CFTC Staff Letters
CFTC Staff Letters provides Letters from 2008 and later. For Letters published before 2008 visit the Letters Archive page.
Description | |
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13-82 | Letter Type: No-Action Division: DSIO Regulation Parts: 1.10, 1.17 Tags: FCM, Financial Reports, IB Issuance Date: Description: No-action relief for certain Introducing Brokers from filing certified and unaudited financial statements and calculating capital under regulation 1.17. |
13-81 | Letter Type: No-Action Division: DMO Regulation Parts: 37.9 Tags: Execution Issuance Date: Description: The CFTC’s Division of Market Oversight has issued a no-action letter providing relief to swap execution facilities (SEFs) that provide basis risk mitigation services for required transactions for failure to comply with the execution methods required under Part 37.9(a)(2) of the Commission’s regulations. |
13-80 | Letter Type: No-Action Division: DSIO Regulation Parts: 1.3(ggg)(6) Tags: Swap Dealer, Swaps Issuance Date: Description: No-Action Relief from Certain Conditions of the Swap Dealer Exclusion for Registered Floor Traders |
13-79 | Letter Type: Advisories Division: DSIO Regulation Parts: 4 Tags: CPO, CTA Issuance Date: Description: Staff Advisory Concerning Commodity Trading Advisors and Swaps |
13-78 | Letter Type: No-Action Division: DSIO Regulation Parts: 23.600, 23.608, 23.609 Tags: MSP, SD, Swap Dealer Issuance Date: Description: Time-Limited No-Action Letter from Certain Entity-Level Internal Business Conduct Requirements for Certain Swap Dealers and Major Swap Participants Established under the Laws of Australia, Canada, the European Union, Japan, and Switzerland. |
13-77 | Letter Type: No-Action Division: DSIO, DMO Regulation Parts: 1.35 Tags: Cash, Forward Issuance Date: Description: Time-Limited No-Action Relief for Certain Members of Swap Execution Facilities from the Requirement to Record Oral Communications Pursuant to Commission Regulation 1.35(a). |
13-76 | Letter Type: No-Action Division: DMO Regulation Parts: 5h(a)(1), 37.3 Tags: Registration, SEF Issuance Date: Description: Conditional Time-Limited No-Action Relief for Yieldbroker Pty Ltd with Regard to Section 5h(a)(1) of the Commodity Exchange Act and Commission Regulation 37.3(a)(1). |
13-75 | Letter Type: No-Action Division: DMO Regulation Parts: 45, 46 Tags: Recordkeeping, Reporting, Swap Data, Transition Swaps Issuance Date: Description: CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief from Certain Requirements of Part 45 and Part 46 of the Commission’s Regulations, for Certain Swap Dealers and Major Swap Participants Established under the Laws of Australia, Canada, the European Union, Japan or Switzerland. |
13-74 | Letter Type: No-Action Division: DCR Regulation Parts: 4d(f)(1), 5b(a) Tags: DCO, FCM, IB, Registration, Unregistered Issuance Date: Description: The Division of Clearing and Risk issued a letter stating that it will not recommend that the Commission take enforcement action against Singapore Exchange Derivatives Clearing Limited (SGX-DC) clearing members for failing to comply with the Commodity Exchange Act Section 4d(f)(1) registration requirements in carrying existing positions and accepting for clearing offsetting positions in certain commodity swaps for U.S. customers; or SGX-DC for engaging in activities related to its clearing members carrying and accepting for clearing such positions for U.S. customers. |
13-73 | Letter Type: No-Action Division: DCR Regulation Parts: 2(h)(1)(A), 5b(a) Tags: Clearing Requirement, DCO, Registration Issuance Date: Description: Extension of a Time-Limited No-Action Relief to Japan Securities Clearing Corporation and Its Qualifying Participants and Affiliates concerning Sections 5b(a) and 2(h)(1)(A) of the Commodity Exchange Act. |