CFTC Staff Letters

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.  

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).  

This no-action letter provides relief from compliance with certain position aggregation requirements under Commission Regulation 150.4. 

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

Conditional No-Action Relief to Eurex Clearing AG and its FCM Clearing Members to hold customer margin in the form of securities at Clearstream Banking AG

Confirmation that Eurex Clearing AG has demonstrated compliance with the straight-through-processing requirements of Regulation 39.12(b)(7) and approval of certain Eurex rules.

Exemptive relief from the provisions of Commission Regulation 4.7 to prepare and distribute quarterly account statements within 30 days of the end of the quarter and instead prepare monthly account statements within 45 days of month end.  

Exemption Pursuant to Commission Regulation 1.16(f)(2) for Audit Standards Requirements for FCM Certified Financial Statements for Year Ending December 31, 2018.  

This no-action letter provides relief from compliance with certain position aggregation requirements under Commission Regulation 150.4.   

Commission Regulation 30.7 – Staff No-Action Position Regarding Futures Commission Merchant’s Deposit of Customer-Owned Securities as Margin with a Foreign Broker.