CFTC Staff Letters
CFTC Staff Letters provides Letters from 2008 and later. For Letters published before 2008 visit the Letters Archive page.
Description | |
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13-88 | Letter Type: No-Action Division: DSIO Regulation Parts: 1a(10) Tags: Commodity Pool Issuance Date: Description: No action relief to an entity and its affiliates for their failure to register as CPOs of pools holding volume production payment instruments, which issue debt or debt-like instruments, and which use swaps to hedge commodity market risk and interest rate exposure. |
13-85 | Letter Type: No-Action Division: DSIO Regulation Parts: 3.3 Tags: CCO Issuance Date: Description: Time-Limited No-Action Relief for Certain Swap Dealers from Compliance with the Requirements of Commission Regulation 3.3 Relating to Annual Reports by Chief Compliance Officers |
13-84 | Letter Type: No-Action Division: DSIO Regulation Parts: 3.3 Tags: CCO Issuance Date: Description: Time-Limited No-Action Relief for Futures Commission Merchants, Swap Dealers, and Major Swap Participants from Compliance with the Timing Requirements of Commission Regulation 3.3(f)(2) Relating to Annual Reports by Chief Compliance Officers |
13-83 | Letter Type: No-Action Division: DSIO, DCR, DMO Regulation Parts: 1.3(ggg)(4) Tags: De Minimis, Exception, Swap Dealer Issuance Date: Description: Time-Limited No-Action Relief from Certain Regulations Applicable to Swap Dealers During Pendency of De-Registration Application |
13-82 | Letter Type: No-Action Division: DSIO Regulation Parts: 1.10, 1.17 Tags: FCM, Financial Reports, IB Issuance Date: Description: No-action relief for certain Introducing Brokers from filing certified and unaudited financial statements and calculating capital under regulation 1.17. |
13-80 | Letter Type: No-Action Division: DSIO Regulation Parts: 1.3(ggg)(6) Tags: Swap Dealer, Swaps Issuance Date: Description: No-Action Relief from Certain Conditions of the Swap Dealer Exclusion for Registered Floor Traders |
13-79 | Letter Type: Advisories Division: DSIO Regulation Parts: 4 Tags: CPO, CTA Issuance Date: Description: Staff Advisory Concerning Commodity Trading Advisors and Swaps |
13-78 | Letter Type: No-Action Division: DSIO Regulation Parts: 23.600, 23.608, 23.609 Tags: MSP, SD, Swap Dealer Issuance Date: Description: Time-Limited No-Action Letter from Certain Entity-Level Internal Business Conduct Requirements for Certain Swap Dealers and Major Swap Participants Established under the Laws of Australia, Canada, the European Union, Japan, and Switzerland. |
13-77 | Letter Type: No-Action Division: DSIO, DMO Regulation Parts: 1.35 Tags: Cash, Forward Issuance Date: Description: Time-Limited No-Action Relief for Certain Members of Swap Execution Facilities from the Requirement to Record Oral Communications Pursuant to Commission Regulation 1.35(a). |
13-72 | Letter Type: No-Action Division: DSIO Regulation Parts: 1.35 Tags: Cash, Forward Issuance Date: Description: No-action relief for certain branch office operations of CHS Hedging, Inc. and MID-CO Commodities, Inc. with regard to the oral recording requirements of Regulation 1.35(a)(1). |