The no-action letter gives relief from the timing requirements of 3.3(f)(2) for filing the Chief Compliance Officer Annual Report. The relief gives an additional 30 days to file the report.
No-Action Relief from Compliance with Certain Requirements of Commission Regulation 3.3 Relating to the Chief Compliance Officer Annual Report (Mitsui & Co. Precious Metals, Inc.)
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 time to furnish the 2014 annual report to the Commission.
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.
Time-Limited No-Action Relief for Certain Swap Dealers from Compliance with the Requirements of Commission Regulation 3.3 Relating to Annual Reports by Chief Compliance Officers
Time-Limited No-Action Relief for Futures Commission Merchants, Swap Dealers, and Major Swap Participants from Compliance with the Timing Requirements of Commission Regulation 3.3(f)(2) Relating to Annual Reports by Chief Compliance Officers
Request for Time-Limited No-Action Relief for Certain Swap Dealers from Compliance with Requirements of Commission Regulation 3.3 Relating to Annual Reports by Chief Compliance Officers.
No-Action Relief for Certain Futures Commission Merchants from Compliance with Certain Requirements of Commission Regulation 3.3 Relating to Annual Reports by Chief Compliance Officers.
Request for Time-Limited No-Action Relief for Certain Swap Dealers from Compliance with Requirements of Commission Regulation 3.3 Relating to Annual Reports by Chief Compliance Officers.
