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.

Time-Limited No-Action relief to FCMs from Regulation 1.25 for Investments in Securities with an Adjustable Rate of Interest Benchmarked to the Secured Overnight Financing Rate

No-action letter permitting market participants to transfer certain swaps to an affiliate without such swaps becoming subject to the Commission’s swap clearing requirement or uncleared swap margin requirements in relation to the end of Brexit transition period

This MPD staff letter ensures that existing regulatory relief provided by DSIO pursuant to letters 12-70 and 13-45 affecting EU entities continues to be available for UK entities following the completion of Brexit.

Extension of no-action relief 19-08 granted to ensure the continued availability, following completion of Brexit, of regulatory relief under certain existing CFTC comparability determinations and exemption orders originally issued by the CFTC for EU entities.