CFTC Staff Letters

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

PDF Description
PDF Image20-40 Letter Type: No-Action
Division: MPD
Regulation Parts: 4d, 4m, 23 Subpart I, 23.502
Tags: Brexit
Issuance Date:
Description:

This MPD staff letter ensures that existing regulatory relief provided by DSIO pursuant to letters 12-70 and 13-45 affecting EU entities continues to be available for UK entities following the completion of Brexit.

PDF Image20-39 Letter Type: No-Action
Division: DMO, MPD
Regulation Parts: 2(h)(8), 5h(a)(1), 23 Subpart F, 23 Subpart I, 23 Subpart J, 37.3
Tags: Brexit
Issuance Date:
Description:

Extension of no-action relief 19-08 granted to ensure the continued availability, following completion of Brexit, of regulatory relief under certain existing CFTC comparability determinations and exemption orders originally issued by the CFTC for EU entities.

PDF Image20-38 Letter Type: No-Action
Division: DOD
Regulation Parts: 45, 46, 49
Tags: Reporting, SDR
Issuance Date:
Description:

Time-limited no action relief for DTCC SDR and registered entities and swap counterparties reporting swaps to DTCC SDR from certain portions of Part 45, 46 and 49 of the Commission's regulations.

PDF Image20-37 Letter Type: No-Action
Division: DMO
Regulation Parts: 45, 46
Tags: Foreign, Foreign Transactions, MSP, Reporting, Swap Dealer, Non-US Swap Dealers, Non-US MSP
Issuance Date:
Description:

Extension of Time-Limited No-Action Relief from Certain Requirements of Part 45 and Part 46 of the Commission’s Regulations, for Certain Swap Dealers and Major Swap Participants Established under the Laws of Australia, Canada, the European Union, Japan, Switzerland or the United Kingdom.

PDF Image20-36 Letter Type: No-Action
Division: DMO
Regulation Parts: 37.205
Tags: Audit Trail
Issuance Date:
Description:

Extension of No-Action Relief for Swap Execution Facilities from Certain Audit Trail Requirements in Commission Regulation 37.205 Related to Post-Execution Allocation Information.

PDF Image20-35 Letter Type: No-Action
Division: DMO
Regulation Parts: 43.2
Tags: Block Trades, SEF
Issuance Date:
Description:

Extension of No-Action Relief for Swap Execution Facilities from Certain “Block Trade” Requirements in Commission Regulation 43.2

PDF Image20-33 Letter Type: No-Action
Division: DMO
Regulation Parts: 43.3
Tags: Cleared Swaps, Reporting, LIBOR, Part 43, SOFR
Issuance Date:
Description:

Relief from the Part 43 public reporting requirements for relevant swaps related to the CME Inc SOFR discounting transition auction

PDF Image20-32 Letter Type: No-Action
Division: DMO
Regulation Parts: 43.3
Tags: Cleared Swaps, Reporting, LIBOR, Part 43, SOFR
Issuance Date:
Description:

Relief from the Part 43 public reporting requirements for relevant swaps related to the LCH Limited SOFR discounting transition auction

PDF Image20-31 Letter Type: No-Action
Division: DMO
Regulation Parts: 2(h)(8), 5(d)(9), 37.3, 37.9
Tags: SEF, Trade Execution Requirement, Package Transactions
Issuance Date:
Description:

Extension of No-Action Relief from Sections 2(h)(8) and 5(d)(9) of the Commodity Exchange Act and from Commission Regulations 37.3(a)(2) and 37.9 for Swaps Executed as Part of Certain Package Transactions.

PDF Image20-30 Letter Type: No-Action
Division: DMO
Regulation Parts: 17, 18, 20
Tags: Reporting, Ownership and Control, Part 17, Part 18, Part 20
Issuance Date:
Description:

Extension of conditional time-limited no-action relief from filing certain infromation for ownership and control reports required by Parts 17, 18, and 20 of the Commission’s regulations