CFTC Staff Letters
CFTC Staff Letters provides Letters from 2008 and later. For Letters published before 2008 visit the Letters Archive page.
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Letter Type: No-Action Division: DMO Regulation Parts: 45.4 Tags: Reporting, Swap Data Issuance Date: Description: Time-Limited No-Action Relief for Swap Dealers and Major Swap Participants From Compliance With Reporting Obligations Under 17 CFR § 45.4(b)(2)(ii). |
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Letter Type: No-Action Division: DSIO Regulation Parts: 4m(1) Tags: CPO, CTA, Interstate Issuance Date: Description: Relief for a CTA from Section 4m(1) of the Commodity Exchange Act. |
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Letter Type: No-Action Division: DMO Regulation Parts: 43, 45 Tags: Public, Real-Time, Recordkeeping, Reporting, Swap Data Issuance Date: Description: Time-Limited No-Action Relief from (i) Parts 43 and 45 Reporting for Prime Brokerage Transactions, and (ii) Reporting of Unique Swap Identifiers in Related Trades under Part 45 by Prime Brokers |
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Letter Type: No-Action Division: DSIO Regulation Parts: 3.3 Tags: CCO Issuance Date: Description: Request for Time-Limited No-Action Relief for Certain Swap Dealers from Compliance with Requirements of Commission Regulation 3.3 Relating to Annual Reports by Chief Compliance Officers. |
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Letter Type: No-Action Division: DMO Regulation Parts: 20.4 Tags: Issuance Date: Description: Clarification of Division of Market Oversight No-Action Letter 12-04 (July 17, 2012), and Extension of No-Action Relief for Non-Clearing Member Swap Dealers from Large Swap Trader Reporting Requirements of Section 20.4 of the Commission’s Regulations. |
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Letter Type: No-Action Division: DMO Regulation Parts: 45.3 Tags: Reporting, Swap Data Issuance Date: Description: The Division of Market Oversight issued time-limited, no-action relief from the post-allocation swap timing requirement of section 45.3(e)(ii)(A) of the Commission’s regulations. |
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Letter Type: No-Action Division: DSIO Regulation Parts: 30.10 Tags: Issuance Date: Description: No-Action Relief: Alternative to Fingerprinting to Establish Fitness of Principals Residing Outside the United States. |
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Letter Type: No-Action Division: DMO Regulation Parts: 2(d), 2(e), 2(g), 2(h) Tags: Clearing Requirement, Futures Laws, Swaps Issuance Date: Description: Staff No-Action Relief: Preservation of the Regulatory Status Quo Established with Respect to Certain Transactions by the Commission’s Second Amendment to July 14, 2011 Order for Swap Regulation. |
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Letter Type: No-Action Division: DSIO Regulation Parts: 3.3 Tags: CCO Issuance Date: Description: Request for Time-Limited 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. |
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Letter Type: No-Action Division: DMO Regulation Parts: 20, 45, 46 Tags: Large Trader, Recordkeeping, Reporting, Swap Data, Swaps, Transition Swaps Issuance Date: Description: Time-limited no-action relief for Part 20 Reporting Entities regarding identifying information and for Part 45 and Part 46 Reporting Counterparties regarding legal entity identifiers and other identifying information. |