CFTC Staff Letters

CFTC Staff Letters provides Letters from 2008 and later. For Letters published before 2008 visit the Letters Archive page.

Letter Number

Letter Types AdvisoriesExemptionInterpretativeNo-ActionOther

Divisions COMDCIODCRDMODODDSIOMPDN/AOEDOGC

Regulation Parts 11(a)(23)1.101.111.161.171.21.201.221.251.261.31.3(ggg)(4)1.3(ggg)(6)1.3(hhh)1.321.351.491.551.561.571.711.731.91026.32012.3513(a)15150150.2150.4151151.5155.316.011601717.041818019.0119.02190.04190.101a(10)1a(12)(C)1a(15)1a(18)(A)1a(47)(D)1a(49)1a(5)1a(6)2(a)2(a)(1)(C)2(c)(2)(B)2(c)(2)(C)2(d)2(e)2(g)2(h)2(h)(1)2(h)(1)(A)2(h)(7)2(h)(7)(C)(iii)2(h)(8)2(j)2020.420.52222.1722.222.322.522.92323 Subpart E23 Subpart F23 Subpart H23 Subpart I23 Subpart J23 Subpart L23.10023.10123.10223.10323.10423.10523.10623.15023.150 - 23.16123.15123.15223.15323.15423.15523.15623.15723.15823.15923.16023.16123.20223.20423.20523.2223.40023.40123.40223.41023.43023.43123.43223.43323.43423.44023.45023.45123.50023.50123.50223.50323.50423.50523.50623.60023.60823.60923.61023.70023.70123.70223.70323.70433.103.123.33.43.553030.1030.1330.530.630.732.332.433.736.33737.100037.100137.1237.130337.130637.150137.20037.20137.20237.20337.20537.337.40037.40637.637.70237.93838.1038.1138.110138.15238.25038.25138.25238.25338.25438.25538.25638.50038.55338.838.9513939 Subpart C39.1139.1239.1339.1439.1539.1639.1739.1939.2039.2139.3339.3639.3939.4044 Appendix A4(c)4.104.10(d)(1)4.124.134.204.214.224.234.244.254.274.314.334.344.354.364.54.64.74.7(b)(2)4.7(b)(3)4040.240.342.24343.243.343.443.64545.1045.1445.245.345.445.545.84648494a4d4d(f)4d(f)(1)4d(f)(2)4d(f)(3)4d(f)(4)4d(f)(6)4e4m4m(1)4s(b)(6)4s(k)4s(k)(2)4s(l)55(a)5(d)(10)5(d)(11)5(d)(4)5(d)(9)5.185050 Subpart A50.250.450.5050.5150.525b(a)5b(c)(2)(C)5b(c)(2)(E)5b(c)(2)(H)5h(a)(1)75.148a(2)8a(3)

Letter Tags AbusiveAcknowledgementAffiliatesAggregationANEAnnual ReportAssociated PersonsAuditAudit TrailBinary OptionBlock Trades Block TradesBoard of TradeBoards of TradeBrexitBusiness Conduct StandardsCapitalCashCCOCIPClearedCleared SwapsClearingClearing RequirementCMECollateralCommodity PoolComplianceConfirmationContract MarketCore PrinciplesCounterpartyCOVID-19CPOCross-borderCTACustodialCustomerCustomer FundsCustomer Identification ProgramDCMDCODe MinimisDelegationDepositoryDesignationDigital AssetsDisclosureDisclosuresDocumentationECMEligibilityEligible Contract ParticipantEnd-userEnforceabilityEnforcementESMEvent ContractExceptionExceptionsExclusionExecutionExempt DCOExemptionExemptionsExternal Business ConductFCMFinancial IntegrityFinancial ReportsFinancial ResourcesFingerprintingFloor brokerFloor TraderForeignForeign Boards of TradeForeign BrokerForeign CurrencyForeign FutureForeign OptionForeign TransactionsForwardFully-collateralizedFundsFutures LawsGuarantees Against LossHedgingIBIBORInitialInitial marginInsured depository institutionIntended To Be ClearedInterstateInvestment of Customer FundsJurisdictionLarge PoolLarge TraderLegacy SwapsLIBORMarginMargin WithdrawalsMarket IntegrityMaterial InformationMinimum financial requirementsminimum transfer amountModelMSPMTANon-US MSPNon-US Swap DealersNonbankOwnership and ControlPackage TransactionsPart 17Part 18Part 20Part 38Part 43Part 45Pool ParticipantPortfolioPosition LimitsPositionsPrime BrokerageProhibitedPublicPublic InformationReal-TimeRecordkeepingRegistrationReinstatement RequirementsReportingRequirementsRFEDRiskRisk ManagementSDSDRSECSEFSegregatedSegregationSeparate Account TreatmentSeparate AccountsSettlementSIDCOSOFRSpeculationStatutory DisqualificationStraight-through processingSubstituted ComplianceSwapSwap DataSwap DealerSwap DocumentationSwap Trading Relationship DocumentationSwapsTangible Net WorthThresholdTrade ExecutionTrade Execution RequirementTrade OptionTraderTradingTransition SwapsUncleared SwapsUnregisteredVariationVariation marginVBVirtual CurrencyVoice BrokerWithdrawal

Requester Tags ADMISARRCCFTCCGACMCCMECMESDRCRGDTCCEIMSFIAICE SDRICLR USIIBIII CAPISDAKORKRXLCHSAMFAMGECHOCCROYALTYSHCHSIFMASIFMA AMGTAIFEXTWO SIGMAYIELDBRKER

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15-02	Letter Type: No-Action Division: DSIO Regulation Parts: 1.10, 1.17 Tags: FCM, Financial Reports, IB Issuance Date: 01/23/2015 Description: Request for No-Action Relief for Introducing Brokers’ Compliance with Certain Financial Reporting and Capital Computation Requirements under Regulations 1.10 and 1.17.