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COMMODITY FUTURES TRADING COMMISSION 

SECURITIES AND EXCHANGE COMMISSION 

[Release No. _____, File No. _____] 

Joint Public Roundtable on Governance and Conflicts of Interest in the Clearing and 

Listing of Swaps and Security-Based Swaps 

AGENCIES: Commodity Futures Trading Commission (“CFTC”) and Securities and Exchange 

Commission (“SEC”) (each, an “Agency,” and collectively, the “Agencies”). 

ACTION: Notice of roundtable discussion; request for comment.

SUMMARY: On August 20, 2010, commencing at 9:00 a.m. and ending at 12:00 p.m., staff of 

the Agencies will hold a public roundtable discussion at which invited participants will discuss 

governance and conflicts of interest in the context of certain authority that Sections 726 and 765 

of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Act”) granted to the 

Agencies respectively. The discussion will be open to the public with seating on a first-come, 

first-served basis. Members of the public may also listen by telephone. Call-in participants 

should be prepared to provide their first name, last name, and affiliation. The information for the 

conference call is set forth below. 

• US/Canada Toll-Free: (866) 312-4390 

• International Toll: (404) 537-3379 

• Conference ID: 94280143 

A transcript of the public roundtable discussion will be published on the CFTC’s governance 

rulemaking page at 

http://www.cftc.gov/LawRegulation/OTCDerivatives/OTC_9_DCOGovernance.html. 
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The roundtable discussion will take place in Lobby Level Hearing Room (Room 1000) at the 

CFTC’s headquarters at Three Lafayette Centre, 1155 21st Street, NW, Washington, DC. 

FOR FURTHER INFORMATION CONTACT: the CFTC’s Office of Public Affairs at (202) 

418-5080 or the SEC’s Office of Public Affairs at (202) 551-4120. 

SUPPLEMENTARY INFORMATION: The roundtable discussion will take place on Friday, 

August 20, 2010, commencing at 9:00 a.m. and ending at 12:00 p.m. Members of the public 

who wish to submit their views on the topics addressed at the discussion, or on any other topics 

related to governance and conflicts of interest in the context of the Act, may do so via: 

• paper submission to David Stawick, Secretary, Commodity Futures Trading Commission, 

Three Lafayette Centre, 1155 21st Street, N.W., Washington, DC 20581, or Elizabeth M. 

Murphy, Secretary, Securities and Exchange Commission, 100 F Street, NE, Washington, 

DC 20549-1090; or 

• electronic submission to the e-mail address provided on the CFTC’s governance rulemaking 

page (all emails must reference “Dodd-Frank Governance” in the subject field); and/or the email address provided on the SEC website, which may be found at 

http://www.sec.gov/spotlight/regreformcomments.shtml, under the heading “Title VII — 

Wall Street Transparency and Accountability, Governance and Conflict of Interest Controls 

for Clearing Agencies, Swap Execution Facilities and Exchanges.” 

All submissions will be reviewed jointly by the Agencies. All comments must be in English or 

be accompanied by an English translation. All submissions provided to either Agency in any 

electronic form or on paper will be published on the website of the respective Agency, without 

review and without removal of personally identifying information. Please submit only 

information that you wish to make publicly available. 
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By the Securities and Exchange Commission. 

_______________________ 

Elizabeth M. Murphy 

Secretary 

August ___, 2010 

By the Commodity Futures Trading Commission. 

_______________________ 

David A. Stawick 

Secretary 

August __, 2010