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 20-36 Letter Type: No-Action
Division: DMO
Regulation Parts: 37.205
Tags: Audit Trail
Issuance Date:
Description:

Extension of No-Action Relief for Swap Execution Facilities from Certain Audit Trail Requirements in Commission Regulation 37.205 Related to Post-Execution Allocation Information.


PDF Image 20-35 Letter Type: No-Action
Division: DMO
Regulation Parts: 43.2
Tags: Block Trades, SEF
Issuance Date:
Description:

Extension of No-Action Relief for Swap Execution Facilities from Certain “Block Trade” Requirements in Commission Regulation 43.2


PDF Image 20-34 Letter Type: Advisories
Division: DSIO
Regulation Parts: 4d, 4d(f), 1.11, 1.20, 1.32, 1.55, 22.2, 22.5
Tags: FCM, Segregation, Virtual Currency
Issuance Date:
Description:

DSIO advisory to FCMs regarding accepting and holding customer virtual currency assets in segregation and guidance on practices to consider in developing and maintaining their risk management programs when holding such assets as customer funds.


PDF Image 20-33 Letter Type: No-Action
Division: DMO
Regulation Parts: 43.3
Tags: Cleared Swaps, Reporting, LIBOR, Part 43, SOFR
Issuance Date:
Description:

Relief from the Part 43 public reporting requirements for relevant swaps related to the CME Inc SOFR discounting transition auction


PDF Image 20-32 Letter Type: No-Action
Division: DMO
Regulation Parts: 43.3
Tags: Cleared Swaps, Reporting, LIBOR, Part 43, SOFR
Issuance Date:
Description:

Relief from the Part 43 public reporting requirements for relevant swaps related to the LCH Limited SOFR discounting transition auction


PDF Image 20-31 Letter Type: No-Action
Division: DMO
Regulation Parts: 2(h)(8), 5(d)(9), 37.3, 37.9
Tags: SEF, Trade Execution Requirement, Package Transactions
Issuance Date:
Description:

Extension of No-Action Relief from Sections 2(h)(8) and 5(d)(9) of the Commodity Exchange Act and from Commission Regulations 37.3(a)(2) and 37.9 for Swaps Executed as Part of Certain Package Transactions.


PDF Image 20-30 Letter Type: No-Action
Division: DMO
Regulation Parts: 17, 18, 20
Tags: Reporting, Ownership and Control, Part 17, Part 18, Part 20
Issuance Date:
Description:

Extension of conditional time-limited no-action relief from filing certain infromation for ownership and control reports required by Parts 17, 18, and 20 of the Commission’s regulations


PDF Image 20-29 Letter Type: No-Action
Division: DMO
Regulation Parts: 37.3
Tags: SEF, Reinstatement Requirements
Issuance Date:
Description:

No-Action Relief from Swap Execution Facility Reinstatement Requirements under Commission Regulation 37.3(d)


PDF Image 20-28 Letter Type: No-Action, Advisories
Division: DCR
Regulation Parts: 1.56, 39.13
Tags: Initial margin, DCO, Disclosure, FCM, Margin, Guarantees Against Loss, Risk Management
Issuance Date:
Description:

DCR DSIO Issue Supplemental Advisory Grant of No-Action Relief from 1.56 and 39.13(g)(8)(iii)


PDF Image 20-27 Letter Type: No-Action
Division: DSIO
Regulation Parts: 1.17
Tags: FCM, Minimum financial requirements
Issuance Date:
Description:

Staff no-action position regarding the treatment of a deferred tax liability under Regulation 1.17 which is directly related to intangible assets booked as a result of an acquisition.