This no-action letter provides relief from compliance with certain position aggregation requirements under Commission Regulation 150.4.   

Advisory for exchanges and clearinghouses with respect to Virtual Currency Derivative Product Listings.

The staff letter confirms that, for purposes of applying the position limits set forth in CFTC Regulation 150.2, when an institutional investor qualifies for the Regulation 150.4(b)(1) exemption from position aggregation with respect to their investment in a fund, the institutional investor is not required to look through its investment in a fund to aggregate commodity interest positions of an underlying portfolio company in which the institutional investor may hold a 10 percent or greater indirect interest (via its investment in the fund).  

No-Action Extension of no-action relief originally granted by DMO on December 19, 2016 to counterparties clearing swaps through derivatives clearing organizations acting under exemptive or no-action relief from certain reporting obligations for cleared swaps under Part 45 of the Commissions regulations.

No action letter extending relief from section 2(h)(8) of the Commission Exchange Act for any eligible affiliate counterparty that executes a swap transaction with another eligible affiliate counterparty.

CFTC’s Division of Market Oversight issues time-limited no-action relief from certain requirements of part 45 and part 46 of the commission’s regulations, for certain swap dealers and major swap participants established under the laws of Australia, Canada, the European Union, Japan or Switzerland.

DMO is providing no-action relief to provide 30 additional calendar days for swap execution facilities to concurrently file their chief compliance officer annual compliance reports and fourth quarter financial reports with the Commission

DMO is issuing a no-action letter that extends relief from the requirement that block trades be executed away from a SEF.

DMO is issuing a no-action letter that provides relief from the trade execution requirement for swap components of certain types of package transactions.

DMO is issuing a no-action letter which provides that, subject to certain conditions the Division will not recommend enforcement action against a swap execution facility which does not capture post-execution allocation information in its audit trail or conduct audit trail reviews of post-execution allocations.