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Systemically Important DCO Rules
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Systemically Important DCO Rules Authorized Under Title VIII
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 Business Conduct Standards w/ Counterparties 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: 75 FR 63113 // PDF Version
10/14/2010
17 CFR Parts 39 and 140 Financial Resources Requirements for Derivatives Clearing Organizations
Comment File - Extended Date: 6/3/2011Additional Information
Fact Sheet: Proposed Rule on Financial Resources Requirements for DCOs and SIDCOs
Q&A: DCOs and SIDCOsEvent: Open Meeting on First Series of Proposed Rules under the Dodd-Frank Act
Date
MEETING WITH
REGARDING RULEMAKING
The Options Clearing Corporation
VII. DCO Core Principles
X. Systemically Important DCO Rules
X. Systemically Important DCO Rules
Futures Industry Association (FIA)
VII. DCO Core Principles
X. Systemically Important DCO Rules
X. Systemically Important DCO Rules
FXall, LCH Clearnet, NYSE Euronext, Rich Feuer Group
VII. DCO Core Principles
X. Systemically Important DCO Rules
XII. DCM Core Principles
XIII. SEF Registration
X. Systemically Important DCO Rules
XII. DCM Core Principles
XIII. SEF Registration
CME Group
VII. DCO Core Principles
X. Systemically Important DCO Rules
XXIII. Anti-Manipulation
XXIV. Disruptive Trading Practices
XXVI. Position Limits
X. Systemically Important DCO Rules
XXIII. Anti-Manipulation
XXIV. Disruptive Trading Practices
XXVI. Position Limits
The Options Clearing Corporation (OCC)
VII. DCO Core Principles
X. Systemically Important DCO Rules
X. Systemically Important DCO Rules
Institute of International Bankers
VII. DCO Core Principles
IX. Governance & Possible Limits
X. Systemically Important DCO Rules
IX. Governance & Possible Limits
X. Systemically Important DCO Rules
Institute of International Bankers
VII. DCO Core Principles
IX. Governance & Possible Limits
X. Systemically Important DCO Rules
IX. Governance & Possible Limits
X. Systemically Important DCO Rules
Citi
UBS Investment Bank
MetLife, Inc.
State Street
JPMorgan Chase & Co.
Credit Suisse
Prudential Financial
Goldman Sachs
Deutsche Bank Americas
BNY Mellon
Financial Services Forum
UBS Investment Bank
MetLife, Inc.
State Street
JPMorgan Chase & Co.
Credit Suisse
Prudential Financial
Goldman Sachs
Deutsche Bank Americas
BNY Mellon
Financial Services Forum
VI. Segregation and Bankruptcy
VII. DCO Core Principles
IX. Governance & Possible Limits
X. Systemically Important DCO Rules
VII. DCO Core Principles
IX. Governance & Possible Limits
X. Systemically Important DCO Rules
Algebris Investments
VII. DCO Core Principles
X. Systemically Important DCO Rules
X. Systemically Important DCO Rules
Morgan Stanley
VII. DCO Core Principles
VIII. Process for Review of Swaps
IX. Governance & Possible Limits
X. Systemically Important DCO Rules
VIII. Process for Review of Swaps
IX. Governance & Possible Limits
X. Systemically Important DCO Rules
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
State Street Global Markets
VI. Segregation and Bankruptcy
VII. DCO Core Principles
X. Systemically Important DCO Rules
XIII. SEF Registration
VII. DCO Core Principles
X. Systemically Important DCO Rules
XIII. SEF Registration
State Street (SS)
VI. Segregation and Bankruptcy
VII. DCO Core Principles
X. Systemically Important DCO Rules
XIII. SEF Registration
VII. DCO Core Principles
X. Systemically Important DCO Rules
XIII. SEF Registration
Futures Industry Association
VII. DCO Core Principles
X. Systemically Important DCO Rules
X. Systemically Important DCO Rules
CME Group (CME)
Skadden, Arps, Slate, Meagher & Flom LLP (Skadden)
Skadden, Arps, Slate, Meagher & Flom LLP (Skadden)
VII. DCO Core Principles
X. Systemically Important DCO Rules
X. Systemically Important DCO Rules
Americans for Financial Reform
VII. DCO Core Principles
X. Systemically Important DCO Rules
X. Systemically Important DCO Rules
Goldman Sachs
VII. DCO Core Principles
IX. Governance & Possible Limits
X. Systemically Important DCO Rules
IX. Governance & Possible Limits
X. Systemically Important DCO Rules
LCH Clearnet
VI. Segregation and Bankruptcy
VII. DCO Core Principles
X. Systemically Important DCO Rules
VII. DCO Core Principles
X. Systemically Important DCO Rules
Kansas City Board of Trade (KCBT)
Kansas City Board of Trade Clearing Corporation (KCBTCC)
Kansas City Board of Trade Clearing Corporation (KCBTCC)
VII. DCO Core Principles
X. Systemically Important DCO Rules
X. Systemically Important DCO Rules
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
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
ISDA
SIFMA
SIFMA
II. Definitions
IX. Governance & Possible Limits
VII. DCO Core Principles
VIII. Process for Review of Swaps
X. Systemically Important DCO Rules
XIII. SEF Registration
XVII. Data Recordkeeping
XVIII. Real Time Reporting
XXI. Joint Rules w/ SEC
XXVIII. Volcker Rule
IX. Governance & Possible Limits
VII. DCO Core Principles
VIII. Process for Review of Swaps
X. Systemically Important DCO Rules
XIII. SEF Registration
XVII. Data Recordkeeping
XVIII. Real Time Reporting
XXI. Joint Rules w/ SEC
XXVIII. Volcker Rule
Date
SUBMISSION
03/14/2011
File memo FIA 3-14-11_604 
CFTC Memorandum
CFTC Memorandum
09/29/2010
Natural Gas Supply Association
Natural Gas Supply Association
Natural Gas Supply Association
09/21/2010
Discussions with the CFTC & SEC; Clearing
Goldman Sachs
Goldman Sachs
09/21/2010
Discussions with the CFTC & SEC - Clearing
The Goldman Sachs Group, Inc., From External Meeting on 9/21/2010
The Goldman Sachs Group, Inc., From External Meeting on 9/21/2010
09/01/2010
dmb argus_72
Argus Oil Market Regulation Summit 2010
Argus Oil Market Regulation Summit 2010
08/03/2010
Title VII Rulemakings
SEC/CFTC and ISDA/SIFMA
SEC/CFTC and ISDA/SIFMA
See Also:
