CFTC Staff Letters

Exemptive relief from the provisions of Commission Regulations 4.7 and 4.22 to prepare an onshore feeder fund’s financial statements in accordance with U.S. GAAP

Exemptive relief from the provisions of Commission Regulations 4.7 and 4.22 to prepare an onshore feeder fund’s financial statements in accordance with U.S. GAAP

Exemptive relief from the provisions of Commission Regulations 4.7 and 4.22 to prepare an onshore feeder fund’s financial statements in accordance with U.S. GAAP

Staff No-Action position regarding transfer of customer-owned securities by US FCM to a foreign broker.

DSIO’s interpretation of Regulation 23.451 clarifying staff’s view that a swap dealer’s contributions for transition or inaugural expenses incurred by a successful candidate are only covered by the rule to the extent that such expenses are incurred by a successful candidate for a position as an official of a governmental Special Entity.

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).

No-action position regarding the consolidation of separate risk disclosure statements contained in Regulation 1.55(b) and Appendix A to Regulation 1.55 into a single risk disclosure statement

No-Action relief from the timing requirements of Commission Regulation 3.3(f)(2) relating to annual reports by chief compliance officers.

No-Action relief from the timing requirements of Commission Regulation 3.3(f)(2) relating to annual reports by chief compliance officers.

Practical Application of No-Action Letter No. 16-68 Regarding Investments in Money Market Mutual Funds