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

No-Action Relief from the Timing Requirements of Commission Regulation 3.3(f)(2) Relating to Annual Reports by Chief Compliance Officers for Deutsche Bank AG.

No-Action Relief from the Timing Requirements of Commission Regulation 3.3(f)(2) Relating to Annual Reports by Chief Compliance Officers for Commerzbank AG.

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

Conditional no-action relief with respect to swaps trading on certain financial markets that are licensed in Australia and overseen by the Australian Securities & Investments Commission (ASIC).

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

Time-limited no-action relief from compliance with the quarterly risk reporting requirement under Regulation 23.600(c)(2) for any fiscal quarters ending on or before July 31, 2014.

DSIO is issuing conditional no-action relief permitting a provisionally registered swap dealer to satisfy certain of its requirements under Rule 3.3 by reporting to, and interacting with, the “governing body,” rather than the senior officer or board of directors, subject to certain conditions.

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

Conditional no-action relief with respect to swaps trading on certain financial markets that are licensed in Australia and overseen by the Australian Securities & Investments Commission (ASIC)