Letters

Date Title
18-11 PDF Image; CFTC Regulations 4.22(d) and 4.27(c); Other Written Communications
Rescission of CFTC Staff Letter No. 16-47
17-33 PDF Image; CEA Section 2(a)(13), 4r and 21; CFTC Regulations Part 43, Part 45 and 49;; Other Written Communications
Announcement of DMO review of all swaps reporting regulations, including opening of comment period. Overview of specific issues that DMO plans to address.
17-69 PDF Image; CFTC Regulation 4.22(c); Other Written Communications
Clarification on language in CFTC Staff Letter No. 13-51.
17-25 PDF Image; CEA Section 5(d)(21) and 5h(f)(13) CFTC Regulations 38.1101(a), 37.1301(a), 38.1101(c), and 37.1303;; Other Written Communications
Guidance clarifying the expenses that must be included and those that can be reasonably excluded in a DCM’s or SEF’s calculation of projected operating costs.
16-75 PDF Image; Regulation 1.25;; Other Written Communications
Practical Application of No-Action Letter No. 16-68 Regarding Investments in Money Market Mutual Funds
16-62 PDF Image; CEA Section 4s(k)(2), CEA Section 4d(d), and Commission Regulation 3.3;; Other Written Communications
Advisory regarding chief compliance officer reporting lines for swap dealers, major swap participants, and futures commission merchants.
16-61 PDF Image; Regulation 39.39;; Other Written Communications
Staff of the Division of Clearing and Risk prepared guidance to DCOs in order to aid DCOs in revising and improving their Recovery Plans and Wind-down Plans, and in preparing proposed rule submissions to implement their Recovery Plans and Wind-down Plans.
16-60 PDF Image; 31 C.F.R. Chapter V;; Other Written Communications
Staff Advisory that reminds: (1) futures commission merchants (FCMs) and introducing brokers (IBs) of their obligations to report suspicious activities as required by a regulation issued by the Financial Crimes Enforcement Network under the Bank Secrecy Act; and (2) FCMs, IBs and all other persons registered or required to be registered with the Commission to comply with the economic sanctions programs imposed against countries and groups of individuals that appear at 31 C.F.R. Chapter V. Advisory.
16-24 PDF Image; Section 1.11;; Other Written Communications
Advisory to Futures Commission Merchants reminding them of key risk management program requirements and sharing observed examples of practices for implementing an effective program.
15-67 PDF Image; Regulations 1.73, 1.74, 39.12(b)(7), 37.702(b), and 38.601(b);; Other Written Communications
Letter from the Division of Clearing and Risk and the Division of Market Oversight to ISDA regarding Straight Through Processing and Affirmation of SEF Cleared Swaps.