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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13-07 | Letter Type: No-Action Division: DSIO Regulation Parts: 4 Tags: CPO, CTA Issuance Date: Description: Time-Limited No-Action Relief for Securitization Vehicles Regarding Compliance with Part 4 of the Commission’s Regulations. |
13-06 | Letter Type: No-Action Division: DSIO Regulation Parts: 23 Subpart F Tags: MSP, Recordkeeping, Reporting, SD, Swap Dealer Issuance Date: Description: Request for No-Action Relief for Swap Dealers and Major Swap Participants from Compliance with Certain Internal Business Conduct Requirements Found in Subpart F to Part 23 of the CFTCs Regulations. |
13-05 | Letter Type: No-Action Division: DCR, DSIO, DMO Regulation Parts: 4(c) Tags: Foreign Transactions Issuance Date: Description: Extension of Staff No-Action Relief with Respect to Certain CEA Provisions That May Apply to Certain RTOs, ISOs, and/or Their Participants. |
13-04 | Letter Type: No-Action Division: DSIO Regulation Parts: 4d, 4m Tags: CPO, CTA, FCM, IB, Interstate, Unregistered Issuance Date: Description: Relief for Additional Agent Affiliates from Registration as an Introducing Broker under Section 4d or a Commodity Trading Advisor under Section 4m of the Commodity Exchange Act. |
13-03 | Letter Type: No-Action Division: DSIO Regulation Parts: 3.3 Tags: CCO Issuance Date: Description: No-Action Relief for Certain Futures Commission Merchants from Compliance with Certain Requirements of Commission Regulation 3.3 Relating to Annual Reports by Chief Compliance Officers. |
13-02 | Letter Type: No-Action Division: DCR Regulation Parts: 2(h)(1)(A) Tags: Clearing Requirement Issuance Date: Description: No-Action Relief from Required Clearing for Partial Novation and Partial Termination of Swaps |
13-01 | Letter Type: No-Action Division: DCR Regulation Parts: 2(h)(1)(A) Tags: Clearing Requirement Issuance Date: Description: No-Action Relief from Required Clearing for Swaps Resulting from Multilateral Portfolio Compression Exercises |
12-79 | Letter Type: No-Action Division: DMO Regulation Parts: 43, 45, 46 Tags: Public, Real-Time, Recordkeeping, Reporting, Swap Data, Transition Swaps Issuance Date: Description: The Division of Market Oversight issued time-limited, no-action relief to Societe Generale with respect to various reporting requirements under Parts 43, 45, and 46 that Societe Generale was required to comply with as of December 31, 2012. |
12-78 | Letter Type: No-Action Division: DSIO Regulation Parts: 43, 45, 46 Tags: Public, Real-Time, Recordkeeping, Reporting, Swap Data, Transition Swaps Issuance Date: Description: The Division of Market Oversight issued time-limited, no-action relief to Deutsche Bank with respect to various reporting requirements under Parts 43, 45, and 46 that Deutsche Bank was required to comply with as of December 31, 2012. |
12-77 | Letter Type: No-Action Division: DMO Regulation Parts: 43, 45, 46 Tags: Public, Real-Time, Recordkeeping, Reporting, Swap Data, Transition Swaps Issuance Date: Description: The Division of Market Oversight issued time-limited, no-action relief to HSBC with respect to various reporting requirements under Parts 43, 45, and 46 that HSBC was required to comply with as of December 31, 2012. |