Dodd-Frank Meeting Logs
Securities Industry and Financial Markets Association
141 meetings found
- On 2010-08-03, met with the CFTC to discuss 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
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- On 2010-08-03, met with the SEC to discuss Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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- On 2010-08-03, met with the SEC to discuss Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act
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- On 2010-08-03, met with the SEC to discuss Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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- On 2010-08-23, Pat Fitzgerald, Edward Hida, Ashish Midha, others met with the FDIC to discuss Living Wills/Resolution Plans
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- On 2010-08-25, met with the CFTC to discuss III. Business Conduct Standards w/ Counterparties
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- On 2010-08-25, met with the SEC to discuss Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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- On 2010-08-30, met with the SEC to discuss Duties of Brokers, Dealers, and Investment Advisers
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- On 2010-08-31, met with the SEC to discuss Duties of Brokers, Dealers, and Investment Advisers
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- On 2010-09-14, met with the SEC to discuss Duties of Brokers, Dealers, and Investment Advisers
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- On 2010-09-27, met with the SEC to discuss Duties of Brokers, Dealers, and Investment Advisers
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- On 2010-09-30, met with the SEC to discuss Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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- On 2010-10-01, met with the SEC to discuss Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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- On 2010-10-07, met with the SEC to discuss Title IX Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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- On 2010-10-07, met with the SEC to discuss Duties of Brokers, Dealers, and Investment Advisers
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- On 2010-10-08, met with the SEC to discuss Duties of Brokers, Dealers, and Investment Advisers
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- On 2010-10-18, met with the SEC to discuss Duties of Brokers, Dealers, and Investment Advisers
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- On 2010-10-28, met with the SEC to discuss Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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- On 2010-11-01, met with the CFTC to discuss II. Definitions; XXVI. Position Limits
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- On 2010-11-04, met with the CFTC to discuss XVI. Swap Data Repositories Registration; XVII. Data Recordkeeping; XVIII. Real Time Reporting
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- On 2010-11-10, met with the CFTC to discuss VII. DCO Core Principles; VIII. Process for Review of Swaps; XXVI. Position Limits
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- On 2010-11-18, Thomas Sebastian from Gillie BAML, Troy Rohrbaugh from JPMorgan Chase, Daniel Silber from HSBC, others met with the Treasury to discuss FX
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- On 2010-11-18, met with the CFTC to discuss XXVI. Position Limits
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- On 2011-02-03, met with the CFTC to discuss General
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- On 2011-02-04, met with the CFTC to discuss II. Definitions
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- On 2011-02-11, Robert Toomey from Securities Industry and Financial Markets Association, James Kemp from AFME, Kenneth Bentsen from Securities Industry and Financial Markets Association, others met with the Treasury to discuss FX
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- On 2011-02-11, met with the CFTC to discuss XIII. SEF Registration; XVI. Swap Data Repositories Registration; XVIII. Real Time Reporting
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- On 2011-02-11, met with the CFTC to discuss XIII. SEF Registration; XVI. Swap Data Repositories Registration; XVIII. Real Time Reporting
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- On 2011-02-18, met with the SEC to discuss Title IX Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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- On 2011-02-22, met with the SEC to discuss Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act
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- On 2011-03-01, Richard Dorfman from Securities Industry and Financial Markets Association, Christopher B. Killian from Securities Industry and Financial Markets Association met with the Treasury to discuss GSEs
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- On 2011-03-01, met with the SEC to discuss Duties of Brokers, Dealers, and Investment Advisers
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- On 2011-03-08, met with the CFTC to discuss XVI. Swap Data Repositories Registration
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- On 2011-03-09, met with the SEC to discuss Duties of Brokers, Dealers, and Investment Advisers
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- On 2011-03-14, Bradley Edgell from Securities Industry and Financial Markets Association, Timothy Cameron from Securities Industry and Financial Markets Association, Elizabeth Cantrill from PIMCO, others met with the Treasury to discuss Designations
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- On 2011-03-14, met with the CFTC to discuss XXVIII. Volcker Rule
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- On 2011-03-15, Bradley Edgell from Securities Industry and Financial Markets Association, Timothy Cameron from Securities Industry and Financial Markets Association, Carter McDowell from Securities Industry and Financial Markets Association, others met with the Fed to discuss Financial Stability Oversight Council
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- On 2011-03-16, met with the SEC to discuss Title VI Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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- On 2011-03-21, met with the CFTC to discuss XVII. Data Recordkeeping
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- On 2011-03-22, met with the CFTC to discuss II. Definitions
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- On 2011-03-28, Athanassios Diplas from Deutsche Bank, Carter McDowell from Securities Industry and Financial Markets Association, Greg Baer from JPMorgan Chase, others met with the Fed to discuss Volcker Rule
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- On 2011-03-29, met with the CFTC to discuss XXVIII. Volcker Rule
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- On 2011-03-29, met with the CFTC to discuss General
