Letters

Date Title
18-10 PDF Image; CFTC Regulation 4.7(b)(3)
Previous annual report exemptive relief granted to a CPO extended to an additional subsidiary pool; condition in previous exemptive relief with respect to an existing subsidiary pool removed based on changed circumstances.  
18-09 PDF Image; Commission Regulations 4.7 and 4.22;
Exemptive relief from the provisions of Commission Regulations 4.7 and 4.22 to prepare an onshore feeder fund’s financial statements in accordance with U.S. GAAP
18-07 PDF Image; Regulations 4.12(a), 4.7(b)(3), and 140.93;
DSIO denied a CPO’s request for exemptive relief from the audited annual report requirement for its pools because Division staff concluded that avoiding the audit could be disadvantageous for participants. 
18-06 PDF Image; Commission Regulation 4.7(b)(2);
Exemption  Exemptive relief from the requirement in Commission regulation 4.7(b)(2) to distribute quarterly account statements to participants within 30 days after the end of each quarter, instead providing information within 45 days after the end of each month.
18-08 PDF Image; CEA Section 4m(1), Regulations 4.5 and 4.6;
The Division of Swap Dealer and Intermediary Oversight provided no-action relief from CPO and CTA registration to the trustee of a pension plan group trust comprised solely of pension plans that are “not construed to be pools” under Regulation 4.5(a)(4)(i)-(iii).
18-04 PDF Image; CEA Section 5b(a) and the Commission regulations thereunder
No-Action Extension of time-limited no-action relief for Shanghai Clearing House with regard to Section 5b(a) of the Commodity Exchange Act and Commission Regulations thereunder.
18-05 PDF Image; Commission Regulation 4.7(b)(2)
Exemptive relief from the requirement in Commission regulation 4.7(b)(2) to distribute quarterly account statements to participants within 30 days after the end of each quarter. Instead, the operator will provide the information required to be contained in a quarterly account statement on a monthly basis, and within 45 days after the end of each month.
18-03 PDF Image; Sections 45.3, 45.4, 45.5, and Appendix 1 of Part 45
No-Action Extension of no-action relief originally granted by DMO on December 19, 2016 to counterparties clearing swaps through derivatives clearing organizations acting under exemptive or no-action relief from certain reporting obligations for cleared swaps under Part 45 of the Commission's regulations.
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.
18-01 PDF Image; Commission Regulation 1.17;
Staff no-action position regarding the treatment of a deferred tax liability caused by a change in accounting principles.