CFTC Staff Letters

CFTC Staff Letters provides Letters from 2008 and later. For Letters published before 2008 visit the Letters Archive page.

Letter Number

Letter Types

Divisions

Regulation Parts

Letter Tags

Requester Tags

Dodd Frank

Letter Year

PDF	Description
14-90	Letter Type: No-Action Division: DMO Regulation Parts: 45.4 Tags: Reporting, Swap Data Issuance Date: 06/30/2014 Description: Further extension of no-action relief granted by DMO on June 26, 2013 to SD and MSP reporting counterparties for cleared swaps from valuation data reporting required in section 45.4(b)(2)(ii) of the Commissions regulations.
14-89	Letter Type: No-Action Division: DMO Regulation Parts: 20, 45, 46 Tags: Large Trader, Recordkeeping, Reporting, Swap Data, Swaps, Transition Swaps Issuance Date: 06/27/2014 Description: Time-Limited Extension of the No-Action Relief Provided in CFTC Letter No. 13-41 regarding the reporting of identifying information under Parts 20, 45 and 46.
14-88	Letter Type: No-Action Division: DSIO Regulation Parts: 1.2, 22.2, 30.7 Tags: Cleared Swaps, Collateral, FCM, Foreign Future, Foreign Option Issuance Date: 06/25/2014 Description: Extension of Time-Limited No-Action relief from compliance with certain conditions associated with the receipt of customer funds by FCMs.
14-87	Letter Type: No-Action Division: DCR Regulation Parts: 5b(a) Tags: DCO, Registration Issuance Date: 06/26/2014 Description: Time-limited no-action relief for Korea Exchange, Inc. with regard to Section 5b(a) of the Commodity Exchange Act and Commission Regulations thereunder.
14-86	Letter Type: No-Action Division: DCR, DMO Regulation Parts: 5(d)(11), 5b(a) Tags: Core Principles, DCO, Designation, Registration Issuance Date: 06/25/2014 Description: Extension of joint no-action relief granted by DCR and DMO on September 27, 2013, allowing LCH.Clearnet Ltd to clear contracts listed for trading on Nodal Exchange LLC.
14-85	Letter Type: No-Action Division: DCR Regulation Parts: 5b(a) Tags: DCO, Registration Issuance Date: 06/25/2014 Description: Extension of no-action relief granted by DCR on September 23, 2013, allowing LCH.Clearnet Ltd to clear swaps executed on designated contract markets and swap execution facilities.
14-84	Letter Type: No-Action Division: DSIO Regulation Parts: 4m(1) Tags: CPO, CTA, Interstate Issuance Date: 06/02/2014 Description: Form of Reply for CFTC Letter No. 14-75, 14-76, 14-77, 14-78, 14-79, 14-80, 14-81, 14-82, 14-83, and 14-84
14-83	Letter Type: No-Action Division: DSIO Regulation Parts: 4m(1) Tags: CPO, CTA, Interstate Issuance Date: 06/02/2014 Description: Form of Reply for CFTC Letter No. 14-75, 14-76, 14-77, 14-78, 14-79, 14-80, 14-81, 14-82, 14-83, and 14-84
14-82	Letter Type: No-Action Division: DSIO Regulation Parts: 4m(1) Tags: CPO, CTA, Interstate Issuance Date: 06/02/2014 Description: Form of Reply for CFTC Letter No. 14-75, 14-76, 14-77, 14-78, 14-79, 14-80, 14-81, 14-82, 14-83, and 14-84
14-81	Letter Type: No-Action Division: DSIO Regulation Parts: 4m(1) Tags: CPO, CTA, Interstate Issuance Date: 06/02/2014 Description: Form of Reply for CFTC Letter No. 14-75, 14-76, 14-77, 14-78, 14-79, 14-80, 14-81, 14-82, 14-83, and 14-84

