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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16-73 | Letter Type: No-Action Division: DMO, DCR, DSIO Regulation Parts: 4(c) Tags: Foreign Transactions Issuance Date: Description: Extension of Time-Limited No-Action Relief with Respect to Certain Commodity Exchange Act Provisions That May Apply to Southwest Power Pool, Inc. and/or Its Participants |
16-72 | Letter Type: No-Action Division: DMO, DSIO Regulation Parts: 2(h)(8), 5h(a)(1), 23.501, 23.504, 37, 37.3 Tags: Registration, SEF, Swap, Trade Execution Issuance Date: Description: Conditional no-action relief related to CFTC No-Action Letter No. 15-29 with respect to swaps trading on Yieldbroker Pty Limited |
16-70 | Letter Type: No-Action Division: DSIO Regulation Parts: 23.157 Tags: Custodial Issuance Date: Description: Temporary no-action relief regarding custodial arrangements for swap dealers subject to September 1, 2016 compliance date for margin for uncleared swaps. |
16-68 | Letter Type: No-Action Division: DSIO Regulation Parts: 1.25 Tags: Customer, Funds Issuance Date: Description: No-Action relief for FCMs with respect to the investment of customer funds in certain money market funds under CFTC Regulation 1.25. |
16-67 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.7 Tags: CPO, Exemption Issuance Date: Description: 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). |
16-66 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.7(b)(3), 4.22 Tags: Annual Report, CPO, Exemptions, Pool Participant, Reporting Issuance Date: Description: Exemptive relief for a CPO to prepare financial statements in accordance with Luxembourg GAAP in lieu of US GAAP |
16-65 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.22 Tags: Pool Participant, Reporting Issuance Date: Description: Exemptive relief for a CPO from auditing a pool’s 2015 annual report. |
16-64 | Letter Type: No-Action Division: DMO, DCR, DSIO Regulation Parts: 23 Tags: MSP, SD, Swap Dealer Issuance Date: Description: Extension of No-Action Relief: Transaction-Level Requirements for Non-U.S. Swap Dealers |
16-63 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.7(b)(3), 4.12, 4.22 Tags: Annual Report, CPO, Exemption, Exemptions, Pool Participant, Reporting Issuance Date: Description: The CPO of an exempt commodity pool requested relief permitting it to file for the pool a 15-month audited Annual Report, in order to facilitate the pool’s recent change in fiscal year. |
16-62 | Letter Type: Advisories Division: DSIO Regulation Parts: 3.3 Tags: CCO Issuance Date: Description: Advisory regarding chief compliance officer reporting lines for swap dealers, major swap participants, and futures commission merchants. |