CFTC Staff Letters
CFTC Staff Letters provides Letters from 2008 and later. For Letters published before 2008 visit the Letters Archive page.
| Description | |
|---|---|
 25-35 |
Letter Type: No-Action Division: DMO Regulation Parts: 38.8, 38.10, 38.951, 39.20, 43, 45 Tags: Swap, Swap Data, Swaps, Event Contract, Part 43, Part 45 Issuance Date: Description: No-action position with respect to Part 43 and Part 45 reporting, as well as related sections of Parts 38 and 39, for binary options executed on or pursuant to the rules of Electron Exchange DCM, LLC and cleared through Electron Exchange DCO, LLC. See also: Request Letter Requester(s): ELECX, ELECXDCO |
| 25-34 |
Letter Type: Advisories Division: DCR Regulation Parts: 39.19 Tags: DCO, Reporting Issuance Date: Description: DCR Staff Advisory Regarding Compliance Date for DCO Reporting Requirements Requester(s): CFTC |
| 25-33 |
Letter Type: No-Action Division: DMO, MPD Regulation Parts: 2(h)(8), 5(d)(9), 37.3, 37.9 Tags: DCM, SEF, Trade Execution, Trade Execution Requirement, Package Transactions, DCM Core Principle 9, Order Book, Swap Execution Facility, Required Transactions, Commission Regulation 37.9, Commission Regulation 37.3(a)(2) Issuance Date: Description: This letter further extends no-action positions provided by DMO for those package transactions where at least one individual swap component is made available to trade and therefore subject to the trade execution requirement under CEA section 2(h)(8), and all other components are contracts for the purchase or sale of a commodity for future delivery, i.e. futures contracts (“MAT/Futures Package Transactions”). See also: Request Letter Requester(s): ISDA, SIFMA |
| 25-32 |
Letter Type: No-Action Division: DCR, MPD Regulation Parts: 4d(f), 4m(1), 39.6 Tags: Exempt DCO Issuance Date: Description: No-Action Relief to JSCC from Reg. 39.6(b)(1) and CEA Sec. 4d(f) and 4m(1) See also: Request Letter Requester(s): JSCC |
| 25-31 |
Letter Type: No-Action Division: MPD Regulation Parts: 4d, 4m, 3 Subpart A, 3.10, 3.12 Tags: Affiliates, CTA, IB, Registration, SD, Statutory Disqualification Issuance Date: Description: No-action position to UBS Europe SE in relation to statutory disqualification condition of CFTC Staff Letter No. 12-70 with respect to its affiliate support activities. See also: Request Letter Requester(s): UBS ESE |
| 25-30 |
Letter Type: Advisories Division: DCR Regulation Parts: 39.39 Tags: Clearing, DCO, Recovery, Wind-down Issuance Date: Description: DCR staff withdraws CFTC Staff Letter No. 16-61. Requester(s): CFTC |
| 25-29 |
Letter Type: Advisories Division: DOE Regulation Parts: 9(a)(5) Tags: Enforcement Issuance Date: Description: The Division of Enforcement (“DOE”) of the Commodity Futures Trading Commission hereby withdraws CFTC Staff Letter No. 25-19 with respect to Referrals for Potential Criminal Enforcement in its entirety. The Advisory had been issued pending Commission action concerning Executive Order 14294 (“E.O.”), titled Fighting Overcriminalization in Federal Regulations. Given the Commission’s adoption of the Policy Statement on Referrals for Potential Criminal Enforcement consistent with the E.O., the Advisory on Referrals for Potential Criminal Enforcement is no longer needed. Requester(s): CFTC |
| 25-28 |
Letter Type: No-Action Division: DMO, DCR Regulation Parts: 38.8, 38.10, 38.951, 39.20, 43, 45 Tags: Swap, Swap Data, Swaps, Event Contract, Part 43, Part 45 Issuance Date: Description: No-action postion with respect to Part 43 and Part 45 reporting, as well as related sections of Parts 38 and 39, for binary options executed on or pursuant to the rules of QCX, LLC and cleared through QC Clearing LLC. See also: Request Letter Requester(s): QCCLEAR, QCX |
| 25-27 |
Letter Type: Advisories Division: DMO Regulation Parts: 48 Tags: Foreign Boards of Trade Issuance Date: Description: Staff Advisory: Registration Framework for Foreign Boards of Trade Providing Direct Access to Members or Other Participants Located in the United States. Requester(s): CFTC |
| 25-26 |
Letter Type: No-Action Division: DMO, DCR Regulation Parts: 38.8, 38.10, 38.951, 39.20, 43, 45 Tags: Reporting, Swap, Swap Data, Swaps, Event Contract, Part 43, Part 45 Issuance Date: Description: No-action postion with respect to Part 43 and Part 45 reporting, as well as related sections of Parts 38 and 39, for binary options and variable payout contracts executed on or pursuant to the rules of Railbird Exchange, LLC and cleared through QC Clearing LLC. See also: Request Letter Requester(s): QCCLEAR, RAILBIRDX |