CFTC Staff Letters

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

PDF Description
PDF Image 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


PDF Image 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


PDF Image 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.


PDF Image 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.


PDF Image 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).


PDF Image 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


PDF Image 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.


PDF Image 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


PDF Image 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.


PDF Image 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.