CFTC Staff Letters

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.

Extension of Staff No-Action Relief with Respect to Certain CEA Provisions That May Apply to Certain RTOs, ISOs, and/or Their Participants.

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.

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.

No-Action Relief from Required Clearing for Partial Novation and Partial Termination of Swaps

No-Action Relief from Required Clearing for Swaps Resulting from Multilateral Portfolio Compression Exercises

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.

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.

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.

The Division of Market Oversight issued time-limited, no-action relief to Barclays Bank, PLC with respect to various reporting requirements under Parts 43 and 45 that Barclays Bank, PLC was required to comply with as of December 31, 2012.