CFTC Staff Letters

The Division of Swap Dealer and Intermediary Oversight (DSIO) granted no-action relief from commodity pool operator (CPO) and commodity trading advisor (CTA) registration to a private university operating collective investment vehicles to manage assets belonging to its endowments, graduate and professional schools, and other university supporting organizations, as well as multiple charitable planned giving accounts, subject to certain conditions outlined in the letter.

No-action relief granted to an entity from registering as a CPO with respect to a commodity pool; provided, that it delegates its CPO responsibilities to a registered CPO, subject to certain conditions.

Exemptive relief granted to a CPO from filing with NFA and distributing to participants annual reports for certain pools, subject to certain conditions.

No-action relief granted to an entity from registering as a CPO with respect to a commodity pool; provided, that it delegates its CPO responsibilities to a registered CPO, subject to certain conditions.

No-action relief granted to an entity from registering as a CPO with respect to a commodity pool; provided, that it delegates its CPO responsibilities to a registered CPO, subject to certain conditions.

No-action relief granted to an entity from registering as a CPO with respect to a commodity pool; provided, that it delegates its CPO responsibilities to a registered CPO, subject to certain conditions.

The Division of Market Oversight provides time-limited no-action relief from certain aggregation requirements under its position limits regime.

Extension of No-Action Relief: Transaction-Level Requirements for Non-U.S. Swap Dealers.

Exemption from specified Part 39 regulations applicable to derivatives clearing organizations due to LedgerX’s fully-collateralized clearing model.

CFTC Staff Issues No-Action Relief for Swap Dealers from Compliance with Commission Regulations on Margin for Uncleared Swaps with Respect to Uncleared Swaps with the European Stability Mechanism