CFTC Staff Letters
CFTC Staff Letters provides Letters from 2008 and later. For Letters published before 2008 visit the Letters Archive page.
| Description | |
|---|---|
 25-06 |
Letter Type: Interpretative Division: MPD Regulation Parts: 4s(e), 23.105 Tags: Issuance Date: Description: Staff Interpretation allows Japanese nonbank swap dealers subject to the Japanese Comparability Order to file with the CFTC and the NFA certain enumerated schedules (the ""In Scope Schedules"") of the Annual Report to comply with condition 9 of the order. Japanese nonbank swap dealers may, but are not required to, submit the Annual Report in its entirety to comply with condition 9. See also: Request Letter Requester(s): SIFMA |
| 25-05 |
Letter Type: Other Division: COM, DMO Regulation Parts: 5h(a)(1), 37.3 Tags: Registration, SEF, Withdrawal, SEF Registration Issuance Date: Description: The Division of Market Oversight (“DMO”) of the Commodity Futures Trading Commission (“CFTC” or “Commission”) is hereby withdrawing CFTC Letter No. 21-19 – Staff Advisory on Swap Execution Facility Registration Requirement (the “SEF Registration Advisory”) in its entirety. Requester(s): CFTC |
| 25-04 |
Letter Type: No-Action Division: DCR, MPD Regulation Parts: 1.3, 1.17, 1.20, 1.32, 1.58, 1.73, 22.2, 30.2, 30.7, 39.13 Tags: Risk Management, Separate Account Treatment Issuance Date: Description: The conditional no-action position with respect to Regulation 39.13(g)(8)(iii) contained in CFTC Letter No. 19-17 is now further extended until July 21, 2025. See also: Request Letter Requester(s): FIA |
| 25-03 |
Letter Type: No-Action Division: COM, DMO Regulation Parts: 2(a), 2(a)(1)(C), 30.13 Tags: Foreign Future Issuance Date: Description: Based on the representations presented by KRX to the Division as discussed above, the Division will not recommend that the Commission take enforcement action against KRX with respect to the offer or sale of the Contracts to persons located within the United States while the Commission’s review of KRX’s forthcoming request for certification of the Contracts pursuant to Commission Regulation 30.13 is pending. See also: Request Letter Requester(s): KRX |
| 25-02 |
Letter Type: No-Action Division: DMO Regulation Parts: 38.8, 38.10, 38.951, 39.20, 43, 45 Tags: Fully-collateralized, Recordkeeping, Reporting, Swap, Swap Data, Swaps, Event Contract, Part 43, Binary Option, Part 45 Issuance Date: Description: The Divisions will not recommend that the Commission initiate an enforcement action against Kalshi, Klear, or their participants, for failure to comply with Commission regulations 38.8(b), 38.10, 38.951 (only to the extent that regulation 38.951 requires compliance with Part 45 of the CFTC’s regulations), and 39.20(b)(2), as well as the applicable provisions of Parts 43 and 45 of the CFTC’s regulations, or the requirements of the relevant CEA provisions pursuant to which the Relevant Regulations were promulgated, with respect to Kalshi Contracts, subject to certain conditions. See also: Request Letter Requester(s): KEX, KLEAR |
| 25-01 |
Letter Type: Advisories Division: DCR Regulation Parts: 39.19 Tags: DCO, Reporting Issuance Date: Description: DCR is issuing an advisory to inform DCOs of the new compliance date for the amended daily reporting requirements. Requester(s): CFTC |
| 24-18 |
Letter Type: Advisories Division: DMO Regulation Parts: 19.02 Tags: Reporting Issuance Date: Description: Advisory on Transition to Portal Filings of CFTC Form 304 Statement of Cash Positions for Unfixed-Price Cotton “On-Call” Reports Submitted on or After January 15, 2025 Requester(s): CFTC |
| 24-17 |
Letter Type: Advisories Division: DMO Regulation Parts: Tags: AI Issuance Date: Description: Advisory regarding use of AI in CFTC regulated markets. Requester(s): CFTC |
| 24-16 |
Letter Type: Advisories Division: DCR Regulation Parts: Tags: Clearing Issuance Date: Description: Advisory regarding the clearing of options on spot commodity exchange traded funds (ETFs). Requester(s): CFTC |
| 24-15 |
Letter Type: No-Action Division: DMO, DCR Regulation Parts: 38.8, 38.10, 38.951, 39.20, 43, 45 Tags: Reporting, Swap, Swap Data, Event Contract, Part 43, Binary Option, Part 45 Issuance Date: Description: Modification of no-action position with respect to Part 43 and 45 reporting, as well as related sections of Parts 38 and 39, for binary options executed on or pursuant to the rules of KalshiEx and cleared through Klear. See also: Request Letter Requester(s): KEX, KLEAR |