Reminder: Public Meeting December 1st

WHAT: CFTC to hold Public Meeting on Sixth Series of Proposed Rules.  Topics  to be discussed

  • Core principles and other requirements for designated contract markets;
  • General regulations for derivatives clearing organizations;
  • Information management requirements for derivatives clearing organizations;
  • Reporting, recordkeeping and daily trading records requirements for swap dealers and major swap participants; and
  • Further definition of “swap dealer,” “security-based swap dealer,” “major swap participant” and “eligible contract participant.

The Commission may also vote on a notice of future scheduled meetings to consider various proposed rules.

BENEFIT OF PARTICIPATING: Market participants will gain insight into the regulatory structure of derivatives clearing organizations, swap dealers, and major swap participants.

WHO MAY BE INTERESTED IN PARTICIPATING: Legal, compliance, treasury and risk management functions, as well as institutional client representatives (sales coverage), of

a) Swap dealers and major swap participants

b) Asset managers and their institutional clients

c) Energy and agricultural traders or physical commodity traders

d) Clearinghouses (i.e., DCO’s and clearing agencies)

Bottom line: If you trade or deal in derivatives (or someday expect to trade or deal in derivatives), then you probably have an interest in the topics that will be covered by this roundtable since it will discuss the regulatory structure of swap dealers and major swap participants.

DATE: December 1st

TIME: 9:30 a.m. – 5:30 p.m. EST

HOW TO PARTICIPATE (According to CFTC website):

Watch a live broadcast of the meeting via webcast on

OR Dial in at

US Toll-Free: 1-203-607-0666
(Non U.S.-Dial Information available at
• Passcode: 1693567