resources & Trade (PSEG)
NRG Energy (NRG)
Constellation Energy
Calpine
Mirant Corporation (Mirant)
Sutherland
II. Definitions
V. Capital & Margin
V. Capital & Margin
EPSA
PSEG Energy Resources
Calpine
Sutherland
Constellation Energy
NRG
PSEG Energy Resources
Calpine
Sutherland
Constellation Energy
NRG
II. Definitions
V. Capital & Margin
V. Capital & Margin
Cargill Risk Management
V. Capital & Margin
XI. End-user Exception
XIX. Agricultural Swaps
XXVI. Position Limits
XI. End-user Exception
XIX. Agricultural Swaps
XXVI. Position Limits
Cargill Risk Management
V. Capital & Margin
XI. End-user Exception
XXVI. Position Limits
XI. End-user Exception
XXVI. Position Limits
Electric Power Supply Association (EPSA)
I. Registration
II. Definitions
V. Capital & Margin
II. Definitions
V. Capital & Margin
Cargill Risk Management
V. Capital & Margin
XI. End-user Exception
XXVI. Position Limits
XI. End-user Exception
XXVI. Position Limits
Tudor Investment
Sullivan & Cromwell LLP
Sullivan & Cromwell LLP
V. Capital & Margin
VI. Segregation and Bankruptcy
XXVI. Position Limits
VI. Segregation and Bankruptcy
XXVI. Position Limits
Winston & Strawn
CME Group
Chesapeake Energy
Citadel
Caterpillar, Inc.
Delta Strategies
U.S. Chamber of Commerce
The Boeing Company
TruMarx Data Partners Inc.
GTCR Golder Rauner
The PrivateBank & Trust Co.
McGuire Woods
Chatham
Deere & Company
IMC Financial Markets
Inland
CME Group
Chesapeake Energy
Citadel
Caterpillar, Inc.
Delta Strategies
U.S. Chamber of Commerce
The Boeing Company
TruMarx Data Partners Inc.
GTCR Golder Rauner
The PrivateBank & Trust Co.
McGuire Woods
Chatham
Deere & Company
IMC Financial Markets
Inland
II. Definitions
V. Capital & Margin
XI. End-user Exception
XVIII. Real Time Reporting
XXVI. Position Limits
V. Capital & Margin
XI. End-user Exception
XVIII. Real Time Reporting
XXVI. Position Limits
Edison Electric Institute (EEI)
American Electric Power (AEP)
Exelon
Florida Power and Light Company (FPL)
NextEra Energy (NextEra)
American Electric Power (AEP)
Exelon
Florida Power and Light Company (FPL)
NextEra Energy (NextEra)
V. Capital & Margin
XI. End-user Exception
XI. End-user Exception
Edison Mission Energy
PSEG
Sempra Energy
NRG
NRG
BP
Constellation Energy
Shell Energy North America
Exelon Generation Co.
Bracewell Giuliani
Electric Power Supply Association (EPSA)
Sutherland
PSEG
Sempra Energy
NRG
NRG
BP
Constellation Energy
Shell Energy North America
Exelon Generation Co.
Bracewell Giuliani
Electric Power Supply Association (EPSA)
Sutherland
V. Capital & Margin
Shell Energy North America
V. Capital & Margin
XVIII. Real Time Reporting
XXVI. Position Limits
XVIII. Real Time Reporting
XXVI. Position Limits
J.P. Morgan Chase & Co.
I. 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
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
Natural Gas Supply Association
I. 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
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
Energy End User Coalition
V. Capital & Margin
XVII. Data Recordkeeping
XVIII. Real Time Reporting
XVII. Data Recordkeeping
XVIII. Real Time Reporting
Caisse de depot et placement du Quebec
ATB Financial
Jones Day
ATB Financial
Jones Day
V. Capital & Margin
VIII. Process for Review of Swaps
VIII. Process for Review of Swaps
Morgan Stanley (MS)
Capital Alpha (CA)
Chesapeake Management Co. (CMC)
Millenium Partners (MP)
Deka (D)
Dutko Worldwide
Capital Alpha (CA)
Chesapeake Management Co. (CMC)
Millenium Partners (MP)
Deka (D)
Dutko Worldwide
II. Definitions
V. Capital & Margin
XXVI. Position Limits
V. Capital & Margin
XXVI. Position Limits
U.S. Chamber of Commerce
II. Definitions
V. Capital & Margin
XVIII. Real Time Reporting
V. Capital & Margin
XVIII. Real Time Reporting
Chamber of Commerce
K&L Gates
Caterpillar, Inc.
Constellation Energy
Chatham Financial
Boeing
The Walt Disney Company
Wholesale Markets Brokers Association, Americas
IBM
Thomson Reuters
CME Clearing
FMC Corporation
NASDAQ OMX
Trustmark Corporation
K&L Gates
Caterpillar, Inc.
Constellation Energy
Chatham Financial
Boeing
The Walt Disney Company
Wholesale Markets Brokers Association, Americas
IBM
Thomson Reuters
CME Clearing
FMC Corporation
NASDAQ OMX
Trustmark Corporation
II. Definitions
V. Capital & Margin
XI. End-user Exception
V. Capital & Margin
XI. End-user Exception
Industrial Energy Consumers of America (IECA)
V. Capital & Margin
XI. End-user Exception
XVII. Data Recordkeeping
XXI. Joint Rules w/ SEC
XXIII. Anti-Manipulation
XXVI. Position Limits
General
XI. End-user Exception
XVII. Data Recordkeeping
XXI. Joint Rules w/ SEC
XXIII. Anti-Manipulation
XXVI. Position Limits
General
ISDA
MorganStanley
CitiBank
Societe Generale
Deutsche Bank
DE Shaw
MorganStanley
CitiBank
Societe Generale
Deutsche Bank
DE Shaw
II. Definitions
V. Capital & Margin
VIII. Process for Review of Swaps
XIII. SEF Registration
V. Capital & Margin
VIII. Process for Review of Swaps
XIII. SEF Registration
International Swaps and Derivatives Association's Regional Conference
II. Definitions
V. Capital & Margin
VIII. Process for Review of Swaps
XIII. SEF Registration
V. Capital & Margin
VIII. Process for Review of Swaps
XIII. SEF Registration
Morgan Stanley
I. Registration
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards - Internal
V. Capital & Margin
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards - Internal
V. Capital & Margin
Shiff Hardin
The Energy Authority
National Rural Electric Cooperative Association (NRECA)
American Public Power Association (APPA)
ACES Power Marketing
American Public Gas Association (APGA)
The Energy Authority
National Rural Electric Cooperative Association (NRECA)
American Public Power Association (APPA)
ACES Power Marketing
American Public Gas Association (APGA)
II. Definitions
V. Capital & Margin
XI. End-user Exception
XVII. Data Recordkeeping
XVIII. Real Time Reporting
XXVI. Position Limits
V. Capital & Margin
XI. End-user Exception
XVII. Data Recordkeeping
XVIII. Real Time Reporting
XXVI. Position Limits
Morgan Stanley
I. Registration
II. Definitions
III. Business Conduct Standards w/ Counterparties
V. Capital & Margin
II. Definitions
III. Business Conduct Standards w/ Counterparties
V. Capital & Margin
National Council of Farmer Cooperatives (NCFC)
Land O'Lakes
Growmark
Dairy Farmers of America (DFA)
CHS, Inc. (CHS)
Land O'Lakes
Growmark
Dairy Farmers of America (DFA)
CHS, Inc. (CHS)
II. Definitions
V. Capital & Margin
XI. End-user Exception
XIX. Agricultural Swaps
V. Capital & Margin
XI. End-user Exception
XIX. Agricultural Swaps
CHS, Inc.,
Dairy Farmers of America (DFA),
Growmark/ Agrivisor,
LandO'Lakes,
National Council of Farmer Cooperatives (NCFC)
Dairy Farmers of America (DFA),
Growmark/ Agrivisor,
LandO'Lakes,
National Council of Farmer Cooperatives (NCFC)
II. Definitions
V. Capital & Margin
XI. End-user Exception
XIX. Agricultural Swaps
V. Capital & Margin
XI. End-user Exception
XIX. Agricultural Swaps
National Council of Farmer Cooperatives
Land O'Lakes
Growmark
Dairy Farmers of America
CHS, Inc.
