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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16-56 | Letter Type: No-Action Division: DCR Regulation Parts: 5b(a) Tags: DCO, Registration Issuance Date: Description: Time-limited no-action relief for Shanghai Clearing House with regard to Section 5b(a) of the Commodity Exchange Act and Commission Regulations thereunder. |
16-52 | Letter Type: No-Action Division: DMO Regulation Parts: 5h(a)(1), 37.3 Tags: Registration, SEF Issuance Date: Description: Extension of conditional time-limited no-action relief for Yieldbroker Pty Limited with regard to Section 5h(a)(1) of the Commodity Exchange Act and Commission Regulation 37.3(a)(1) until September 15, 2016. |
16-46 | Letter Type: No-Action Division: DSIO Regulation Parts: 4m(1) Tags: CPO, CTA, Interstate Issuance Date: Description: Consistent with CFTC Staff Letters 12-37 and 14-143, and its past practice in this area, the Division granted no-action relief from CPO and CTA registration to a family office that provides investment management and advisory services to a single family. |
16-33 | Letter Type: No-Action Division: DMO Regulation Parts: 17 Tags: FCM, Reporting Issuance Date: Description: No-action relief related to data masking of information required to be reported under OCR Final Rule. |
16-32 | Letter Type: No-Action Division: DMO Regulation Parts: 17, 18, 20 Tags: FCM, Large Trader, Reporting, Swaps, Trader Issuance Date: Description: No-action relief related to data reporting requirements under OCR Final Rule. |
16-29 | Letter Type: No-Action Division: DSIO Regulation Parts: 4s(k), 3.3 Tags: CCO, MSP, Registration, SD Issuance Date: Description: No-Action Relief from the Timing Requirements of Commission Regulation 3.3(f)(2) Relating to Annual Reports by Chief Compliance Officers for Deutsche Bank AG. |
16-28 | Letter Type: No-Action Division: DSIO Regulation Parts: 4s(k), 3.3 Tags: CCO, MSP, Registration, SD Issuance Date: Description: No-Action Relief from the Timing Requirements of Commission Regulation 3.3(f)(2) Relating to Annual Reports by Chief Compliance Officers for Commerzbank AG. |
16-27 | Letter Type: No-Action Division: DMO, DCR, DSIO Regulation Parts: 4(c) Tags: Foreign Transactions Issuance Date: Description: Extension of Time-Limited No-Action Relief with Respect to Certain Commodity Exchange Act Provisions That May Apply to Southwest Power Pool, Inc. and/or Its Participants. |
16-26 | Letter Type: No-Action Division: DCR Regulation Parts: 22, 39, 39.11, 39.12, 39.13, 39.19 Tags: Cleared Swaps, DCO, Eligibility, Financial Resources, Reporting, Risk, Swaps Issuance Date: Description: The CFTC’s Division of Clearing and Risk (the “Division”) issued a no-action letter providing limited no-action relief for derivatives clearing organizations (“DCOs”) that are registered with the Commission and are authorized to operate as central counterparties (“CCPs”) in the EU from the application of Commission regulations to discrete aspects of their non-U.S. clearing activities. |
16-25 | Letter Type: No-Action Division: DMO Regulation Parts: 37.6, 37.1000, 37.1001, 45.2, 45.3 Tags: Core Principles, Enforceability, Recordkeeping, Reporting, Swap, Swap Data Issuance Date: Description: The Division of Market Oversight is issuing a no-action letter that extends Letter No. 15-25 and provides relief from: (1) the requirement that a SEF obtain documents that are incorporated by reference in a confirmation issued under Commission Regulation 37.6(b) prior to issuing the confirmation; (2) the requirement that a SEF maintain such documents as records; and (3) the requirement that a SEF report terms contained in such documents that are confirmation data. |