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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12-66 | Letter Type: No-Action Division: DMO Regulation Parts: 43, 45, 46 Tags: Public, Real-Time, Recordkeeping, Reporting, Swap Data, Transition Swaps Issuance Date: Description: Relief regarding the reporting of swap transaction data. |
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 |
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. |
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. |
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. |
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. |
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) |
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) |
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. |
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. |