CFTC Staff Letters
CFTC Staff Letters provides Letters from 2008 and later. For Letters published before 2008 visit the Letters Archive page.
Description | |
---|---|
20-07 | Letter Type: No-Action Division: DMO Regulation Parts: 37.205, 37.400, 37.406, 37.1000, 37.1001 Tags: Recordkeeping, SEF, Trading, COVID-19 Issuance Date: Description: Subject to the conditions specified in the letter, DMO will not recommend that the Commission take an enforcement action against any SEF for the failure to comply with Commission regulations 37.205(a)-(b), 37.400(b), 37.406, 37.1000(a)(1), and 37.1001 to the extent that non-compliance arises from the inability of SEFs to record voice communications as a result of the displacement of voice trading personnel from their normal business sites in connection with the COVID-19 pandemic response. |
20-06 | Letter Type: No-Action Division: DSIO Regulation Parts: 3.3, 23.202 Tags: Annual Report, Recordkeeping, SD, COVID-19 Issuance Date: Description: No-action positions for swap dealers to facilitate physical separation of personnel in response to the COVID-19 pandemic |
20-05 | Letter Type: No-Action Division: DSIO Regulation Parts: 1.35, 5.18 Tags: Recordkeeping, RFED, COVID-19 Issuance Date: Description: No-action positions for retail foreign exchange dealers to facilitate physical separation of personnel in response to the COVID-19 pandemic |
20-04 | Letter Type: No-Action Division: DSIO Regulation Parts: 1.3, 1.35 Tags: IB, Recordkeeping, Registration, Floor broker, COVID-19 Issuance Date: Description: No-action positions for floor brokers to facilitate physical separation of personnel in response to the COVID-19 pandemic |
20-03 | Letter Type: No-Action Division: DSIO Regulation Parts: 1.35, 1.55, 3.3 Tags: Annual Report, FCM, IB, Recordkeeping, COVID-19 Issuance Date: Description: No-action positions for futures commission merchants and introducing brokers to facilitate physical separation of personnel in response to the COVID-19 pandemic |
20-02 | Letter Type: No-Action Division: DSIO Regulation Parts: 1.35 Tags: DCM, Recordkeeping, SEF, COVID-19 Issuance Date: Description: No-action positions for certain members of designated contract markets and swap execution facilities to facilitate physical separation of personnel in response to the COVID-19 pandemic |
20-01 | Letter Type: No-Action Division: DMO Regulation Parts: 37, 37.9, 37.203, 38, 38.152, 38.500 Tags: Cleared Swaps, DCM, SEF Issuance Date: Description: This relief revises CFTC Staff No-Action Letter 17-27 with respect to the error correction process for cleared erroneous swaps. |
19-29 | Letter Type: No-Action Division: DSIO Regulation Parts: 23.154 Tags: Initial margin, Margin, SD Issuance Date: Description: No-action relief granted to a swap dealer concerning the calculation of initial margin under Commission regulation 23.154. |
19-28 | Letter Type: No-Action Division: DCR Regulation Parts: 2(h)(1)(A), 50.2, 50.50, 50.51 Tags: Clearing Requirement, LIBOR, IBOR Issuance Date: Description: No-action relief from the swap clearing requirement for amendments to legacy uncleared swaps to facilitate orderly transition from inter-bank offered rates to alternative risk-free rates. |
19-27 | Letter Type: No-Action Division: DMO Regulation Parts: 2(h)(8) Tags: Trade Execution, LIBOR, IBOR Issuance Date: Description: No-action relief from the trade execution requirement to facilitate an orderly transition from the inter-bank offered rates to alternative risk-free rates. |