Land O'Lakes
Growmark
Dairy Farmers of America
CHS, Inc.
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards - Internal
V. Capital & Margin
XI. End-user Exception
XIX. Agricultural Swaps
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards - Internal
V. Capital & Margin
XI. End-user Exception
XIX. Agricultural Swaps
Alternative Investment Management Association (AIMA)
II. Definitions
V. Capital & Margin
VIII. Process for Review of Swaps
IX. Governance & Possible Limits
V. Capital & Margin
VIII. Process for Review of Swaps
IX. Governance & Possible Limits
State Regulators
NAIC
CSBS
NASAA
NAIC
CSBS
NASAA
II. Definitions
V. Capital & Margin
VII. DCO Core Principles
VIII. Process for Review of Swaps
X. Systemically Important DCO Rules
XI. End-user Exception
V. Capital & Margin
VII. DCO Core Principles
VIII. Process for Review of Swaps
X. Systemically Important DCO Rules
XI. End-user Exception
Coalition for Derivatives End Users
II. Definitions
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards - Internal
V. Capital & Margin
VII. DCO Core Principles
XVII. Data Recordkeeping
XVIII. Real Time Reporting
III. Business Conduct Standards w/ Counterparties
IV. Business Conduct Standards - Internal
V. Capital & Margin
VII. DCO Core Principles
XVII. Data Recordkeeping
XVIII. Real Time Reporting
Americans for Financial Reform
II. Definitions
III. Business Conduct Standards w/ Counterparties
V. Capital & Margin
VII. DCO Core Principles
VIII. Process for Review of Swaps
X. Systemically Important DCO Rules
XI. End-user Exception
XII. DCM Core Principles
XIII. SEF Registration
XVII. Data Recordkeeping
XVIII. Real Time Reporting
XXVI. Position Limits
III. Business Conduct Standards w/ Counterparties
V. Capital & Margin
VII. DCO Core Principles
VIII. Process for Review of Swaps
X. Systemically Important DCO Rules
XI. End-user Exception
XII. DCM Core Principles
XIII. SEF Registration
XVII. Data Recordkeeping
XVIII. Real Time Reporting
XXVI. Position Limits
Hunton & Williams LLP
FPL Group
NextEra Energy
Vitol, Inc.
Constellation Energy
BP North America
DTE Energy Trading, Inc.
Luminant Power
MidAmerican Energy
ConocoPhillips
Direct Energy
Direct Energy Upstream
Hess Corporation
FPL Group
NextEra Energy
Vitol, Inc.
Constellation Energy
BP North America
DTE Energy Trading, Inc.
