Letters

Date Title
18-32 PDF Image; 17 CFR 22.5; No-Action
No-Action Relief to Eurex Clearing AG to allow certain modifications to the acknowledgment letter that Eurex is required to obtain from the Deutsche Bundesbank
18-31 PDF Image; 17 CFR 1.49(d)(3), 17 CFR 1.49(e)(1), 17 CFR 22.9; No-Action
Conditional No-Action Relief to Eurex Clearing AG and its FCM Clearing Members to hold customer margin in the form of securities at Clearstream Banking AG
18-30 PDF Image; 17 CFR 39.12(b)(7); Other Written Communications
Confirmation that Eurex Clearing AG has demonstrated compliance with the straight-through-processing requirements of Regulation 39.12(b)(7) and approval of certain Eurex rules.
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).