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No-Action Letters

Date
No-Action Letters
01/04/2018
18-01 PDF Image; Commission Regulation 1.17; No-Action
Staff no-action position regarding the treatment of a deferred tax liability caused by a change in accounting principles.
02/15/2018
18-02 PDF Image; Sections 4d(g) and 4k of the Commodity Exchange Act; CFTC Regulations 3.4(a) and 3.12(a); 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.