Letters

Date Title
18-28 PDF Image; Commission Regulation 1.16; Exemption
Exemption Pursuant to Commission Regulation 1.16(f)(2) for Audit Standards Requirements for FCM Certified Financial Statements for Year Ending December 31, 2018.  
18-27 PDF Image; CEA Section 4a; CFTC § 150.4; No-Action
This no-action letter provides relief from compliance with certain position aggregation requirements under Commission Regulation 150.4.   
18-26 PDF Image; Commission Regulation 30.7; No-Action
Commission Regulation 30.7 – Staff No-Action Position Regarding Futures Commission Merchant’s Deposit of Customer-Owned Securities as Margin with a Foreign Broker.  
18-29 PDF Image; Commission Regulation 4.7; Exemption
Exemptive relief from the provisions of Commission Regulation 4.7 to prepare and distribute quarterly account statements within 30 days of the end of the quarter and instead prepare monthly account statements within 45 days of month end.  
18-21 PDF Image; Commission Regulation 1.16; No-Action
Commission Regulation 1.16 – Staff no-action position regarding compliance with Public Company Accounting Oversight Board requirement to communicate “critical audit matters” in Accountants’ Unqualified Audit Opinions.
18-20 PDF Image; CEA section 1a(49); Regulation 1.3, paragraph 4 of “swap dealer” definition; No-Action
Conditional, time-limited no-action relief to an entity for not counting certain loan-related swaps towards its swap dealer de minimis threshold (under paragraph (4) of the “swap dealer” definition in Regulation 1.3).
18-25 PDF Image; Commission regulation 4.7(b)(2); Exemption
Exemptive relief granted to a CPO to permit the CPO to provide monthly account statements to participants within 45 days of the month end rather than quarterly account statement within 30 days of the quarter end pursuant to Commission regulation 4.7(b)(2).  
18-24 PDF Image; Commodity Exchange Act section 4m(1); No-Action
No-action relief granted to an entity (Ltd.) from registering as a CPO with respect to certain commodity pools; provided, that it delegates its CPO responsibilities to a registered CPO, subject to certain conditions.
18-23 PDF Image; Commodity Exchange Act section 4m(1); No-Action
No-action relief granted to an entity (LLC) from registering as a CPO with respect to certain commodity pools; provided, that it delegates its CPO responsibilities to a registered CPO, subject to certain conditions.  
18-22 PDF Image; Commodity Exchange Act section 4m(1); No-Action
No-action relief granted to an entity from registering as a CPO with respect to a commodity pool; provided, that it delegates its CPO responsibilities to a registered CPO, subject to certain conditions.