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1
1(a)(23)
1.10
1.11
1.16
1.17
1.2
1.20
1.22
1.25
1.26
1.3
1.3(ggg)(4)
1.3(ggg)(6)
1.3(hhh)
1.32
1.35
1.49
1.55
1.56
1.57
1.58
1.71
1.73
1.9
1026.320
12.35
13(a)
15
150
150.2
150.4
151
151.5
155.3
16.01
160
17
17.04
18
180
19.01
19.02
190.04
190.10
1a(10)
1a(12)(C)
1a(15)
1a(18)(A)
1a(47)(D)
1a(49)
1a(5)
1a(6)
2(a)
2(a)(1)(C)
2(c)(2)(B)
2(c)(2)(C)
2(d)
2(e)
2(g)
2(h)
2(h)(1)
2(h)(1)(A)
2(h)(7)
2(h)(7)(C)(iii)
2(h)(8)
2(j)
20
20.4
20.5
22
22.17
22.2
22.3
22.5
22.9
23
23 Subpart E
23 Subpart F
23 Subpart H
23 Subpart I
23 Subpart J
23 Subpart L
23.100
23.101
23.102
23.103
23.104
23.105
23.106
23.150
23.150 - 23.161
23.151
23.152
23.153
23.154
23.155
23.156
23.157
23.158
23.159
23.160
23.161
23.202
23.204
23.205
23.22
23.400
23.401
23.402
23.410
23.430
23.431
23.432
23.433
23.434
23.440
23.450
23.451
23.500
23.501
23.502
23.503
23.504
23.505
23.506
23.600
23.608
23.609
23.610
23.700
23.701
23.702
23.703
23.704
3
3.10
3.12
3.3
3.4
3.55
30
30.10
30.13
30.2
30.5
30.6
30.7
32.3
32.4
33.7
36.3
37
37.1000
37.1001
37.12
37.1303
37.1306
37.1501
37.200
37.201
37.202
37.203
37.205
37.3
37.400
37.406
37.6
37.702
37.9
38
38.10
38.11
38.1101
38.152
38.250
38.251
38.252
38.253
38.254
38.255
38.256
38.500
38.553
38.8
38.951
39
39 Subpart C
39.11
39.12
39.13
39.14
39.15
39.16
39.17
39.19
39.20
39.21
39.33
39.36
39.39
39.40
4
4 Appendix A
4(c)
4.10
4.10(d)(1)
4.12
4.13
4.20
4.21
4.22
4.23
4.24
4.25
4.27
4.31
4.33
4.34
4.35
4.36
4.5
4.6
4.7
4.7(b)(2)
4.7(b)(3)
40
40.2
40.3
42.2
43
43.2
43.3
43.4
43.6
45
45.10
45.14
45.2
45.3
45.4
45.5
45.8
46
48
49
4a
4d
4d(f)
4d(f)(1)
4d(f)(2)
4d(f)(3)
4d(f)(4)
4d(f)(6)
4e
4m
4m(1)
4s(b)(6)
4s(k)
4s(k)(2)
4s(l)
5
5(a)
5(d)(10)
5(d)(11)
5(d)(4)
5(d)(9)
5.18
50
50 Subpart A
50.2
50.4
50.50
50.51
50.52
5b(a)
5b(c)(2)(C)
5b(c)(2)(E)
5b(c)(2)(H)
5h(a)(1)
75.14
8a(2)
8a(3)

Abusive
Acknowledgement
Affiliates
Aggregation
ANE
Annual Report
Associated Persons
Audit
Audit Trail
Binary Option
Block Trades
Block Trades
Board of Trade
Boards of Trade
Brexit
Business Conduct Standards
Capital
Cash
CCO
CIP
Cleared
Cleared Swaps
Clearing
Clearing Requirement
CME
Collateral
Commodity Pool
Compliance
Confirmation
Contract Market
Core Principles
Counterparty
COVID-19
CPO
Cross-border
CTA
Custodial
Customer
Customer Funds
Customer Identification Program
DCM
DCO
De Minimis
Delegation
Depository
Designation
Digital Assets
Disclosure
Disclosures
Documentation
ECM
Eligibility
Eligible Contract Participant
End-user
Enforceability
Enforcement
ESM
Event Contract
Exception
Exceptions
Exclusion
Execution
Exempt DCO
Exemption
Exemptions
External Business Conduct
FCM
Financial Integrity
Financial Reports
Financial Resources
Fingerprinting
Floor broker
Floor Trader
Foreign
Foreign Boards of Trade
Foreign Broker
Foreign Currency
Foreign Future
Foreign Option
Foreign Transactions
Forward
Fully-collateralized
Funds
Futures Laws
Guarantees Against Loss
Hedging
IB
IBOR
Initial
Initial margin
Insured depository institution
Intended To Be Cleared
Interstate
Investment of Customer Funds
Jurisdiction
Large Pool
Large Trader
Legacy Swaps
LIBOR
Margin
Margin Withdrawals
Market Integrity
Material Information
Minimum financial requirements
minimum transfer amount
Model
MSP
MTA
Non-US MSP
Non-US Swap Dealers
Nonbank
Ownership and Control
Package Transactions
Part 17
Part 18
Part 20
Part 38
Part 43
Part 45
Pool Participant
Portfolio
Position Limits
Positions
Prime Brokerage
Prohibited
Public
Public Information
Real-Time
Recordkeeping
Registration
Reinstatement Requirements
Reporting
Requirements
RFED
Risk
Risk Management
SD
SDR
SEC
SEF
Segregated
Segregation
Separate Account Treatment
Separate Accounts
Settlement
SIDCO
SOFR
Speculation
Statutory Disqualification
Straight-through processing
Substituted Compliance
Swap
Swap Data
Swap Dealer
Swap Documentation
Swap Trading Relationship Documentation
Swaps
Tangible Net Worth
Threshold
Trade Execution
Trade Execution Requirement
Trade Option
Trader
Trading
Transition Swaps
Uncleared Swaps
Unregistered
Variation
Variation margin
VB
Virtual Currency
Voice Broker
Withdrawal

ADMIS
ARRC
CFTC
CGA
CGS&H LLP
CMC
CME
CMESDR
CMIC
CRG
DTCC
EIMS
FCX
FCXDCO
FIA
ICE SDR
ICLR US
IIB
III CAP
ISDA
KEX
KLEAR
KOR
KRX
LCHSA
LEDGERX
MFA
MGECH
OCC
ROYALTY
SHCH
SIFMA
SIFMA AMG
TAIFEX
TWO SIGMA
YIELDBRKER