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Ex Parte Meeting for Proposed Rule 76 FR 77728

  • Title:
    Meeting w/MFA Members

    Ex Parte No: 735
    Date: 9/7/2012

    Meeting Date:

    Friday, September 7, 2012

    CFTC Staff:

    Gary Gensler

    Laura Astrada

    Richard Haynes

    Andrei Kirilenko

    Stephen J. Obie

    Robert B. Wasserman


    AQR Capital Management, LLC

    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


    External Attendees:

    Trey Beck, D.E. Shaw & Co.

    Darcy Bradbury, D.E. Shaw & Co.

    Ted MacDonald, D.E. Shaw & Co.

    Janna Stern, D.E. Shaw & Co.

    Debbie Coleman, Convexity Capital Management

    Adam Cooper, Citadel LLC

    Rupert Cox, Brevan Howard, Inc.

    David Hong, King Street Capital Management, LP

    Boris Liberman, AQR Capital Management, LLC

    Kim Rozman, HBK Capital Management

    Serge Todorovich, Eton Park Capital Management, LP

    Stuart Kaswell, MFA

    Carlotta King, MFA

    Additional Information:

    Participants discussed: (i) implementation phase-in; (ii) extraterritoriality and cross border coordination; (iii) SEF and block rules issues; (iv) straight-through processing; (v) documentation; (vi) segregation of collateral (LSOC); and (vii) how contingent SEFs must be included in the de minimis exception calculation for determining whether an entity must register as a swap dealer.

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