CFTC Staff Letters
CFTC Staff Letters provides Letters from 2008 and later. For Letters published before 2008 visit the Letters Archive page.
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Letter Type: No-Action Division: DMO Regulation Parts: 45.3, 45.4, 45.5, 45.8, 45.10, 45.14 Tags: Reporting Issuance Date: Description: Granting time-limited no-action relief to [“A”] permitting its Irish bank subsidiary, [“B”], to act as reporting counterparty for [“B”]’s swaps with U.S. persons that are not swap dealers (“SDs”) or major swap participants (“MSPs”), notwithstanding the allocation of reporting responsibility set forth in Commission Regulation 45.8(e). |
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Letter Type: No-Action Division: DSIO Regulation Parts: 23.431 Tags: Disclosures, SEF, Prime Brokerage, External Business Conduct Issuance Date: Description: No-Action Position for Off-SEF Swaps Executed Pursuant to Prime Brokerage Arrangements |
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Letter Type: No-Action Division: DSIO Regulation Parts: 4m(1) Tags: CPO, Delegation Issuance Date: Description: No-action relief granted to an entity (Ltd.) from CPO registration under CEA Section 4m(1) with respect to certain commodity pools; provided, that it delegates its CPO responsibilities to a registered CPO, subject to certain conditions. |
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Letter Type: No-Action Division: DSIO Regulation Parts: 4m(1) Tags: CPO, Delegation Issuance Date: Description: No-action relief granted to an entity (LLC) from CPO registration under CEA Section 4m(1) with respect to certain commodity pools; provided, that it delegates its CPO responsibilities to a registered CPO, subject to certain conditions. |
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Letter Type: No-Action Division: DSIO Regulation Parts: 4m(1) Tags: CPO, Registration Issuance Date: Description: No-Action relief granted to an entity from registering as a CPO or CTA with regard to managing the investing activities of its affiliate, which owns mineral and royalty interests in crude oil and natural gas properties. |
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Letter Type: No-Action Division: DSIO Regulation Parts: 4m(1) Tags: Issuance Date: Description: No-Action relief granted to the general partner of a commodity pool from the Commission’s registration requirements, and to delegate certain of its responsibilities to a registered CPO. |
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Letter Type: No-Action, Exemption Division: DSIO Regulation Parts: 4.7 Tags: Issuance Date: Description: 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 |
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Letter Type: No-Action Division: DSIO Regulation Parts: 4m(1) Tags: Issuance Date: Description: No-Action relief granted to the general partner of a commodity pool from the Commission’s registration requirements, and to delegate certain of its responsibilities to a registered CPO. |
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Letter Type: No-Action Division: DMO Regulation Parts: 150.4 Tags: Aggregation, Positions Issuance Date: Description: This no-action letter provides relief from compliance with certain position aggregation requirements under Commission Regulation 150.4. |
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Letter Type: No-Action Division: DCR Regulation Parts: 1.20, 22.5 Tags: Acknowledgement, Cleared Swaps, DCO Issuance Date: Description: No-Action Relief to Eurex Clearing AG to allow certain modifications to the acknowledgment letter that Eurex is required to obtain from the Deutsche Bundesbank |