CFTC Staff Letters
CFTC Staff Letters provides Letters from 2008 and later. For Letters published before 2008 visit the Letters Archive page.
| Description | |
|---|---|
 20-06 |
Letter Type: No-Action Division: DSIO Regulation Parts: 3.3, 23.202 Tags: Annual Report, Recordkeeping, SD, COVID-19 Issuance Date: Description: No-action positions for swap dealers to facilitate physical separation of personnel in response to the COVID-19 pandemic |
| 20-05 |
Letter Type: No-Action Division: DSIO Regulation Parts: 1.35, 5.18 Tags: Recordkeeping, RFED, COVID-19 Issuance Date: Description: No-action positions for retail foreign exchange dealers to facilitate physical separation of personnel in response to the COVID-19 pandemic |
| 20-04 |
Letter Type: No-Action Division: DSIO Regulation Parts: 1.3, 1.35 Tags: IB, Recordkeeping, Registration, Floor broker, COVID-19 Issuance Date: Description: No-action positions for floor brokers to facilitate physical separation of personnel in response to the COVID-19 pandemic |
| 20-03 |
Letter Type: No-Action Division: DSIO Regulation Parts: 1.35, 1.55, 3.3 Tags: Annual Report, FCM, IB, Recordkeeping, COVID-19 Issuance Date: Description: No-action positions for futures commission merchants and introducing brokers to facilitate physical separation of personnel in response to the COVID-19 pandemic |
| 20-02 |
Letter Type: No-Action Division: DSIO Regulation Parts: 1.35 Tags: DCM, Recordkeeping, SEF, COVID-19 Issuance Date: Description: No-action positions for certain members of designated contract markets and swap execution facilities to facilitate physical separation of personnel in response to the COVID-19 pandemic |
| 20-01 |
Letter Type: No-Action Division: DMO Regulation Parts: 37, 37.9, 37.203, 38, 38.152, 38.500 Tags: Cleared Swaps, DCM, SEF Issuance Date: Description: This relief revises CFTC Staff No-Action Letter 17-27 with respect to the error correction process for cleared erroneous swaps. |
| 19-29 |
Letter Type: No-Action Division: DSIO Regulation Parts: 23.154 Tags: Initial margin, Margin, SD Issuance Date: Description: No-action relief granted to a swap dealer concerning the calculation of initial margin under Commission regulation 23.154. |
| 19-28 |
Letter Type: No-Action Division: DCR Regulation Parts: 2(h)(1)(A), 50.2, 50.50, 50.51 Tags: Clearing Requirement, LIBOR, IBOR Issuance Date: Description: No-action relief from the swap clearing requirement for amendments to legacy uncleared swaps to facilitate orderly transition from inter-bank offered rates to alternative risk-free rates. |
| 19-27 |
Letter Type: No-Action Division: DMO Regulation Parts: 2(h)(8) Tags: Trade Execution, LIBOR, IBOR Issuance Date: Description: No-action relief from the trade execution requirement to facilitate an orderly transition from the inter-bank offered rates to alternative risk-free rates. |
| 19-26 |
Letter Type: No-Action Division: DSIO Regulation Parts: 1.3, 23.150, 23.151, 23.152, 23.153, 23.154, 23.155, 23.156, 23.157, 23.158, 23.159, 23.161, 23 Subpart H, 23.451, 23.501, 23.502, 23.504, 23.505 Tags: De Minimis, Margin, SD, Swap Dealer, LIBOR, IBOR, Business Conduct Standards, Eligible Contract Participant, Swap Documentation Issuance Date: Description: No-action relief to facilitate an orderly transition of swaps from inter-bank offered rates to alternative benchmarks. |