JOINT SEC-CFTC ROUNDTABLE ON 
 

DATA FOR SWAPS AND SECURITY-BASED SWAPS, SWAP DATA REPOSITORIES, 
 

SECURITY-BASED SWAP DATA REPOSITORIES, AND REAL TIME PUBLIC 
 

REPORTING 
 

September 14, 2010 
 

LIST OF PARTICIPANTS 
 

Panel One: 
 

SDR Registration, Functions and Responsibilities: 
 

• Athanassios Diplas, Managing Director, Deutsche Bank 

• 	 Mark Dixon, Chief Operating Officer, Evolution Markets 

• 	 Jeff Gooch, Chief Executive Officer, MarkitSERV and Executive Vice President, 

 Portfolio Valuations 

• 	 Stewart MacBeth, Managing Director, The Depository Trust & Clearing Corporation 

(DTCC), General Manager, DTCC Trade Information Warehouse 

• 	 Jiro Okochi, Chief Executive Officer, Reval 

• 	 Raf Pritchard, Chief Executive Officer, North America, TriOptima 

• 	 Chester Spatt, Pamela R. and Kenneth B. Dunn Professor of Finance at the Tepper 

School of Business at Carnegie Mellon University and Director of its Center for Financial 

Markets 

• 	 Bruce Tupper, Director, Market Development, ICE eConfirm 

Panel Two: 
 

Mechanics of Data Reporting: 
 

• 	 Jeremy Barnum, Managing Director, Investment Banking, J.P. Morgan Chase 

• 	 Sunil Cutinho, Director, Clearing Solutions, CME Group Inc. 

• 	 Mark Dixon, Chief Operating Officer, Evolution Markets 

• 	 Joseph R. Glace, Chief Risk Officer, Exelon, representing Coalition for Derivatives EndUsers 
 

 

• 	 Stewart MacBeth, Managing Director, The Depository Trust & Clearing Corporation 

(DTCC), General Manager, DTCC Trade Information Warehouse 

• 	 Robert Pickel, Executive Vice Chairman, International Swaps and Derivatives 

Association, Inc. (ISDA) 

• 	 Raf Pritchard, Chief Executive Officer, North America, TriOptima 

• 	 Nicholas Themelis, Chief Information Officer, MarketAxess Corporation 

Panel Three: 
 

Models for Real-Time Transparency and Public Reporting: 
 

• 	 Peter Axilrod, Managing Director, New Business Development, The Depository Trust 

& Clearing Corporation (DTCC) 

• 	 Shawn Bernardo, Managing Director, Tullett Prebon Americas Corp., representing 

 Wholesale Markets Brokers Association 

• 	 Trabue Bland, Director of Regulatory Affairs and Assistant General Counsel, ICE Trust 

• 	 John Gidman, Executive Vice President, Loomis, Sayles & Company, Vice Chairman of 

SIFMA Asset Managers Group 

• 	 Jeff Gooch, Chief Executive Officer, MarkitSERV and Executive Vice President, 

 Portfolio Valuations 

• 	 George Harrington, Global Head of Credit Markets, Bloomberg 

• 	 Steve Joachim, Executive Vice President of Transparency Services, Financial Industry 

Regulatory Authority (FINRA) 

• 	 Michael W. Masters, President, Masters Capital Management, representing Better 

 Markets Inc. 

• 	 Lee Olesky, Chief Executive Officer, TradeWeb 

• 	 Jim Toffey, Chief Executive Officer, Benchmark Solutions 

Panel Four: 
 

Effect of Transparency on Liquidity: Block Trade Exception:
 


• 	 Michael W. Masters, President, Masters Capital Management, representing Better 

 Markets Inc. 
• 	 Peter Shapiro, Managing Director, Swap Financial Group 

• 	 Yunho Song, Managing Director/Senior Trader, Bank of America Merrill Lynch 

• 	 Chester Spatt, Pamela R. and Kenneth B. Dunn Professor of Finance at the Tepper 

School of Business at Carnegie Mellon University and Director of its Center for Financial 

Markets 

• 	 Conrad Voldstad, Chief Executive Officer, International Swaps and Derivatives 

Association, Inc. (ISDA) 

• 	 Neal Wolkoff, Chief Executive Officer, ELX Futures, L.P. 
 

JOINT SEC-CFTC ROUNDTABLE ON SWAP EXECUTION FACILITIES AND 

SECURITY-BASED SWAP EXECUTION FACILITIES 

September 15, 2010 

LIST OF PARTICIPANTS 

Panel One: 

Swap Execution Facilities (“SEFs”) and Security-Based Swap Execution Facilities (“SB SEFs”) 

•	 William De Leon, Global Head of Portfolio Risk Management, PIMCO 

•	 Yves P. Denizé, Director & Associate General Counsel, TIAA-CREF 

•	 Andrew Downes, Managing Director, UBS Securities LLC 

•	 Richard DuFour, Executive Vice President, Chicago Board Options Exchange 

•	 Julian Harding, Executive Director, Tradition Brokerage, Chairman, Wholesale Markets 

Brokers Association Americas 

•	 John J. Jeffers, Senior Vice President and General Counsel, OTC Global Holdings 

•	 Ben MacDonald, Global Head of Trading, Bloomberg L.P. 

•	 Lee Olesky, Chief Executive Officer and Co-founder, Tradeweb 

•	 Stephen Semlitz, Managing Director, HESS 

•	 Heather Slavkin, Senior Legal Policy Advisor for the Office of Investment, AFL-CIO 

•	 Jeff Sprecher, Chairman and Chief Executive Officer, IntercontinentalExchange, Inc. 

•	 S. “Vish” Viswanathan, Professor, Fuqua School of Business, Duke University 

Panel Two: 

Compliance with Core Principles for SEFs and SB SEFs 

•	 Athanassios Diplas, Managing Director and Global Head of Counterparty Management 

Group, Deutsche Bank 

•	 William De Leon, Global Head of Portfolio Risk Management, PIMCO 

•	 Yves P. Denizé, Director & Associate General Counsel, TIAA-CREF 

•	 Bryan T. Durkin , Chief Operating Officer and Managing Director, Products and 

Services, CME Group
 
•	 Julian Harding, Executive Director, Tradition Brokerage, Chairman, Wholesale Markets 

Brokers Association Americas 

•	 Edward S. Knight, Executive Vice President and General Counsel, The NASDAQ OMX 

Group, Inc. 

•	 Michael Masters, President, Masters Capital Management, Americans for Financial 

Reform 

•	 Richard McVey, Chief Executive Officer, MarketAxess 

•	 Stephen Semlitz, Managing Director, HESS 

•	 S. “Vish” Viswanathan, Professor, Fuqua School of Business, Duke University 

•	 Philip Weisberg, Chief Executive Officer, FXall 

•	 Brian S. Yelvington, Director – Strategy, Knight Capital Group