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 12-65 Letter Type: No-Action
Division: DMO
Regulation Parts: 43, 45, 46
Tags: Public, Real-Time, Recordkeeping, Reporting, Swap Data, Transition Swaps
Issuance Date:
Description:

Time-Limited No-Action Relief from the Reporting of Certain Non-Reporting Counterparty Information Pursuant to Parts 45 and 46


PDF Image 12-64 Letter Type: No-Action
Division: OGC
Regulation Parts: 1a(47)(D)
Tags: Swaps
Issuance Date:
Description:

Time Limited No-Action Relief: Compo Equity Total Return Swaps.


PDF Image 12-63 Letter Type: No-Action
Division: DCR
Regulation Parts: 4d(f)(1), 5b(a)
Tags: DCO, FCM, IB, Registration, Unregistered
Issuance Date:
Description:

No-Action Relief for Singapore Exchange Derivatives Clearing Limited with Regard to Section 5b(a) and Section 4d(f) of the Commodity Exchange Act.


PDF Image 12-62 Letter Type: No-Action
Division: DSIO
Regulation Parts: 1.3(ggg)(4)
Tags: De Minimis, Exception, Swap Dealer
Issuance Date:
Description:

No-Action Relief: Request that Certain Swaps Not Be Considered in Calculating Aggregate Gross Notional Amount for Purposes of the Swap Dealer De Minimis Exception for Persons Engaging in Multilateral Portfolio Compression Activities.


PDF Image 12-61 Letter Type: No-Action
Division: DSIO
Regulation Parts: 1.3(ggg)(4)
Tags: De Minimis, Exception, Swap Dealer
Issuance Date:
Description:

No-Action Relief: U.S. Bank Wholly Owned by Foreign Entity May Calculate De Minimis Threshold Without Including Activity From Its Foreign Affiliates.


PDF Image 12-60 Letter Type: No-Action
Division: DSIO
Regulation Parts: 1.3(ggg)(4)
Tags: De Minimis, Exception, Swap Dealer
Issuance Date:
Description:

Time-Limited No-Action Relief: Request that Certain Swaps Not Be Considered in Calculating Aggregate Gross Notional Amount for Purposes of the Swap Dealer De Minimis Exception for Persons Engaging in Floor Trader Activities. (Extended 13-37)


PDF Image 12-59 Letter Type: No-Action
Division: DMO
Regulation Parts: 45
Tags: Recordkeeping, Reporting, Swap Data
Issuance Date:
Description:

Time-Limited No-Action Relief for Swap Dealers and Major Swap Participants from the Reporting Provisions of Part 45 for CDS Clearing-Related Swaps. (extended by 13-36)


PDF Image 12-58 Letter Type: No-Action
Division: DSIO
Regulation Parts: 23.431
Tags: Disclosures, Material Information
Issuance Date:
Description:

Request for Relief Regarding Obligation to Provide Pre-Trade Mid-Market Mark for Certain Credit Default Swaps and Interest Rate Swaps.


PDF Image 12-57 Letter Type: No-Action
Division: DSIO
Regulation Parts: 2(d), 2(e), 2(g), 2(h), 1.3(ggg)(4)
Tags: Clearing Requirement, De Minimis, Exception, Futures Laws, Swap Dealer, Swaps
Issuance Date:
Description:

Time-Limited No-Action Relief: Request that Swaps Transacted on Natural Gas Exchange Not Be Considered in Calculating Aggregate Gross Notional Amount for Purposes of Swap Dealer De Minimis Exception.


PDF Image 12-56 Letter Type: No-Action
Division: DCR
Regulation Parts: 2(h)(1), 5b(a)
Tags: Clearing Requirement, DCO, Registration
Issuance Date:
Description:

No-Action Relief for Japan Securities Clearing Corporation with Regard to Section 5b(a) of the Commodity Exchange Act and Section 2(h)(1)(A) of the Commodity Exchange Act and Implementing Regulations Thereunder.