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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12-21 | Letter Type: No-Action Division: DSIO Regulation Parts: 1.3(ggg)(4), 1.3(hhh) Tags: De Minimis, Exception, MSP, Swap Dealer Issuance Date: Description: Time Limited No-action Relief: Foreign Exchange Swaps and Foreign Exchange Forwards Not to be Considered in Calculating Aggregate Gross Notional Amount for Purposes of Swap Dealer De Minimis Exception or in Calculating Substantial Position in Swaps or Substantial Counterparty Exposure for Purposes of the Major Swap Participant Definition. Time-Limited No-action Relief for persons that meet the definitions of Commodity Pool Operators and Commodity Trading Advisors Solely as a Result of their Foreign Exchange Swap and Foreign Exchange Forward Activities. |
12-20 | Letter Type: No-Action Division: DSIO Regulation Parts: 1.3(ggg)(4), 1.3(hhh) Tags: De Minimis, Exception, MSP, Swap Dealer Issuance Date: Description: Time-Limited No-Action Relief: Swaps in Agricultural and Exempt Commodities Not to be Considered in Calculating Aggregate Gross Notional Amount for Purposes of Swap Dealer De Minimis Exception and Calculation of Whether a Person is a Major Swap Participant. |
12-19 | Letter Type: Interpretative Division: DSIO Regulation Parts: 1.3, 4.5 Tags: CPO, Exclusion Issuance Date: Description: The Division of Swap Dealer and Intermediary Oversight issued an interpretative letter that clarifies, in light of the recent vacatur of the position limits rule, the scope of the bona fide hedging exemption from the trading thresholds as applied to the operators of registered investment companies pursuant to Regulation 4.5. |
12-18 | Letter Type: No-Action Division: DSIO Regulation Parts: 1.3(ggg)(4) Tags: De Minimis, Exception, Swap Dealer Issuance Date: Description: Staff No-Action Relief: Temporary Relief from the De Minimis Threshold for Certain Swaps with Special Entities. |
12-17 | Letter Type: No-Action, Interpretative Division: DSIO Regulation Parts: 1a(18)(A), 2(e), 13(a), 23.430 Tags: Counterparty, Eligibility Issuance Date: Description: Interpretations and no-action positions related to ECP status. |
12-16 | 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: Cleared Swaps in Agricultural and Exempt Commodities and Swaps Exchanged for Futures Not to be Considered in Calculating Aggregate Gross Notional Amount for Purposes of Swap Dealer De Minimis Exception. |
12-15 | Letter Type: No-Action Division: DSIO Regulation Parts: 4d, 4e, 4m, 4s(b)(6), 8a(2), 8a(3) Tags: CPO, CTA, FCM, IB, Interstate, MSP, Registration, SD, Unregistered Issuance Date: Description: Registration Relief for Certain Persons. |
12-14 | Letter Type: Interpretative Division: DSIO Regulation Parts: 1a(10), 4.10 Tags: Commodity Pool, CPO, CTA Issuance Date: Description: The Division of Swap Dealer and Intermediary Oversight issued an interpretative letter excluding certain securitization vehicles from the definition of commodity pool, subject to certain conditions. |
12-13 | Letter Type: Interpretative Division: DSIO Regulation Parts: 1a(10), 4.10 Tags: Commodity Pool, CPO, CTA Issuance Date: Description: Request for Interpretation of the Definition of “Commodity Pool” under Section 1a(10) of the Commodity Exchange Act. |
12-12 | Letter Type: No-Action Division: DMO, DSIO, DCR Regulation Parts: 32.4, 180 Tags: Issuance Date: Description: Staff No-Action Relief: Preservation of the Regulatory Status Quo with Respect to Certain CEA Provisions That May Apply to FPA Section 201(f) Entities and Other Electric Cooperatives. |