CFTC Staff Letters
CFTC Staff Letters provides Letters from 2008 and later. For Letters published before 2008 visit the Letters Archive page.
Description | |
---|---|
17-32 | Letter Type: No-Action Division: DMO, DCR Regulation Parts: 2(a), 38, 38.8, 38.10, 38.951, 39.20, 43, 45 Tags: DCM, Public, Real-Time, Recordkeeping, Reporting, Swap Data, Swaps Issuance Date: Description: Relief from swap reporting and recordkeeping requirements applicable to Cantor Futures Exchange, L.P. (CX), Cantor Clearinghouse, L.P. and CX’s market participants |
17-31 | Letter Type: No-Action Division: DMO, DCR Regulation Parts: 38, 38.8, 38.10, 38.951, 39, 39.20, 43, 45 Tags: DCM, DCO, Public, Real-Time, Recordkeeping, Reporting, Swap Data, Swaps Issuance Date: Description: Relief from swap reporting and recordkeeping requirements applicable to North American Derivatives Exchange, Inc. (Nadex) and Nadex’s market participants |
17-30 | Letter Type: No-Action Division: DCR Regulation Parts: 5b(a), 39, 40 Tags: DCO, Registration Issuance Date: Description: No-action letter for CME Clearing Europe granting relief from obligations applicable to derivatives clearing organizations (DCO) during the wind-down period preceding impending vacation of its DCO registration. |
17-29 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.7(b)(3) Tags: Issuance Date: Description: Exemptive relief granted to a CPO from filing with NFA and distributing to participants annual reports for certain pools, subject to certain conditions. |
17-28 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.7(b)(3) Tags: Issuance Date: Description: Exemptive relief granted to a CPO from filing with NFA and distributing to participants annual reports for certain pools, subject to certain conditions. |
17-27 | Letter Type: No-Action Division: DMO Regulation Parts: 37.9, 37.203, 38, 38.152, 38.500 Tags: Abusive, Core Principles, DCM, Enforcement, Execution, Trading Issuance Date: Description: No-action relief that extends the relief provided in Letter No. 16-58 by permitting SEFs and DCMs to address clerical or operational errors that cause a swap to be rejected from clearing. |
17-26 | Letter Type: No-Action Division: DCR Regulation Parts: 5b(a) Tags: DCO, Registration Issuance Date: Description: Extension of time-limited no-action relief for Shanghai Clearing House with regard to the requirement to register as a DCO in order to clear swaps for US persons. |
17-25 | Letter Type: Advisories Division: DMO Regulation Parts: 37.1303, 38.1101 Tags: Issuance Date: Description: Guidance clarifying the expenses that must be included and those that can be reasonably excluded in a DCM’s or SEF’s calculation of projected operating costs. |
17-24 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.7, 4.33 Tags: CPO, Exemption, Recordkeeping Issuance Date: Description: Exemptive Relief from the Main Business Office Requirement in Commission Regulations 4.33 and 4.7(c)(2) to allow commodity trading advisors (CTAs) to use Third-party Recordkeepers. |
17-23 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.7, 4.27 Tags: CPO, Exemption, Large Pool, Reporting Issuance Date: Description: Exemptive relief granted to a CPO from filing with NFA and distributing to NFA annual reports for certain subsidiary pools, subject to certain conditions. |