CFTC Staff Letters
CFTC Staff Letters provides Letters from 2008 and later. For Letters published before 2008 visit the Letters Archive page.
Description | |
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22-08 | Letter Type: Other Division: DMO Regulation Parts: 37, 38, 48 Tags: Withdrawal Issuance Date: Description: Withdrawal of No-Action relief provided to Victoria University of Wellington, New Zealand, to operate a not-for-profit market for event contracts, and to offer event contracts to U.S. persons. Requester(s): CFTC |
22-07 | Letter Type: No-Action Division: DCR Regulation Parts: 5b(a) Tags: DCO, Registration Issuance Date: Description: Extension of time-limited no-action relief for Shanghai Clearing House with regard to Section 5b(a) of the Commodity Exchange Act and Commission Regulations thereunder. Requester(s): SHCH |
22-06 | Letter Type: Advisories Division: DOD, MPD Regulation Parts: 43.3, 45.14 Tags: Reporting, Swap Data Issuance Date: Description: DOD is issuing an advisory setting forth instructions for notifying staff pursuant to Parts 43 and 45 when a swap execution facility, designated contract market, or reporting counterparty determines that it is unable to timely correct an error. In this advisory, staff is also highlighting a specific type of error concerning swaps that remain erroneously open at swap data repositories despite having been terminated. Requester(s): CFTC |
22-05 | Letter Type: No-Action Division: DOD, MPD Regulation Parts: 43, 45 Tags: Public, Real-Time, Recordkeeping, Reporting, Swap Data Issuance Date: Description: Relief under Parts 43 and 45 to entities submitting swaps for clearing by derivatives clearing organizations (DCOs) operating under CFTC exemptive orders or no-action relief provided by CFTC staff. See also: Request Letter Requester(s): ISDA |
22-04 | Letter Type: No-Action Division: MPD Regulation Parts: 23.105 Tags: Disclosure, Financial Reports, SD, Swap Dealer Issuance Date: Description: No-Action Position to a SD Regarding the Public Disclosure of Certain Financial Information under SD Financial Reporting Requirements See also: Request Letter Requester(s): CRG |
22-03 | Letter Type: No-Action Division: DOD, MPD Regulation Parts: 43, 45, 46, 49 Tags: Reporting, Swap Data Issuance Date: Description: DOD is taking a time-limited no-action position with respect to the compliance dates for the November 25, 2020 amendments to certain of the swap data reporting rules in Parts 43, 45, 46, and 49. See also: Request Letter Requester(s): CMESDR, DTCC, ICE SDR, ISDA |
22-02 | Letter Type: No-Action Division: MPD Regulation Parts: 23.105 Tags: Annual Report, Financial Reports, SD, Swap Dealer Issuance Date: Description: No-Action Relief permitting certain Foreign-Based SD to File Annual Financial Reports pursuant to Regulation 23.105(e) in Accordance with Singapore Financial Reporting Standards (Morgan Stanley - J. Aron Singapore Accounting No-Action Relief Request) |
22-01 | Letter Type: No-Action Division: MPD Regulation Parts: 23.105 Tags: Annual Report, Financial Reports, SD, Swap Dealer Issuance Date: Description: No-Action Position for Foreign-Based SD to File Annual Financial Reports in Accordance with Australian Accounting Standards Board (Goldman Sachs No-Action Relief Request) |
21-31 | Letter Type: No-Action Division: DCR Regulation Parts: 39.19 Tags: DCO, Reporting Issuance Date: Description: DCR is extending through June 27, 2022 temporary no-action relief for registered derivatives clearing organizations (DCOs) from the amended daily reporting requirements in CFTC Regulation 39.19(c)(1), so long as DCOs continue to comply with the prior version of the regulation. DCR also is extending through January 27, 2023 relief from the amended reporting requirements in Regulation 39.19(c)(1)(i)(B) and (C), so long as DCOs continue to comply with the prior version of the regulation. |
21-30 | Letter Type: No-Action Division: DOD Regulation Parts: 43.3, 45.4 Tags: Reporting, Swap, Swap Data, LIBOR, IBOR Issuance Date: Description: DOD is taking a no-action position with respect to certain Part 43 and Part 45 swap reporting obligations for swaps transitioning under the ISDA LIBOR fallback provisions from referencing certain London Interbank Offered Rates (LIBORs) to referencing risk-free rates (RFRs) following the cessation or non-representativeness of those LIBORs on December 31, 2021. (ARRC No-Action Relief Request) |