CFTC Staff Letters

Exemption permitting CPO to file a single Annual Report for the period from January 1, 2013 through the pool’s permanent cessation of trading on February 28, 2014.

Exemption from requirement that a pool’s financial statement be audited by independent public accountants.

Exemption from requirement that a pool’s financial statement be audited by independent public accountants.

Exemption from requirement that a pool’s financial statement be audited by independent public accountants.

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.

The Division of Market Oversight (DMO) is issuing a no-action letter that provides additional time for reporting parties to comply with certain reporting requirements of the ownership and control final rule, which was published in the Federal Register on November 18, 2013.

Time-limited no-action relief for LCH.Clearnet Limited with regard to Regulations 1.20(g)(4) and 22.5.

Time-limited no-action relief for ICE Clear Europe Limited with regard to Regulation 1.20(g)(4).

Time-limited no-action relief for the Chicago Mercantile Exchange, Inc. with regard to Regulations 1.20(d) and 22.5(a).

DSIO is issuing a no-action letter providing additional time for futures commission merchants (FCMs) to comply with Commission regulations requiring FCMs to obtain acknowledgement letters from certain depositories. DSIO will provide no-action relief until October 17, 2014.