CFTC Staff Letters
CFTC Staff Letters provides Letters from 2008 and later. For Letters published before 2008 visit the Letters Archive page.
| Description | |
|---|---|
 21-10 |
Letter Type: No-Action Division: DMO, MPD Regulation Parts: 5(d)(4), 1.3, 3.10, 38.250, 38.251, 38.252, 38.253 Tags: DCM, IB, Floor broker, COVID-19 Issuance Date: Description: Partial continuation of no-action positions to facilitate physical separation of registrant personnel in response to the COVID-19 pandemic |
| 21-09 |
Letter Type: No-Action Division: DMO, DCR, DOD, MPD Regulation Parts: 2(h)(8), 23, 23.202, 23.205, 23 Subpart I, 23.500, 23.501, 23.502, 23.503, 23.504, 23.505, 23.506, 23.610, 23 Subpart L, 23.700, 23.701, 23.702, 23.703, 23.704, 37, 38, 43, 50 Tags: SD, Brexit, Cross-border Issuance Date: Description: Brexit-related time limited no-action position with respect to certain swap dealer transaction-level requirements |
| 21-07 |
Letter Type: Exemption Division: MPD Regulation Parts: 1.10, 1.16 Tags: Financial Reports, IB Issuance Date: Description: Exemptive relief to registered Introducing Broker for filing a certified financial report under Regulation 1.10 and Regulation 1.16. |
| 21-06 |
Letter Type: No-Action Division: MPD Regulation Parts: 3 Tags: Commodity Pool, CPO, CTA, Registration Issuance Date: Description: No-action relief granted from CPO and CTA registration to an entity that uses swaps in connection with its acquisition of biopharmaceutical royalties. |
| 21-05 |
Letter Type: No-Action Division: DMO, MPD Regulation Parts: 5(d)(4), 5(d)(10), 1.3, 1.35, 38.250, 38.251, 38.252, 38.253, 155.3 Tags: FCM, IB, Recordkeeping, Registration, Floor broker, COVID-19, Audit Trail Issuance Date: Description: Partial continuation of no-action positions to facilitate physical separation of registrant personnel in response to the COVID-19 pandemic |
| 21-04 |
Letter Type: No-Action Division: DMO, MPD Regulation Parts: 5(d)(4), 5(d)(10), 1.35, 38.250, 38.251, 38.252, 38.253, 38.254, 38.255, 38.256, 38.553 Tags: Recordkeeping, COVID-19, Audit Trail Issuance Date: Description: No-action positions for floor brokers and introducing brokers from oral recordkeeping requirements and designated contract markets from audit trail requirements in continued response to the COVID-19 pandemic |
| 21-03 |
Letter Type: Other Division: MPD Regulation Parts: 23 Subpart E, 23 Subpart I Tags: SD, Capital, Model Issuance Date: Description: Approval letter issued to the National Futures Association with regard to Swap Dealer captial model requirements and review program. |
| 21-02 |
Letter Type: No-Action Division: MPD Regulation Parts: 1.25 Tags: FCM, Customer Funds Issuance Date: Description: Time-Limited No-Action relief to FCMs from Regulation 1.25 for Investments in Securities with an Adjustable Rate of Interest Benchmarked to the Secured Overnight Financing Rate |