DMO, DCO, and DSIO issue this advisory to remind DCMs, FCMs, and DCOs that they are expected to prepare for the possibility that certain contracts may continue to experience extreme market volatility, low liquidity and possibly negative pricing.

No-action positions for futures commission merchants and introducing brokers to address net capital treatment of covered loans under the CARES Act in response to the COVID-19 pandemic.

No-action positions for futures commission merchants and introducing brokers to facilitate physical separation of personnel in response to the COVID-19 pandemic

Advisory providing further guidance on certain requirements applicable to swap dealers, futures commission merchants, and major swap participants in connection with the preparation and submission of chief compliance officer annual compliance reports pursuant to § 3.3.

Advisory to FCMs and time-limited no-action relief to DCOs with respect to the treatment of separate accounts by FCMs.

No-Action  CFTC staff issues time limited no-action relief to Shorcan Energy Brokers Inc. and its associated persons for introducing broker and associated person registration.

Staff no-action position regarding the treatment of a deferred tax liability caused by a change in accounting principles.

The Division of Clearing and Risk (DCR) granted no-action relief to derivatives clearing organization Chicago Mercantile Exchange Inc. (CME) regarding use of modified acknowledgment letters tailored to the mechanics of CME’s liquidity facility in place of the form letters required by Regulations 1.20, 1.26, and 22.5.

Conditional time-limited no-action relief from filing certain Ownership and Control Reports (OCR) required by Parts 17, 18 and 20 of the Commission’s Regulations.

No-action position regarding the consolidation of separate risk disclosure statements contained in Regulation 1.55(b) and Appendix A to Regulation 1.55 into a single risk disclosure statement