JOINT CFTC-SEC STAFF ROUNDTABLE 

IMPLEMENTATION PHASING FOR FINAL RULES FOR SWAPS AND SECURITY-BASED SWAPS 

UNDER TITLE VII OF THE DODD-FRANK WALL STREET REFORM 

AND CONSUMER PROTECTION ACT

LIST OF PARTICIPANTS

Day One – Panel One: Process for Registering and Making Operational Clearing Entities, 

Trading Platforms, and Data Repositories 

 Chris Edmonds, ICE Trust 

 Dan Maguire, LCH.Clearnet 

 Sunil Cutinho, CME Group 

 Larry Thompson, The Depository Trust & Clearing Corporation 

 Lee Olesky, Tradeweb 

 Neal Brady, Eris Exchange 

 Adam Cooper, Citadel LLC 

 Jamie Cawley, Javelin Capital Markets LLC 

 Ronald Levi, GFI Group Inc. 

 Raf Pritchard, TriOptima - triResolve 

 Gary DeWaal, Newedge USA 

 Christopher Moran, Nomura Securities International 

 Wally Turbeville, Better Markets Inc. 

Day One – Panel Two: Process of Registering and Making Operational Dealers and Major 

Participants 

 Dan Roth, National Futures Association 

 John Horkan, Bank of America Merrill Lynch 

 John Gidman, Loomis Sayles & Co. 

 Athanassios Diplas, Deutsche Bank 

 Alexandra Guest, Barclays Capital 

 Steve O’Connor, Morgan Stanley 

 Matt Picardi, Shell Energy North America 

 Wally Turbeville, Better Markets Inc. 

 
JOINT CFTC-SEC STAFF ROUNDTABLE 

IMPLEMENTATION PHASING FOR FINAL RULES FOR SWAPS AND SECURITY-BASED SWAPS 

UNDER TITLE VII OF THE DODD-FRANK WALL STREET REFORM 

AND CONSUMER PROTECTION ACT

LIST OF PARTICIPANTS

Day One – Panel Three: Connectivity and Infrastructure Issues

 John Omahen, SunGard 

 Jeff Gooch, MarkitSERV 

 R.J. Cummings, ICE 

 Peter Axilrod, The Depository Trust & Clearing Corporation 

 Sunil Cutinho, CME Group 

 Doug Friedman, Tradeweb 

 Ronald Levi, GFI Group Inc. 

 Steve O’Connor, Morgan Stanley 

 Adam Cooper, Citadel LLC 

 Kathryn Beard, BlackRock Financial 

Day Two – Panel One: Implementation of Clearing Mandates

 Mark Cox, CME Group 

 Chris Edmonds, ICE Trust 

 Dan Maguire, LCH.Clearnet 

 Bill DeLeon, PIMCO 

 Joseph Buthorn, BNP Paribas 

 Darcy Bradbury, D.E. Shaw Group 

 John Nicholas, Newedge USA 

 Sam Petersen, Chatham Financial 

 Michael Greenberger, University of Maryland School of Law 

 Sharon Brown-Hruska, NERA Economic Consulting 

 Garry O’Connor, International Derivatives Clearing Group 

 
JOINT CFTC-SEC STAFF ROUNDTABLE 

IMPLEMENTATION PHASING FOR FINAL RULES FOR SWAPS AND SECURITY-BASED SWAPS 

UNDER TITLE VII OF THE DODD-FRANK WALL STREET REFORM 

AND CONSUMER PROTECTION ACT

LIST OF PARTICIPANTS

Day Two – Panel Two: Transaction Processing for Swaps and Security-Based Swaps 

 Rick McVey, MarketAxess 

 George Harrington, Bloomberg LP 

 Henry Hunter, MarkitSERV 

 John Omahen, SunGard 

 Yves Denizé, TIAA-CREF 

 Martin Chavez, Goldman Sachs 

 Shawn Bernardo, Tullett Prebon Americas 

 Jamie Cawley, Javelin Capital Markets LLC 

 Paul Cusenza, Nodal Exchange 

 Garry O’Connor, International Derivatives Clearing Group 

Day Two – Panel Three: Implementation of Data Reporting and Dissemination Rules

 Marisol Collazo, DTCC 

 Jeff Gooch, MarkitSERV 

 Raf Pritchard, TriOptima North America 

 R.J. Cummings, ICE 

 Jiro Okochi, Reval 

 Bill Thum, The Vanguard Group 

 Merritt Thomas, Barclays Capital 

 Jim Moran, CME Group 

 Steve Joachim, FINRA 

 Shawn Bernardo, Tullet Prebon 

 Wally Turbeville, Better Markets 

 Karla McKenna, International Organization for Standardization 

 
JOINT CFTC-SEC STAFF ROUNDTABLE 

IMPLEMENTATION PHASING FOR FINAL RULES FOR SWAPS AND SECURITY-BASED SWAPS 

UNDER TITLE VII OF THE DODD-FRANK WALL STREET REFORM 

AND CONSUMER PROTECTION ACT

LIST OF PARTICIPANTS

Day Two – Panel Four: Considerations with Regard to End Users 

 Peter Shapiro, Swap Financial Group 

 William Donovan, U.S. Steel Pension Fund 

 Heather Slavkin, AFL-CIO 

 Wally Turbeville, Better Markets Inc. 

 Russell Wasson, National Rural Electric Cooperative Association 

 Joseph Glace, Exelon Corporation 

 Sean Cota, Cota & Cota 

 Jiro Okochi, Reval 

 Verett Mims, The Boeing Company 

 Sam Peterson, Chatham Financial