CFTC Staff Letters

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

PDF Description
PDF Image 22-09 Letter Type: No-Action
Division: DMO
Regulation Parts: 150.2, 150.4
Tags: Aggregation, Position Limits
Issuance Date:
Description:

Extension of no-action relief granted in CFTC Staff Letter No. 19-19, which granted relief from prospective compliance with certain position aggregation requirements in Commission Regulation 150.4.


Requester(s): FIA, MFA, SIFMA AMG
PDF Image 22-08 Letter Type: Other
Division: DMO
Regulation Parts: 37, 38, 48
Tags: Withdrawal
Issuance Date:
Description:

Withdrawal of No-Action relief provided to Victoria University of Wellington, New Zealand, to operate a not-for-profit market for event contracts, and to offer event contracts to U.S. persons.


Requester(s): CFTC
PDF Image 22-07 Letter Type: No-Action
Division: DCR
Regulation Parts: 5b(a)
Tags: DCO, Registration
Issuance Date:
Description:

Extension of time-limited no-action relief for Shanghai Clearing House with regard to Section 5b(a) of the Commodity Exchange Act and Commission Regulations thereunder.


Requester(s): SHCH
PDF Image 22-06 Letter Type: Advisories
Division: DOD, MPD
Regulation Parts: 43.3, 45.14
Tags: Reporting, Swap Data
Issuance Date:
Description:

DOD is issuing an advisory setting forth instructions for notifying staff pursuant to Parts 43 and 45 when a swap execution facility, designated contract market, or reporting counterparty determines that it is unable to timely correct an error. In this advisory, staff is also highlighting a specific type of error concerning swaps that remain erroneously open at swap data repositories despite having been terminated.


Requester(s): CFTC
PDF Image 22-05 Letter Type: No-Action
Division: DOD, MPD
Regulation Parts: 43, 45
Tags: Public, Real-Time, Recordkeeping, Reporting, Swap Data
Issuance Date:
Description:

Relief under Parts 43 and 45 to entities submitting swaps for clearing by derivatives clearing organizations (DCOs) operating under CFTC exemptive orders or no-action relief provided by CFTC staff.


See also: Request Letter
Requester(s): ISDA
PDF Image 22-04 Letter Type: No-Action
Division: MPD
Regulation Parts: 23.105
Tags: Disclosure, Financial Reports, SD, Swap Dealer
Issuance Date:
Description:

No-Action Position to a SD Regarding the Public Disclosure of Certain Financial Information under SD Financial Reporting Requirements


See also: Request Letter
Requester(s): CRG
PDF Image 22-03 Letter Type: No-Action
Division: DOD, MPD
Regulation Parts: 43, 45, 46, 49
Tags: Reporting, Swap Data
Issuance Date:
Description:

DOD is taking a time-limited no-action position with respect to the compliance dates for the November 25, 2020 amendments to certain of the swap data reporting rules in Parts 43, 45, 46, and 49.


See also: Request Letter
Requester(s): CMESDR, DTCC, ICE SDR, ISDA
PDF Image 22-02 Letter Type: No-Action
Division: MPD
Regulation Parts: 23.105
Tags: Annual Report, Financial Reports, SD, Swap Dealer
Issuance Date:
Description:

No-Action Relief permitting certain Foreign-Based SD to File Annual Financial Reports pursuant to Regulation 23.105(e) in Accordance with Singapore Financial Reporting Standards (Morgan Stanley - J. Aron Singapore Accounting No-Action Relief Request)


PDF Image 22-01 Letter Type: No-Action
Division: MPD
Regulation Parts: 23.105
Tags: Annual Report, Financial Reports, SD, Swap Dealer
Issuance Date:
Description:

No-Action Position for Foreign-Based SD to File Annual Financial Reports in Accordance with Australian Accounting Standards Board (Goldman Sachs No-Action Relief Request)


PDF Image 21-31 Letter Type: No-Action
Division: DCR
Regulation Parts: 39.19
Tags: DCO, Reporting
Issuance Date:
Description:

DCR is extending through June 27, 2022 temporary no-action relief for registered derivatives clearing organizations (DCOs) from the amended daily reporting requirements in CFTC Regulation 39.19(c)(1), so long as DCOs continue to comply with the prior version of the regulation. DCR also is extending through January 27, 2023 relief from the amended reporting requirements in Regulation 39.19(c)(1)(i)(B) and (C), so long as DCOs continue to comply with the prior version of the regulation.