22-13

Title: 22-13







Description

DMO will not recommend that the Commission take enforcement action against KRX with respect to the offer or sale of contracts based on the KOSPI 200 Index to persons located within the United States while the Commission’s review of KRX’s forthcoming request for certification of contracts based on the KOSPI 200 Index pursuant to Commission Regulation 30.13 is pending.

21-25

Title: 21-25







Description

DMO will not recommend that the Commission take enforcement action against KRX with respect to the offer or sale of the Contracts to persons located within the United States while the Commission’s review of KRX’s forthcoming request for certification of the Contracts pursuant to Commission Regulation 30.13 is pending. (KRX No-Action Request)

16-88

Title: 16-88







Description

Staff No-Action position regarding transfer of customer-owned securities by US FCM to a foreign broker.

14-91

Title: 14-91







Description

DSIO is issuing a no-action letter providing additional time for futures commission merchants (FCMs) to comply with Commission regulations requiring FCMs to obtain acknowledgement letters from certain depositories. DSIO will provide no-action relief until October 17, 2014.

14-88

Title: 14-88







Description

Extension of Time-Limited No-Action relief from compliance with certain conditions associated with the receipt of customer funds by FCMs.

14-157

Title: 14-157







Description

DSIO is issuing an extension of a previous no-action letter providing additional time for futures commission merchants (FCMs) to comply with Commission regulations requiring FCMs to obtain acknowledgement letters from certain depositories. DSIO will provide no-action relief until April 30, 2015.

14-138

Title: 14-138







Description

No-action relief and interpretation of certain aspects of Regulation 30.7 with respect to the holding of customer funds in accounts located outside of the U.S.

14-131

Title: 14-131







Description

Extension of no-action relief from compliance with certain conditions associated with the receipt of customer funds by FCMs.

14-129

Title: 14-129







Description

Staff issued an interpretation providing that a futures commission merchant (FCM) may credit a customer’s trading account for a margin payment upon the FCM’s initiation of a withdrawal from the customer’s bank account using the Automated Clearing House (ACH) payment processing system. The FCM also may consider such pending margin payments in computing its regulatory capital.