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 Image 14-20 Letter Type: Advisories
Division: DMO, DCR
Regulation Parts: 4(c)
Tags: Foreign Transactions
Issuance Date:
Description:

Staff from the Division of Market Oversight and the Division of Clearing and Risk issued an Advisory, which helps provide clarity to certain market participants regarding certain statements made in the Final Order in Response to a Petition from Certain Independent system Operators and Regional Transmission Organizations to Exempt Specified Transactions Authorized by a Tariff or Protocol Approved by the Federal Energy Regulatory Commission or the Public Utility Commission of Texas from Certain Provisions of the Commodity Exchange Act Pursuant to the Authority Provided in the Act.


PDF Image 14-17 Letter Type: Advisories
Division: DCR
Regulation Parts: 45
Tags: Recordkeeping, Reporting, Swap Data
Issuance Date:
Description:

The Division of Clearing and Risk issued a letter providing guidance to ASX Clear (Futures) Pty Limited (“ASXCLF”) regarding compliance with the condition to No-Action Letter 14-07, which requires ASXCLF to comply with the reporting obligations applicable to registered derivatives clearing organizations under the Commissions Part 45 regulations.


PDF Image 13-79 Letter Type: Advisories
Division: DSIO
Regulation Parts: 4
Tags: CPO, CTA
Issuance Date:
Description:

Staff Advisory Concerning Commodity Trading Advisors and Swaps


PDF Image 13-69 Letter Type: Advisories
Division: DSIO
Regulation Parts: 2(a), 2(h), 23, 37, 38, 39, 43, 50
Tags: Clearing Requirement, DCM, DCO, MSP, Public, Real-Time, Reporting, SD, SEF, Swap Dealer
Issuance Date:
Description:

The Division of Swap Dealer and Intermediary Oversight (DSIO) issued an Advisory on the applicability of Dodd-Frank Transaction-Level Requirements to swaps between non-U.S. swap dealers (whether an affiliate or not of a U.S. person) and non-U.S. persons if the swap is arranged, negotiated, or executed by personnel or agents of the non-U.S. swap dealer located in the U.S.


PDF Image 13-42 Letter Type: Advisories
Division: DMO
Regulation Parts: 19.01
Tags:
Issuance Date:
Description:

The CFTCs Division of Market Oversight has issued an Advisory to remind reportable market participants of their obligation to submit accurate Form 204 reports for wheat, corn, oats, soybeans, soybean oil, and soybean meal on a monthly basis as required under CFTC Regulation 19.01, and to follow the instructions included on Form 204.


PDF Image 13-23 Letter Type: Advisories
Division: DCR
Regulation Parts: 2(h)(1)(A)
Tags: Clearing Requirement
Issuance Date:
Description:

Advisory Pertaining to the Effective Date of the Clearing Exemption for Swaps Between Certain Affiliated Entities.


PDF Image 13-21 Letter Type: No-Action, Advisories
Division: DCR
Regulation Parts: 1.73
Tags: FCM
Issuance Date:
Description:

Advisory: Extension for Compliance with Rule 1.73(a)(2)(v)(B) - Screening of Bunched Orders.


PDF Image 13-16 Letter Type: Advisories
Division: DMO
Regulation Parts: 17.04
Tags:
Issuance Date:
Description:

Obligation of Futures Commission Merchants, Clearing Members and Foreign Brokers to Report Omnibus Account Information in a Timely Manner as Required by Commission Regulation 17.04(a).


PDF Image 13-15 Letter Type: Advisories
Division: DMO
Regulation Parts: 16.01
Tags:
Issuance Date:
Description:

Reporting Block Trade Volume Data Pursuant to Commission Regulation 16.01.


PDF Image 13-14 Letter Type: No-Action, Advisories
Division: DMO
Regulation Parts: 19.02
Tags:
Issuance Date:
Description:

No-Action Relief with Respect to Email as an Accepted Form of Transmitting Form 304 Reports for Call Cotton.