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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14-126 | Letter Type: No-Action Division: DSIO Regulation Parts: Tags: Issuance Date: Description: This letter replaces letter 14-69. CEA Section 4m(1) – Self-Executing Registration No-Action Relief for Delegating CPOs when Certain Requirements are Satisfied |
14-125 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.7(b)(3), 4.22 Tags: Annual Report, CPO, Exemptions, Pool Participant, Reporting Issuance Date: Description: The Division of Swap Dealer and Intermediary Oversight granted the exemptive relief provided in CFTC Staff Letter 14-49 for additional commodity pools of that commodity pool operator that satisfied the conditions of that letter. |
14-120 | Letter Type: No-Action Division: DSIO Regulation Parts: 30.7 Tags: Foreign Future, Foreign Option Issuance Date: Description: No-action relief from compliance with certain terms of required Regulation 30.7(c). |
14-117 | Letter Type: No-Action Division: DMO, DSIO Regulation Parts: 2(h)(8), 5h(a)(1), 23, 37.3, 43, 45 Tags: MSP, Public, Real-Time, Recordkeeping, Registration, Reporting, SD, SEF, Swap Data, Swap Dealer, Trade Execution Issuance Date: Description: Conditional no-action relief with respect to swaps trading on certain financial markets that are licensed in Australia and overseen by the Australian Securities & Investments Commission (ASIC) |
14-116 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.7, 4.13 Tags: CPO, Exemption, Registration Issuance Date: Description: The Division provided exemptive relief from certain provisions of Regulations 4.7(b) and 4.13(a)(3) that, among other things, restrict marketing to the public. This letter harmonizes these Commission regulations with Rule 506(c) of Regulation D and Rule 144A, which, as amended by the Securities and Exchange Commission pursuant to the Jumpstart Our Business Startups Act of 2012, permit general solicitation or general advertising, subject to specific conditions. |
14-115 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.27 Tags: Large Pool, Reporting Issuance Date: Description: DSIO provided a letter that exempts commodity pool operators that are registered, but only operate pools pursuant to Commission Regulations 4.5 or 4.13(a)(3), from reporting on Form CPO-PQR. |
14-114 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.7(b)(3), 4.23 Tags: Annual Report, CPO, Exemptions, Pool Participant, Reporting Issuance Date: Description: DSIO provided an exemptive letter that enables commodity pool operators to use additional recordkeepers beyond those enumerated in Commission Regulations 4.7(b)(4) and 4.23(c). |
14-113 | Letter Type: Interpretative Division: DSIO Regulation Parts: 1a(10), 4.10 Tags: Commodity Pool, CPO, CTA Issuance Date: Description: The Division issued an interpretation of CEA Section 1a(10) and Regulation 4.10(d), both of which define the term “commodity pool,” which will permit wholly owned subsidiaries of a single life insurance company to contribute their general account assets to a single vehicle formed by them, and will permit the vehicle to invest directly or indirectly in commodity interests without being deemed a commodity pool. |
14-112 | Letter Type: No-Action Division: DSIO Regulation Parts: 4.7, 4.22, 4.27 Tags: CPO, Exemption, Large Pool, Pool Participant, Reporting Issuance Date: Description: No-action letter permitting, subject to certain conditions, commodity pool operators of certain commodity pools that are non-registered investment companies (“Parent Pools”) that use wholly-owned trading subsidiaries to trade in commodity interests (“Trading Subsidiaries”) to consolidate the annual reports required to be submitted to the National Futures Association (“NFA”) pursuant to Commission regulation 4.7(b) or 4.22(c), as applicable, and the CPO-PQR reports required to be submitted to NFA pursuant to Commission regulation 4.27(c) for the Trading Subsidiaries with those of their Parent Pools. |
14-111 | Letter Type: No-Action Division: DSIO Regulation Parts: 4.13 Tags: CPO, Exemption, Registration Issuance Date: Description: Subject to specific conditions, the Division of Swap Dealer and Intermediary Oversight granted the Federal Home Loan Mortgage Corporation and the Federal National Mortgage Association no-action relief, such that either entity may be exempt from registration as a commodity pool operator pursuant to Regulation 4.13(a)(3) with respect to its operation of a mortgage credit risk sharing initiative described therein. |