21-05
Title: 21-05
File Link
Description
Partial continuation of no-action positions to facilitate physical separation of registrant personnel in response to the COVID-19 pandemic
Partial continuation of no-action positions to facilitate physical separation of registrant personnel in response to the COVID-19 pandemic
No-action positions for floor brokers and introducing brokers from oral recordkeeping requirements and designated contract markets from audit trail requirements in continued response to the COVID-19 pandemic
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.