Exemptive relief for a CPO from the requirement to provide quarterly account statements within 30 days of the end of each quarter for one of its pools, provided that the CPO provides monthly account statements within 45 days of the end of each month for such pool.

Staff Interpretation to Swap Dealers electing the Tangible Net Worth method of calculation capital under regulation 23.101.

Advisory to SDs indicating they are not required to obtain approval to use a model to calculate the initial margin on uncleared swaps for purposes of determining the SD’s minimum capital requirement under Commission regulations.

Partial continuation of no-action positions to facilitate physical separation of registrant personnel in response to the COVID-19 pandemic

Brexit-related time limited no-action position with respect to certain swap dealer transaction-level requirements

Exemptive relief to registered Introducing Broker for filing a certified financial report under Regulation 1.10 and Regulation 1.16.

No-action relief granted from CPO and CTA registration to an entity that uses swaps in connection with its acquisition of biopharmaceutical royalties.

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

Approval letter issued to the National Futures Association with regard to Swap Dealer captial model requirements and review program.