Staff No-Action Relief: Temporary Relief for Non-Clearing Member Swap Dealers from the Requirements of § 20.4 of the Commission’s Regulations Regarding Large Swaps Trader Reporting for Physical Commodities.
No-Action Relief from Rescission of Regulation 4.13(a)(4) and Amendments to Regulation 4.5.
Staff No-Action Relief: Temporary Relief for Clearing Members from the Requirements of Ownership-Level Reporting of § 20.4 of the Commission’s Regulations Regarding Large Swaps Trader Reporting for Physical Commodities.
DCR, DSIO and DMO issued a no-action letter that modifies the temporary, no-action relief previously issued by DCIO and DMO from certain self-effectuating provisions of the Dodd-Frank Act and the CEA that took effect on July 16, 2011, but that require further definition and may not be eligible for the exemptive relief provided by an order issued by the Commission on July 14, 2011 pursuant to section 4(c) of the CEA (July 14 Order).
The Division of Market Oversight issued a letter granting no-action relief to the Natural Gas Exchange Inc. (“NGX”) and its clearing members in connection with the reporting requirements of new part 20 of the Commission’s regulations. Pursuant to the relief, NGX can itself submit the information required of its clearing members for all cleared positions, in fulfillment of the clearing members’ reporting requirements with respect to cleared positions under regulations 20.4 and 20.5(a).
No-Action Relief Request of Taiwan Futures Exchange in Connection with the Offer and Sale in the United States of its Futures Contract based on the GreTai Securities Market Capitalized Weighted Stock Index (“GTEX”).
Euronext Brussels, S.A.’s Request for No-Action Relief in Connection with the Offer and Sale in the United States of its Futures Contract Based on the BEL 20 Stock Index.
DCIO and DMO issued a no-action letter that provides temporary, no-action relief from certain self-effectuating provisions of the Dodd-Frank Act and the CEA that otherwise would take effect on July 16, 2011, but that require further definition and may not be eligible for the exemptive relief provided by the order issued by the Commission on July 14, 2011 pursuant to section 4(c) of the CEA.
No-Action Relief Request of Bursa Malaysia Derivatives Berhad in Connection with the Offer and Sale in the United States of its Futures Contract based on the FTSE Kuala Lumpur Composite Index.
The Division of Market Oversight issued a letter granting no-action relief to permit the Osaka Securities Exchange Co., Ltd. (OSE), to make its electronic trading and order matching system, the OSE Trading System (OSE-TS or J-GATE), available to OSE Transaction Participants (TP or Remote TP) in the U.S. without obtaining contract market designation or registration as a derivatives transaction execution facility pursuant to Sections 5 and 5a of the CEAct.
