CFTC Staff Letters

CFTC Staff Letters provides Letters from 2008 and later. For Letters published before 2008 visit the Letters Archive page.

Title Body
PDF Image19-03 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.7
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CPO exempt from the requirement to provide quarterly account statements within 30 ends of the end of each quarter, provided that the CPO provides monthly account statements within 45 days of the end of each month.  

PDF Image19-01 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.7(b)(2)
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Exemptive relief granted to a CPO to permit the CPO to provide monthly account statements to participants in specific commodity pools it operates within 45 days of the month end, rather than quarterly account statements within 30 days of the quarter end as required by Commission Regulation 4.7(b)(2).

PDF Image18-36 Letter Type: No-Action, Exemption
Division: DSIO
Regulation Parts: 4.7
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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

PDF Image18-34 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.7
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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).  

PDF Image18-29 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.7(b)(2)
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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.  

PDF Image18-28 Letter Type: Exemption
Division: DSIO
Regulation Parts: 1.16
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Exemption Pursuant to Commission Regulation 1.16(f)(2) for Audit Standards Requirements for FCM Certified Financial Statements for Year Ending December 31, 2018.  

PDF Image18-26 Letter Type: No-Action, Exemption
Division: DSIO
Regulation Parts: 30.7
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Commission Regulation 30.7 – Staff No-Action Position Regarding Futures Commission Merchant’s Deposit of Customer-Owned Securities as Margin with a Foreign Broker.  

PDF Image18-25 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.7
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Issuance Date:
Description:

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).  

PDF Image18-17 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.7
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Issuance Date:
Description:

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).

PDF Image18-11 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.22, 4.27
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Rescission of CFTC Staff Letter No. 16-47