Letters

Date Title
18-26 PDF Image; Commission Regulation 30.7; No-Action
Commission Regulation 30.7 – Staff No-Action Position Regarding Futures Commission Merchant’s Deposit of Customer-Owned Securities as Margin with a Foreign Broker.  
18-21 PDF Image; Commission Regulation 1.16; No-Action
Commission Regulation 1.16 – Staff no-action position regarding compliance with Public Company Accounting Oversight Board requirement to communicate “critical audit matters” in Accountants’ Unqualified Audit Opinions.
18-20 PDF Image; CEA section 1a(49); Regulation 1.3, paragraph 4 of “swap dealer” definition; No-Action
Conditional, time-limited no-action relief to an entity for not counting certain loan-related swaps towards its swap dealer de minimis threshold (under paragraph (4) of the “swap dealer” definition in Regulation 1.3).
18-25 PDF Image; Commission regulation 4.7(b)(2); Exemption
Exemptive relief granted to a CPO to permit the CPO to provide monthly account statements to participants within 45 days of the month end rather than quarterly account statement within 30 days of the quarter end pursuant to Commission regulation 4.7(b)(2).  
18-24 PDF Image; Commodity Exchange Act section 4m(1); No-Action
No-action relief granted to an entity (Ltd.) from registering as a CPO with respect to certain commodity pools; provided, that it delegates its CPO responsibilities to a registered CPO, subject to certain conditions.
18-23 PDF Image; Commodity Exchange Act section 4m(1); No-Action
No-action relief granted to an entity (LLC) from registering as a CPO with respect to certain commodity pools; provided, that it delegates its CPO responsibilities to a registered CPO, subject to certain conditions.  
18-22 PDF Image; Commodity Exchange Act section 4m(1); No-Action
No-action relief granted to an entity from registering as a CPO with respect to a commodity pool; provided, that it delegates its CPO responsibilities to a registered CPO, subject to certain conditions.  
18-19 PDF Image; Commission Regulation 1.17; No-Action
Commission Regulation 1.17 – Staff no-action position regarding the treatment of operating leases caused by a change in accounting principles.
18-18 PDF Image; CEA Section 5b(a) and the Commission regulations thereunder; No-Action
Extension of time-limited no-action relief for Shanghai Clearing House with regard to Section 5b(a) of the Commodity Exchange Act and Commission Regulations thereunder.
18-14 PDF Image; CEA Section 5, 5b, 5c, and 5h, and Commission Regulations 40.2 and 40.3; Advisories
Advisory for exchanges and clearinghouses with respect to Virtual Currency Derivative Product Listings.