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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14-97 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.7(b)(3), 4.22 Tags: Annual Report, CPO, Exemptions, Pool Participant, Reporting Issuance Date: Description: Exemption from requirement that a pool’s financial statement be audited by independent public accountants. |
14-96 | Letter Type: No-Action Division: DSIO Regulation Parts: 4m(1) Tags: CPO, CTA, Interstate Issuance Date: Description: No action relief to an entity and its affiliates for their failure to register as CPOs of pools holding volume production payment instruments, which issue debt or debt-like instruments, and which use swaps to hedge commodity market risk and interest rate exposure. |
14-92 | Letter Type: No-Action Division: DCR, DSIO Regulation Parts: 1.20, 22.5 Tags: Acknowledgement, Customer, FCM, Funds, Segregated Issuance Date: Description: Time-limited no-action relief for the Chicago Mercantile Exchange, Inc. with regard to Regulations 1.20(d) and 22.5(a). |
14-91 | Letter Type: No-Action Division: DSIO Regulation Parts: 1.20, 1.26, 22.5, 30.7 Tags: Acknowledgement, Customer, FCM, Foreign Future, Foreign Option, Funds, Segregated Issuance Date: Description: DSIO is issuing a no-action letter providing additional time for futures commission merchants (FCMs) to comply with Commission regulations requiring FCMs to obtain acknowledgement letters from certain depositories. DSIO will provide no-action relief until October 17, 2014. |
14-88 | Letter Type: No-Action Division: DSIO Regulation Parts: 1.2, 22.2, 30.7 Tags: Cleared Swaps, Collateral, FCM, Foreign Future, Foreign Option Issuance Date: Description: Extension of Time-Limited No-Action relief from compliance with certain conditions associated with the receipt of customer funds by FCMs. |
14-84 | Letter Type: No-Action Division: DSIO Regulation Parts: 4m(1) Tags: CPO, CTA, Interstate Issuance Date: Description: Form of Reply for CFTC Letter No. 14-75, 14-76, 14-77, 14-78, 14-79, 14-80, 14-81, 14-82, 14-83, and 14-84 |
14-83 | Letter Type: No-Action Division: DSIO Regulation Parts: 4m(1) Tags: CPO, CTA, Interstate Issuance Date: Description: Form of Reply for CFTC Letter No. 14-75, 14-76, 14-77, 14-78, 14-79, 14-80, 14-81, 14-82, 14-83, and 14-84 |
14-82 | Letter Type: No-Action Division: DSIO Regulation Parts: 4m(1) Tags: CPO, CTA, Interstate Issuance Date: Description: Form of Reply for CFTC Letter No. 14-75, 14-76, 14-77, 14-78, 14-79, 14-80, 14-81, 14-82, 14-83, and 14-84 |
14-81 | Letter Type: No-Action Division: DSIO Regulation Parts: 4m(1) Tags: CPO, CTA, Interstate Issuance Date: Description: Form of Reply for CFTC Letter No. 14-75, 14-76, 14-77, 14-78, 14-79, 14-80, 14-81, 14-82, 14-83, and 14-84 |
14-80 | Letter Type: No-Action Division: DSIO Regulation Parts: 4m(1) Tags: CPO, CTA, Interstate Issuance Date: Description: Form of Reply for CFTC Letter No. 14-75, 14-76, 14-77, 14-78, 14-79, 14-80, 14-81, 14-82, 14-83, and 14-84 |