CFTC Staff Letters

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

PDF Description
PDF Image 16-76 Letter Type: No-Action
Division: DMO
Regulation Parts: 2(h)(8), 5(d)(9), 37.3, 37.9
Tags: Core Principles, Designation, Execution, Registration, Trade Execution
Issuance Date:
Description:

The Division of Market Oversight extended the no-action relief granted in CFTC Letter 15-55 for certain swaps required to be traded on a swap execution facility (SEF) or designated contract market (DCM) to the extent that those swaps were part of a package transaction.


PDF Image 16-75 Letter Type: Advisories
Division: DSIO
Regulation Parts: 1.25
Tags:
Issuance Date:
Description:

Practical Application of No-Action Letter No. 16-68 Regarding Investments in Money Market Mutual Funds


PDF Image 16-74 Letter Type: No-Action
Division: DMO
Regulation Parts: 43, 43.2
Tags: Public, Real-Time, Reporting
Issuance Date:
Description:

The Division of Market Oversight is issuing a no-action letter that extends the relief provided in Letter No. 15-60 by permitting swap execution facilities (“SEFs”) to provide for the use of a non-Order Book trading system or platform to execute block trades for swaps that are intended to be cleared, subject to certain conditions.


PDF Image 16-73 Letter Type: No-Action
Division: DMO, DCR, DSIO
Regulation Parts: 4(c)
Tags: Foreign Transactions
Issuance Date:
Description:

Extension of Time-Limited No-Action Relief with Respect to Certain Commodity Exchange Act Provisions That May Apply to Southwest Power Pool, Inc. and/or Its Participants


PDF Image 16-72 Letter Type: No-Action
Division: DMO, DSIO
Regulation Parts: 2(h)(8), 5h(a)(1), 23.501, 23.504, 37, 37.3
Tags: Registration, SEF, Swap, Trade Execution
Issuance Date:
Description:

Conditional no-action relief related to CFTC No-Action Letter No. 15-29 with respect to swaps trading on Yieldbroker Pty Limited


PDF Image 16-71 Letter Type: No-Action
Division: DCR
Regulation Parts: 23
Tags: MSP, SD, Swap Dealer
Issuance Date:
Description:

Portfolio margining of uncleared swaps and security-based swaps.


PDF Image 16-70 Letter Type: No-Action
Division: DSIO
Regulation Parts: 23.157
Tags: Custodial
Issuance Date:
Description:

Temporary no-action relief regarding custodial arrangements for swap dealers subject to September 1, 2016 compliance date for margin for uncleared swaps.


PDF Image 16-69 Letter Type: Interpretative
Division: DCR
Regulation Parts: 39.11, 39.13, 39.15, 39.36
Tags: Financial Resources, Risk, SIDCO
Issuance Date:
Description:

Interpretation of CFTC regulations 39.11(e)(1); 39.13(g)(10); 39.15(c) and (e); and 39.36(f) in light of amendments to Securities and Exchange Commission rule 2a-7.


PDF Image 16-68 Letter Type: No-Action
Division: DSIO
Regulation Parts: 1.25
Tags: Customer, Funds
Issuance Date:
Description:

No-Action relief for FCMs with respect to the investment of customer funds in certain money market funds under CFTC Regulation 1.25.


PDF Image 16-67 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.7
Tags: CPO, Exemption
Issuance Date:
Description:

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).