CFTC Staff Letters

CFTC Staff Letters provides Letters from 2008 and later. For Letters published before 2008 visit the Letters Archive page.

Title Body
PDF Image19-02 Letter Type: No-Action
Division: DSIO
Regulation Parts: 4m(1)
Tags: CPO, Registration
Issuance Date:
Description: No-Action relief granted to an entity from registering as a CPO or CTA with regard to managing the investing activities of its affiliate, which owns mineral and royalty interests in crude oil and natural gas properties
PDF Image19-01 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.7(b)(2)
Tags: CPO, Reporting
Issuance Date:
Description: Exemptive relief request concerning quarterly account statements required by Regulation 4.7(b)(2) on behalf of “A” and several commodity pools.
PDF Image18-37 Letter Type: No-Action
Division: DSIO
Regulation Parts: 4m(1)
Tags:
Issuance Date:
Description: Delegation of CPO responsibilities to a DoubleBlue Capital Mgt, a 3rd party registered CPO.
PDF Image18-36 Letter Type: No-Action, Exemption
Division: DSIO
Regulation Parts: 4.7
Tags:
Issuance Date:
Description: Exemptive relief granted to permit CPO issuance of account statements 45 days after the end of each month instead of 30 days after the end of each quarter.
PDF Image18-35 Letter Type: No-Action
Division: DSIO
Regulation Parts: 4m(1)
Tags:
Issuance Date:
Description: No Action Relief to CPO to allow it to delegate responsibilities to an unaffilated registered CPO
PDF Image18-34 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.7
Tags:
Issuance Date:
Description: In lieu of issuing a quarterly account statment within 30 days after the end of each quarter, CPO will issue customer account statements within 45 days after the end of each month
PDF Image18-33 Letter Type: No-Action
Division: DMO
Regulation Parts: 150.4
Tags: Aggregation, Positions
Issuance Date:
Description: No-Action Relief from certain Position Aggregation Requirements under Commission Regulation 150.4(b)(2)(i)(D)
PDF Image18-32 Letter Type: No-Action
Division: DCR
Regulation Parts: 1.20, 22.5
Tags:
Issuance Date:
Description: No-Action Relief to Eurex Clearing AG to allow certain modifications to the acknowledgment letter that Eurex is required to obtain from the Deutsche Bundesbank
PDF Image18-31 Letter Type: No-Action
Division: DCR, DSIO
Regulation Parts: 1.49, 22.9
Tags:
Issuance Date:
Description: Conditional No-Action Relief to Eurex Clearing AG and its FCM Clearing Members to hold customer margin in the form of securities at Clearstream Banking AG
PDF Image18-30 Letter Type: Other
Division: DCR, DSIO
Regulation Parts: 39.12, 190.04
Tags:
Issuance Date:
Description: Confirmation that Eurex Clearing AG has demonstrated compliance with the straight-through-processing requirements of Regulation 39.12(b)(7) and approval of certain Eurex rules.