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- On 2011-03-29, met with the SEC to discuss Title VI Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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- On 2011-03-31, met with the SEC to discuss Duties of Brokers, Dealers, and Investment Advisers
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- On 2011-04-07, met with the SEC to discuss Duties of Brokers, Dealers, and Investment Advisers
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- On 2011-04-14, met with the CFTC to discuss XXVIII. Volcker Rule
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- On 2011-04-14, Seth Grosshandler, Frances R. Bermanzohn, Michael Krimminger from FDIC met with the FDIC to discuss Living Wills/Resolution Plans; Resolution Authority; Other-Risk Retention in Securitizations
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- On 2011-04-20, met with the CFTC to discuss XVII. Data Recordkeeping
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- On 2011-04-27, met with the CFTC to discuss XVIII. Real Time Reporting
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- On 2011-04-28, met with the SEC to discuss Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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- On 2011-05-05, met with the SEC to discuss Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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- On 2011-05-11, met with the SEC to discuss Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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- On 2011-05-13, met with the SEC to discuss Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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- On 2011-05-16, met with the SEC to discuss Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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- On 2011-05-17, Robert Toomey from Securities Industry and Financial Markets Association, James Kemp from AFME, Kenneth Bentsen Jr. from Securities Industry and Financial Markets Association met with the Treasury to discuss Derivatives
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- On 2011-05-17, met with the CFTC to discuss XVI. Swap Data Repositories Registration
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- On 2011-05-19, met with the SEC to discuss Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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- On 2011-05-26, met with the CFTC to discuss III. Business Conduct Standards w/ Counterparties
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- On 2011-06-02, met with the SEC to discuss Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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- On 2011-06-09, met with the CFTC to discuss III. Business Conduct Standards w/ Counterparties
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- On 2011-06-14, met with the CFTC to discuss XIII. SEF Registration
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- On 2011-06-14, met with the CFTC to discuss XIII. SEF Registration
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- On 2011-06-14, met with the CFTC to discuss XIII. SEF Registration
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- On 2011-06-16, met with the CFTC to discuss General
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- On 2011-06-20, met with the SEC to discuss Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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- On 2011-06-22, met with the CFTC to discuss III. Business Conduct Standards w/ Counterparties
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- On 2011-06-23, met with the SEC to discuss Duties of Brokers, Dealers, and Investment Advisers
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- On 2011-06-29, met with the CFTC to discuss General
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- On 2011-07-06, met with the CFTC to discuss III. Business Conduct Standards w/ Counterparties
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- On 2011-07-13, met with the SEC to discuss Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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- On 2011-07-13, met with the SEC to discuss Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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- On 2011-08-02, met with the CFTC to discuss XXVI. Position Limits
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- On 2011-08-02, met with the CFTC to discuss II. Definitions
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- On 2011-08-02, met with the CFTC to discuss XXVI. Position Limits
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- On 2011-08-02, met with the CFTC to discuss XXVI. Position Limits
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- On 2011-08-02, met with the CFTC to discuss XXVI. Position Limits
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- On 2011-08-17, William Kroener, Gregory Baer, Donald Bernstein, others met with the FDIC to discuss Living Wills/Resolution Plans; Orderly Liquidation Funding Mechanism
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- On 2011-10-13, met with the CFTC to discuss General
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- On 2011-10-28, Carter McDowell from Securities Industry and Financial Markets Association, Robin Doyle from JPMorgan Chase, Matthew Musselman from JPMorgan Chase, others met with the Fed to discuss Enhanced Supervision
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- On 2011-10-28, met with the SEC to discuss Title IX Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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- On 2011-11-02, met with the CFTC to discuss General
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- On 2011-11-04, Richard Dorfman from Securities Industry and Financial Markets Association met with the Treasury to discuss CFPB
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- On 2011-11-09, John Feid from FDIC, Tom Hearn from FDIC, Peggy Balsawer from FHFA, others met with the Fed to discuss Derivatives Markets and Products
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- On 2011-11-09, met with the CFTC to discuss V. Capital & Margin
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- On 2011-11-18, met with the SEC to discuss Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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- On 2011-11-30, met with the CFTC to discuss XXI. Joint Rules w/ SEC
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- On 2011-12-07, met with the SEC to discuss Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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- On 2011-12-08, met with the CFTC to discuss General
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- On 2011-12-08, met with the CFTC to discuss General
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- On 2011-12-09, met with the CFTC to discuss XVII. Data Recordkeeping; XVIII. Real Time Reporting
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- On 2011-12-14, met with the CFTC to discuss XVII. Data Recordkeeping; XVIII. Real Time Reporting
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- On 2011-12-20, Robert Colby from Davis Polk & Wardwell, Ken Bentsen from Securities Industry and Financial Markets Association, Paul Denninger from Securities Industry and Financial Markets Association, others met with the Fed to discuss Volcker Rule
