CFTC Staff Letters

No-Action relief from the timing requirements of Commission Regulation 3.3(f)(2) relating to annual reports by chief compliance officers.

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.

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

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.

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

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

Portfolio margining of uncleared swaps and security-based swaps.

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

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.

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