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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20-39 | Letter Type: No-Action Division: DMO, MPD Regulation Parts: 2(h)(8), 5h(a)(1), 23 Subpart F, 23 Subpart I, 23 Subpart J, 37.3 Tags: Brexit Issuance Date: Description: Extension of no-action relief 19-08 granted to ensure the continued availability, following completion of Brexit, of regulatory relief under certain existing CFTC comparability determinations and exemption orders originally issued by the CFTC for EU entities. |
20-38 | Letter Type: No-Action Division: DOD Regulation Parts: 45, 46, 49 Tags: Reporting, SDR Issuance Date: Description: Time-limited no action relief for DTCC SDR and registered entities and swap counterparties reporting swaps to DTCC SDR from certain portions of Part 45, 46 and 49 of the Commission's regulations. |
20-37 | Letter Type: No-Action Division: DMO Regulation Parts: 45, 46 Tags: Foreign, Foreign Transactions, MSP, Reporting, Swap Dealer, Non-US Swap Dealers, Non-US MSP Issuance Date: Description: Extension of Time-Limited No-Action Relief from Certain Requirements of Part 45 and Part 46 of the Commission’s Regulations, for Certain Swap Dealers and Major Swap Participants Established under the Laws of Australia, Canada, the European Union, Japan, Switzerland or the United Kingdom. |
20-36 | Letter Type: No-Action Division: DMO Regulation Parts: 37.205 Tags: Audit Trail Issuance Date: Description: Extension of No-Action Relief for Swap Execution Facilities from Certain Audit Trail Requirements in Commission Regulation 37.205 Related to Post-Execution Allocation Information. |
20-35 | Letter Type: No-Action Division: DMO Regulation Parts: 43.2 Tags: Block Trades, SEF Issuance Date: Description: Extension of No-Action Relief for Swap Execution Facilities from Certain “Block Trade” Requirements in Commission Regulation 43.2 |
20-34 | Letter Type: Advisories Division: DSIO Regulation Parts: 4d, 4d(f), 1.11, 1.20, 1.32, 1.55, 22.2, 22.5 Tags: FCM, Segregation, Virtual Currency Issuance Date: Description: DSIO advisory to FCMs regarding accepting and holding customer virtual currency assets in segregation and guidance on practices to consider in developing and maintaining their risk management programs when holding such assets as customer funds. |
20-33 | Letter Type: No-Action Division: DMO Regulation Parts: 43.3 Tags: Cleared Swaps, Reporting, LIBOR, Part 43, SOFR Issuance Date: Description: Relief from the Part 43 public reporting requirements for relevant swaps related to the CME Inc SOFR discounting transition auction |
20-32 | Letter Type: No-Action Division: DMO Regulation Parts: 43.3 Tags: Cleared Swaps, Reporting, LIBOR, Part 43, SOFR Issuance Date: Description: Relief from the Part 43 public reporting requirements for relevant swaps related to the LCH Limited SOFR discounting transition auction |
20-31 | Letter Type: No-Action Division: DMO Regulation Parts: 2(h)(8), 5(d)(9), 37.3, 37.9 Tags: SEF, Trade Execution Requirement, Package Transactions Issuance Date: Description: Extension of No-Action Relief from Sections 2(h)(8) and 5(d)(9) of the Commodity Exchange Act and from Commission Regulations 37.3(a)(2) and 37.9 for Swaps Executed as Part of Certain Package Transactions. |
20-30 | Letter Type: No-Action Division: DMO Regulation Parts: 17, 18, 20 Tags: Reporting, Ownership and Control, Part 17, Part 18, Part 20 Issuance Date: Description: Extension of conditional time-limited no-action relief from filing certain infromation for ownership and control reports required by Parts 17, 18, and 20 of the Commission’s regulations |