Font Size: AAA // Print // Bookmark

No-Action Letters

Date
No-Action Letters
01/08/2015
15-01 PDF Image; Parts 20, 45 and 46; No-Action
Time-Limited Extension of the No-Action Relief Provided in CFTC Letter No. 13-41 regarding the reporting of identifying information under Parts 20, 45 and 46.
01/23/2015
15-02 PDF Image; Regulations 1.10 and 1.17; No-Action
Request for No-Action Relief for Introducing Brokers’ Compliance with Certain Financial Reporting and Capital Computation Requirements under Regulations 1.10 and 1.17.
02/10/2015
15-03 PDF Image; Parts 17, 18 and 20 of the Commission’s Regulations; No-Action
The Division of Market Oversight (DMO) is issuing a no-action letter that provides additional time for reporting parties to comply with certain reporting requirements of the ownership and control final rule (the OCR Final Rule), which was published in the Federal Register on November 18, 2013. This no-action letter replaces a previous DMO no-action letter on the OCR Final Rule (CFTC Letter No. 14-95).
02/12/2015
15-04 PDF Image; CEA section 5h(a)(1); Commission Regulation 37.3(a)(1); No-Action
Extension of conditional time-limited no-action relief for Yieldbroker Pty Limited with regard to Section 5h(a)(1) of the Commodity Exchange Act and Commission Regulation 37.3(a)(1) until May 15, 2015.
02/27/2015
15-05 PDF Image; Section 4(c)(6); No-Action
Extension of time-limited no-action relief with respect to certain Commodity Exchange Act provisions that may apply to Southwest Power Pool, Inc. and/or its participants
03/27/2015
15-15 PDF Image; 3.3(f)(2); No-Action
The no-action letter gives relief from the timing requirements of 3.3(f)(2) for filing the Chief Compliance Officer Annual Report. The relief gives an additional 30 days to file the report.
03/31/2015
15-21 PDF Image; Commission Regulations §§ 23.402(b) and (c), 23.430, 23.431(a)-(b), 23.432, 23.434, 23.502(b), 23.504(b)(4)-(6), and 23.701; No-Action
No-Action Relief is provided to swap dealers from compliance with certain Commission regulations related to business conduct standards with counterparties and swap trading relationship documentation when entering into swaps with certain special purpose vehicles in existence prior to October 10, 2013.

See Also:

OpenGov Logo

CFTC's Commitment to Open Government

Gavel and Book

Follow the Status of Enforcement Actions