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 Image19-10 Letter Type: No-Action
Division: DSIO
Regulation Parts: 4d
Tags: IB, Registration
Issuance Date:
Description:

No-action relief granted to an entity for its branch from registration as an IB pursuant to CEA Section 4d(g) to provide sufficient time for the Commission to review the entity’s 30.10 Petition, subject to certain conditions.

PDF Image19-09 Letter Type: No-Action
Division: DMO, DCR, DSIO
Regulation Parts: 2(h)(8), 4d, 4m, 23 Subpart I, 23.502, 45, 46, 50.52
Tags: Brexit
Issuance Date:
Description:

This staff letter ensures that existing regulatory relief provided by DSIO, DMO, and DCR pursuant to certain existing staff letters affecting EU entities continues to be available for UK entities following Brexit.

PDF Image19-08 Letter Type: No-Action
Division: DMO, DSIO
Regulation Parts: 2(h)(8), 5h(a)(1), 23 Subpart F, 23 Subpart I, 23 Subpart J, 37.3
Tags: Brexit
Issuance Date:
Description:

No-action relief granted to ensure the continued availability, following Brexit, of regulatory relief under certain existing CFTC comparability determinations and exemption orders originally issued by the CFTC for EU entities, while CFTC staff undertakes an analysis of UK law in order to make appropriate recommendations of comparability or exemption to the CFTC.

PDF Image19-06 Letter Type: No-Action
Division: DSIO
Regulation Parts: 23.431
Tags: Disclosures, SEF, Prime Brokerage, External Business Conduct
Issuance Date:
Description:

No-Action Position for Off-SEF Swaps Executed Pursuant to Prime Brokerage Arrangements

PDF Image19-05 Letter Type: No-Action
Division: DSIO
Regulation Parts: 4m(1)
Tags: CPO, Delegation
Issuance Date:
Description:

No-action relief granted to an entity (Ltd.) from CPO registration under CEA Section 4m(1) with respect to certain commodity pools; provided, that it delegates its CPO responsibilities to a registered CPO, subject to certain conditions.

PDF Image19-04 Letter Type: No-Action
Division: DSIO
Regulation Parts: 4m(1)
Tags: CPO, Delegation
Issuance Date:
Description:

No-action relief granted to an entity (LLC) from CPO registration under CEA Section 4m(1) with respect to certain commodity pools; provided, that it delegates its CPO responsibilities to a registered CPO, subject to certain conditions.

PDF Image19-03 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.7
Tags:
Issuance Date:
Description:

CPO exempt from the requirement to provide quarterly account statements within 30 ends of the end of each quarter, provided that the CPO provides monthly account statements within 45 days of the end of each month.  

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:
Issuance Date:
Description:

Exemptive relief granted to a CPO to permit the CPO to provide monthly account statements to participants in specific commodity pools it operates within 45 days of the month end, rather than quarterly account statements within 30 days of the quarter end as required by Commission Regulation 4.7(b)(2).

PDF Image18-37 Letter Type: No-Action
Division: DSIO
Regulation Parts: 4m(1)
Tags:
Issuance Date:
Description:

No-Action relief granted to the general partner of a commodity pool from the Commission’s registration requirements, and to delegate certain of its responsibilities to a registered CPO.