Font Size: AAA // Print // Bookmark

All Letters

Date
All Letters
01/08/2016
16-01 PDF Image; Sections 2(h)(1) and (7) of the CEA; CFTC regulation 50.50; No-Action
No-action relief from the swap clearing requirement for a bank holding company or savings and loan holding company with consolidated assets of $10 billion or less.
01/08/2016
16-02 PDF Image; Sections 2(h)(1) and (7) of the CEA; CFTC regulation 50.4; and CFTC regulation 50.50.; No-Action
No-action relief from certain categories of the swap clearing requirement for certified community development financial institutions.
01/15/2016
16-03 PDF Image; Parts 20, 45 and 46 of the Commission’s regulations; No-Action
CFTC’s Division of Market Oversight Extends Time-Limited No-Action Relief permitting Part 45 and Part 46 reporting counterparties to mask legal entity identifiers, other enumerated identifiers and other identifying terms, and permitting Part 20 reporting entities to mask identifying information in certain enumerated jurisdictions, in each case subject to conditions.
02/01/2016
16-04 PDF Image; Regulation 39.12(b)(7), CEA Sections 5b(c)(2)(A) and 5b(c)(2)(C); No-Action
Grant of No-Action Relief with Regard to Regulations Implementing Sections 5b(c)(2)(A) and 5b(c)(2)(C) of the Commodity Exchange Act.
02/01/2016
16-05 PDF Image; Regulations 1.20(g)(4), 22.5 and 1.49(d)(3); No-Action; Exemption
No-action relief for Eurex Clearing AG with regard to Regulation 1.20(g)(4), and an exemption from the requirements of Regulation 1.49(d)(3) for customer accounts held at the Deutsche Bundesbank.
02/09/2016
16-06 PDF Image; Regulation 39.19(b)(1); No-Action
The CFTC’s Division of Clearing and Risk (the “Division”) issued a no-action letter providing Singapore Exchange Derivatives Clearing Limited (“SGX-DC”) with time-limited no-action relief from Regulation 39.19(b)(1). Under the no-action relief, while SGX-DC completes an overhaul of its derivatives trading and clearing systems, SGX-DC will submit required information in CSV format instead of in FIXML format.
01/13/2016
16-07 PDF Image; CEA Section 4m(1), Regulations 4.5 and 4.6; No-Action
The Division of Swap Dealer and Intermediary Oversight provided no-action relief from CPO and CTA registration to the Board of Trustees of a pension plan group trust comprised of two plans: one that is a “qualifying entity” under Regulation 4.5, and another that is “not construed to be a pool” under that same rule.
02/12/2016
16-08 PDF Image; Commission regulation 3.10(c)(3); No-Action
The Division of Swap Dealer and Intermediary Oversight is issuing a no-action letter that would permit IBs, CPOs, and CTAs to rely on the exemption from registration in Commission Regulation 3.10(c)(3)(i) if their activities include swaps that are not subject to a Commission clearing requirement even if such swaps are not submitted for clearing through a registered FCM.

See Also:

OpenGov Logo

CFTC's Commitment to Open Government

Gavel and Book

Follow the Status of Enforcement Actions