Luminant Power
MidAmerican Energy
ConocoPhillips
Direct Energy
Direct Energy Upstream
Hess Corporation
II. Definitions
IV. Business Conduct Standards - Internal
V. Capital & Margin
XXI. Joint Rules w/ SEC
IV. Business Conduct Standards - Internal
V. Capital & Margin
XXI. Joint Rules w/ SEC
Date
SUBMISSION
03/01/2012
CFTC - Uncleared Margin Issues_1422 
From External Meeting on 3/1/2012
From External Meeting on 3/1/2012
10/20/2011
CorporateCollateral_ACLI_CFTC_SEC_1121
From External Meeting on 10/20/2011
From External Meeting on 10/20/2011
10/06/2011
Derivatives - Title VII Dodd-Frank Act
ICBA, From External Meeting on 10/6/2011
ICBA, From External Meeting on 10/6/2011
10/05/2011
Documents from 10/5 meeting
JP Morgan, From External Meeting on 10/5/2011
JP Morgan, From External Meeting on 10/5/2011
07/07/2011
FCM Capital Requirements - Discussion Points
UBS Securities LLC, From External Meeting on 7/7/2011
UBS Securities LLC, From External Meeting on 7/7/2011
07/06/2011
American Securitization Forum Discussion Points, Swap and Margin Rules
American Securitization Forum, From External Meeting on 7/6/2011
American Securitization Forum, From External Meeting on 7/6/2011
06/28/2011
Re: Margin and Capital Requirements for Covered Swap Entitles/File numbers RIN: 1557-D43; RIN: 7100 AD74; RIN: 3064-AD79; RIN 2590-AA45; RIN: 3052-AC69.
Ford Motor Credit Company, From External Meeting on 6/28/2011
Ford Motor Credit Company, From External Meeting on 6/28/2011
05/20/2011
Cross-Collateralizing Hedged Loans
Chatham Financial, From External Meeting on 5/20/2011
Chatham Financial, From External Meeting on 5/20/2011
04/22/2011
OTC Swap Market Rulemaking
Riverside Risk Advisors, From External Meeting on 4/22/2011
Riverside Risk Advisors, From External Meeting on 4/22/2011
04/12/2011
04/12/2011
04/08/2011
April 11 Mtg. Summary with Rabobank_752
From External Meeting on 4/8/2011
From External Meeting on 4/8/2011
03/10/2011
Financial Services Rountable participants
Financial Services Roundtable, From External Meeting on 3/10/2011
Financial Services Roundtable, From External Meeting on 3/10/2011
02/11/2011
Wall Street Reform and Consumer Act & Regulatory Implementation
Noble Energy, From External Meeting on 2/11/2011
Noble Energy, From External Meeting on 2/11/2011
02/04/2011
Margin requirements on oil contracts
Chris Gulve
Chris Gulve
01/26/2011
01/10/2011
12/10/2010
12/09/2010
17 CFR Parts 39 and 140 RIN 3038-AC98,3038-AD02 for refund amount noted form 30
Hanman Tilla Hanumandham Hanumand
Hanman Tilla Hanumandham Hanumand
12/09/2010
12/09/2010
12/09/2010
12/09/2010
12/09/2010
12/09/2010
17 CFR Parts 39 and 140 RIN 3038-AC98,3038-AD02 for refund amount noted form 30
Hanman Tilla Hanumandham Hanumandh
Hanman Tilla Hanumandham Hanumandh
12/09/2010
12/09/2010
12/09/2010
12/09/2010
12/09/2010
12/02/2010
Pre-NOPR Comments on Regulatory Capital and Margin Requirements
Barron, Melody R.
Barron, Melody R.
12/01/2010
11/24/2010
Re: Rulemakings for Capital and Margin Requirements under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Working Group of Commercial Energy Firms
Working Group of Commercial Energy Firms
11/23/2010
11/23/2010
SIFMA Comment on Capital Margin and Segregation Requirements_354
SIFMA, From External Meeting on 11/23/2010
SIFMA, From External Meeting on 11/23/2010
11/12/2010
Meeting with Commodity Futures Trading Commission Staff
Coalition of Physical Energy Companies
Coalition of Physical Energy Companies
11/12/2010
cope_317
Coalition of Physical Energy Companies (COPE), From External Meeting on 11/12/2010
Coalition of Physical Energy Companies (COPE), From External Meeting on 11/12/2010
10/27/2010
10/25/2010
Master Agreements, Netting, Credit and Collateral in Bilateral Energy Markets
Edison Electric Institute
Edison Electric Institute
10/25/2010
Master Agreements Netting Credit and Collateral in Energy Markets 10 25 10_227
Edison Electric Institute, From External Meeting on 10/25/2010
Edison Electric Institute, From External Meeting on 10/25/2010
10/13/2010
Potential Questions
Financial Services Forum
Financial Services Forum
10/13/2010
Potential_questions.10.8.10_189
Financial Services Forum, From External Meeting on 10/13/2010
Financial Services Forum, From External Meeting on 10/13/2010
09/29/2010
Natural Gas Supply Association
Natural Gas Supply Association
Natural Gas Supply Association
09/29/2010
NGSA CFTC Comments_09.28.2010_100
Natural Gas Supply Association (NGSA), From External Meeting on 9/29/2010
Natural Gas Supply Association (NGSA), From External Meeting on 9/29/2010
09/16/2010
Delegate List - 2010 ISDA Regional Conference
Delegate List - 2010 ISDA Regional Conference
Delegate List - 2010 ISDA Regional Conference
09/16/2010
ISDA 2010 Regional Conference Participants_19
ISDA, From External Meeting on 9/16/2010
ISDA, From External Meeting on 9/16/2010
09/15/2010
AGENDA: Meeting of the ?NFP Energy End User Coalition?
