Letters

Date Title
18-14 PDF Image; CEA Section 5, 5b, 5c, and 5h, and Commission Regulations 40.2 and 40.3; Advisories
Advisory for exchanges and clearinghouses with respect to Virtual Currency Derivative Product Listings.
16-62 PDF Image; CEA Section 4s(k)(2), CEA Section 4d(d), and Commission Regulation 3.3;; Advisories
Advisory regarding chief compliance officer reporting lines for swap dealers, major swap participants, and futures commission merchants.
16-60 PDF Image; 31 C.F.R. Chapter V;; Advisories
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;; Advisories
Advisory to Futures Commission Merchants reminding them of key risk management program requirements and sharing observed examples of practices for implementing an effective program.
15-14 PDF Image; 17 CFR Parts 15, 17, 18 and 20;; Advisories
Staff advisory from the Divisions of Market Oversight and Swap Dealer and Intermediary Oversight to remind futures commission merchants, clearing members, foreign brokers, swap dealers, and certain reporting markets of their obligation to obtain information on a timely basis from their customers or counterparties in order to comply with the ownership and control reports (OCR) final rule.
14-153 PDF Image; Commission Regulations 3.3(e) (17 C.F.R. 3.3(e)) and 3.3(f) (17 C.F.R. 303(f));; Advisories
DSIO guidance to chief compliance officers of FCMs, SDs, and MSPs on how to comply with the requirement under Commission Regulation 3.3(e) to prepare an annual report.
14-21 PDF Image; Part 160;; Advisories
Best practices for complying with GLB Security Safeguards
14-20 PDF Image; Section 4(c)(6);; Advisories
Staff from the Division of Market Oversight and the Division of Clearing and Risk issued an Advisory, which helps provide clarity to certain market participants regarding certain statements made in the Final Order in Response to a Petition from Certain Independent system Operators and Regional Transmission Organizations to Exempt Specified Transactions Authorized by a Tariff or Protocol Approved by the Federal Energy Regulatory Commission or the Public Utility Commission of Texas from Certain Provisions of the Commodity Exchange Act Pursuant to the Authority Provided in the Act.
13-79 PDF Image; Part 4 of the Commission’s Regulations;; Advisories
Staff Advisory Concerning Commodity Trading Advisors and Swaps
13-69 PDF Image; Sections 2(a), 2(h), and 4s of the CEA, and Parts 23, 37, 38, 39, 43, and 50 of the Commission’s Regulations;; Advisories
The Division of Swap Dealer and Intermediary Oversight (DSIO) issued an Advisory on the applicability of Dodd-Frank Transaction-Level Requirements to swaps between non-U.S. swap dealers (whether an affiliate or not of a U.S. person) and non-U.S. persons if the swap is arranged, negotiated, or executed by personnel or agents of the non-U.S. swap dealer located in the U.S.