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)1.321.351.491.551.561.571.581.711.731.91026.32012.3513(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 - 23.16123.15123.15223.15323.15423.15523.15623.15723.15823.15923.16023.16123.20223.20423.20523.2223.40023.40123.40223.41023.43023.43123.43223.43323.43423.44023.45023.45123.50023.50123.50223.50323.50423.50523.50623.60023.60823.60923.61023.70023.70123.70223.70323.70433.103.123.33.43.553030.1030.1330.230.530.630.732.332.433.736.33737.100037.100137.1237.130337.130637.150137.20037.20137.20237.20337.20537.337.40037.40637.637.70237.93838.1038.1138.110138.15238.25038.25138.25238.25338.25438.25538.25638.50038.55338.838.9513939 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 ADMISARRCCFTCCGACGS&H LLPCMCCMECMESDRCMICCRGDTCCEIMSFCXFCXDCOFIAICE SDRICLR USIIBIII CAPISDAKEXKLEARKORKRXLCHSALEDGERXMFAMGECHOCCROYALTYSHCHSIFMASIFMA AMGTAIFEXTWO SIGMAYIELDBRKER

Dodd Frank

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22-03

Letter Type: No-Action Division: DOD, MPD Regulation Parts: 43, 45, 46, 49 Tags: Reporting, Swap Data Issuance Date: 01/31/2022 Description: DOD is taking a time-limited no-action position with respect to the compliance dates for the November 25, 2020 amendments to certain of the swap data reporting rules in Parts 43, 45, 46, and 49. See also: Request Letter Requester(s): CMESDR, DTCC, ICE SDR, ISDA