NFP Energy End User Coalition
NFP Energy End User Coalition
09/15/2010
Meeting Summary with Morgan Stanley_14
Morgan Stanley, From External Meeting on 9/15/2010
Morgan Stanley, From External Meeting on 9/15/2010
09/15/2010
CFTC Agenda - September 15 20101 (2)_26
NFP Energy End User Coalition, From External Meeting on 9/15/2010
NFP Energy End User Coalition, From External Meeting on 9/15/2010
09/14/2010
Dairy Farmer/Co-op Hedging
Dairy Farmer/Co-op Hedging
Dairy Farmer/Co-op Hedging
09/14/2010
Over the Counter Derivatives
Over the Counter Derivatives
Over the Counter Derivatives
09/14/2010
Grain Farmer/Co-op Hedging
Grain Farmer/Co-op Hedging
Grain Farmer/Co-op Hedging
09/14/2010
Farmer/Co-op Fuel Hedging
Farmer/Co-op Fuel Hedging
Farmer/Co-op Fuel Hedging
09/14/2010
Co-op Fertilizer Hedging
Co-op Fertilizer Hedging
Co-op Fertilizer Hedging
09/14/2010
NCFC Hedging Dairy_7
National Council of Farmer Cooperatives (NCFC), From External Meeting on 9/14/2010
National Council of Farmer Cooperatives (NCFC), From External Meeting on 9/14/2010
09/14/2010
Dodd-Frank OTC Derivatives 2010_7
National Council of Farmer Cooperatives (NCFC), From External Meeting on 9/14/2010
National Council of Farmer Cooperatives (NCFC), From External Meeting on 9/14/2010
09/14/2010
NCFC Fuel Farmer Co-op Hedging_7
National Council of Farmer Cooperatives (NCFC), From External Meeting on 9/14/2010
National Council of Farmer Cooperatives (NCFC), From External Meeting on 9/14/2010
09/14/2010
NCFC Hedging Fertilizer_7
National Council of Farmer Cooperatives (NCFC), From External Meeting on 9/14/2010
National Council of Farmer Cooperatives (NCFC), From External Meeting on 9/14/2010
09/14/2010
Docs from NCFC Meeting_8
National Council of Farmer Cooperatives (NCFC), From External Meeting on 9/14/2010
National Council of Farmer Cooperatives (NCFC), From External Meeting on 9/14/2010
09/14/2010
NCFC Grain Farmer Co-op Hedging_7
National Council of Farmer Cooperatives (NCFC), From External Meeting on 9/14/2010
National Council of Farmer Cooperatives (NCFC), From External Meeting on 9/14/2010
09/01/2010
dmb argus_72
Argus Oil Market Regulation Summit 2010
Argus Oil Market Regulation Summit 2010
08/23/2010
Electric Power Supply Association (ESPA)
Daniel Dolan
Daniel Dolan
See Also:
