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Comment for Proposed Rule 77 FR 15460

  • From: Ex Parte Communication
    Organization(s):
    Fidelity Investments (Fidelity)
    Vanguard

    Comment No: 58138
    Date: 4/13/2011

    Comment Text:

    Video Conference with Fidelity and Vanguard

    Wednesday, April 13, 2011

    Memo from
    Steiner, Jeffrey L.

    CFTC Staff :
    Chairman Gary Gensler (in New York)
    Stephen Obie (in New York)
    Riva Adriance
    Joe Cisewski
    Jon DeBord
    Phyllis Dietz
    Mark Fajfar
    Sarah Josephson
    Daniel S. Konar II
    John Lawton
    Susan Nathan
    Jeff Steiner
    Kevin Walek
    Anne Schubert

    External Attendees :
    Jacques Perold (Fidelity)
    Matthew Nevins (Fidelity)
    Ann Combs (Vanguard)
    John Hollyer (Vanguard)
    Gus Sauter (Vanguard)
    Bill Thum (Vanguard)

    Additional Information :
    On April 13, 2011, at 11:15 a.m. EDT, Chairman Gensler and Commission staff held a video conference with representatives of Fidelity Investments and Vanguard.  Topics discussed included implementation of Dodd-Frank final rules, open access to derivatives clearing organizations, straight-through processing for cleared swaps, and procedures for block trade allocations.

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