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- On 2012-01-05, met with the CFTC to discuss III. Business Conduct Standards w/ Counterparties; VI. Segregation and Bankruptcy
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- On 2012-01-05, met with the CFTC to discuss III. Business Conduct Standards w/ Counterparties
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- On 2012-01-05, met with the CFTC to discuss III. Business Conduct Standards w/ Counterparties
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- On 2012-01-05, met with the CFTC to discuss III. Business Conduct Standards w/ Counterparties
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- On 2012-01-17, met with the CFTC to discuss II. Definitions
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- On 2012-01-17, met with the CFTC to discuss General
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- On 2012-01-20, met with the CFTC to discuss General
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- On 2012-01-27, met with the CFTC to discuss XXVII. Investment Adviser Reporting
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- On 2012-01-30, met with the CFTC to discuss XXVII. Investment Adviser Reporting
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- On 2012-02-08, met with the CFTC to discuss XXVIII. Volcker Rule
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- On 2012-02-09, met with the CFTC to discuss IV. Business Conduct Standards – Internal; General
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- On 2012-02-09, met with the CFTC to discuss IV. Business Conduct Standards – Internal
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- On 2012-02-14, met with the CFTC to discuss IV. Business Conduct Standards – Internal
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- On 2012-02-16, met with the CFTC to discuss II. Definitions
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- On 2012-02-22, met with the SEC to discuss Duties of Brokers, Dealers, and Investment Advisers
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- On 2012-03-06, Robert Barry Toomey from Securities Industry and Financial Markets Association, Kenneth Edward Bentsen JR. from Securities Industry and Financial Markets Association, Timothy Wayne Cameron from Securities Industry and Financial Markets Association, others met with the Treasury to discuss Volcker Rule
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- On 2012-03-08, met with the CFTC to discuss IV. Business Conduct Standards – Internal
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- On 2012-04-10, met with the CFTC to discuss V. Capital & Margin
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- On 2012-04-16, met with the CFTC to discuss General
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- On 2012-04-17, met with the SEC to discuss Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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- On 2012-04-26, Chet Helck from Raymond James Financial, Bernard Beal from M.R. Beal, Joan Binstock from Lord, Abbett, others met with the Treasury to discuss Derivatives Volcker rule Capital Enhanced Prudential Standards Designations
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- On 2012-05-01, Carter McDowell from Securities Industry and Financial Markets Association, Jim Rosenthal from Morgan Stanley, Ken Bentsen from Securities Industry and Financial Markets Association, others met with the Fed to discuss Collins Amendment and Capital Rules
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- On 2012-05-09, met with the CFTC to discuss XXVIII. Volcker Rule
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- On 2012-05-24, met with the CFTC to discuss General
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- On 2012-05-30, Kenneth Bentsen Jr. from Securities Industry and Financial Markets Association met with the Treasury to discuss OFR
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- On 2012-06-14, met with the CFTC to discuss General
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- On 2012-06-14, met with the CFTC to discuss General
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- On 2012-06-15, met with the CFTC to discuss I. Registration; XXVII. Investment Adviser Reporting
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- On 2012-06-21, met with the SEC to discuss Title IX Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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- On 2012-06-29, met with the CFTC to discuss II. Definitions
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- On 2012-06-29, met with the CFTC to discuss II. Definitions
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- On 2012-07-24, met with the SEC to discuss Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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- On 2012-07-24, met with the CFTC to discuss General
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- On 2012-08-02, met with the CFTC to discuss General
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- On 2012-08-02, met with the CFTC to discuss VI. Segregation and Bankruptcy
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- On 2012-08-16, met with the CFTC to discuss General
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- On 2012-09-07, Ken Bentsen from Securities Industry and Financial Markets Association, Tim Ryan from Securities Industry and Financial Markets Association met with the Treasury to discuss Volcker Rule, Derivatives, Other
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- On 2012-09-18, met with the CFTC to discuss General
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- On 2012-09-28, met with the SEC to discuss Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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- On 2012-10-11, met with the CFTC to discuss General
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- On 2013-01-23, met with the CFTC to discuss XIII. SEF Registration; General
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- On 2013-02-06, met with the CFTC to discuss XIII. SEF Registration; General
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- On 2013-02-06, met with the CFTC to discuss XIII. SEF Registration
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- On 2013-02-12, Kenneth E. Bentsen, Jr from Securities Industry and Financial Markets Association, T. Timothy Ryan, Jr from Securities Industry and Financial Markets Association met with the Fed to discuss Systemic Designations, Enhanced Prudential Standards, and Banking Supervision and Regulation
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- On 2013-02-14, met with the CFTC to discuss XIII. SEF Registration
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- On 2013-03-01, met with the CFTC to discuss XIII. SEF Registration
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- On 2013-04-24, met with the CFTC to discuss Cross-Border
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- On 2013-04-24, met with the CFTC to discuss III. Business Conduct Standards w/ Counterparties; General
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