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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16-12 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.22 Tags: Pool Participant, Reporting Issuance Date: Description: Exemptive relief granted to a CPO of a pool from the audit requirement of Commission regulation 4.22(d) with respect to the pool’s 2015 annual report. The CPO has provided a waiver from the sole participant of the pool. |
16-11 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.22 Tags: Pool Participant, Reporting Issuance Date: Description: Exemptive relief granted to a CPO of a pool from the audit requirements of Commission regulation 4.22(d) with respect to the financial statements in the 2015 annual report of the pool. The CPO has provided a waiver from the sole participant of the pool. |
16-09 | 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. |
16-08 | Letter Type: No-Action Division: DSIO Regulation Parts: 3.10 Tags: FCM, Registration Issuance Date: Description: The Division of Swap Dealer and Intermediary Oversight is issuing a no-action letter that would permit IBs, CPOs, and CTAs to rely on the exemption from registration in Commission Regulation 3.10(c)(3)(i) if their activities include swaps that are not subject to a Commission clearing requirement even if such swaps are not submitted for clearing through a registered FCM. |
16-07 | Letter Type: No-Action Division: DSIO Regulation Parts: 4m(1), 4.5, 4.6 Tags: CPO, CTA, Exclusion, Interstate Issuance Date: Description: The Division of Swap Dealer and Intermediary Oversight provided no-action relief from CPO and CTA registration to the Board of Trustees of a pension plan group trust comprised of two plans: one that is a “qualifying entity” under Regulation 4.5, and another that is “not construed to be a pool” under that same rule. |