26-22

Title: 26-22

File Link
/csl/26-22/download






Description
Staff of the Division of Market Oversight (DMO) of the Commodity Futures Trading Commission (CFTC) are issuing this advisory to remind designated contract markets (DCMs) of the proper procedures for submitting self certifications of an event contract series. The advisory addresses the practice of submitting broad, template style certifications that combine many potential event contract permutations into a single, vague certification.

26-20

Title: 26-20

File Link
/csl/26-20/download






Description
Provides, subject to certain conditions, no-action positions for post-trade risk reduction service providers for failure to register as a swap execution facility, and for those entering into swaps that are subject to the swap clearing requirement and trade execution requirement.

26-16

Title: 26-16

File Link
/csl/26-16/download






Description
Staff of the Division of Clearing and Risk (“DCR”), Division of Market Oversight (“DMO”), and Market Participants Division (“MPD”) (collectively, the “Divisions”) of the Commodity Futures Trading Commission (“CFTC” or “Commission”) are issuing this advisory to set forth CFTC staff’s expectations with respect to, designated contract markets (“DCMs”), swap execution facilities (“SEFs”), and derivatives clearing organizations (“DCOs”) who are seeking to extend trading and/or clearing operations to a 24 hours a day, 7 days a week (“24/7”) basis as well as futures commission merchants (“FCMs”) seek

26-10

Title: 26-10

File Link
/csl/26-10/download






Description
Amendment of Appendix A of Staff Letter 24-11 to add two UK swap trading facilities to Staff Letter 24-11.

25-33

Title: 25-33

File Link
/csl/25-33/download






Description
This letter further extends no-action positions provided by DMO for those package transactions where at least one individual swap component is made available to trade and therefore subject to the trade execution requirement under CEA section 2(h)(8), and all other components are contracts for the purchase or sale of a commodity for future delivery, i.e. futures contracts (“MAT/Futures Package Transactions”).

25-24

Title: 25-24

File Link
/csl/25-24/download






Description
No-action letter stating that the Division will not recommend that the Commission commence an enforcement action against a swap execution facility (“SEF”) that does not satisfy the minimum trading functionality requirement set forth in Commission regulation 37.3(a)(2) by offering an order book as defined in Commission regulation 37.3(a)(3) (an “Order Book”), in connection with swap transactions executed on the SEF that are not subject to the trade execution requirement in Commodity Exchange Act (“CEA” or “Act”) section 2(h)(8) (“Permitted Transactions”).

25-05

Title: 25-05

File Link
/csl/25-05/download






Description
The Division of Market Oversight (“DMO”) of the Commodity Futures Trading Commission (“CFTC” or “Commission”) is hereby withdrawing CFTC Letter No. 21-19 – Staff Advisory on Swap Execution Facility Registration Requirement (the “SEF Registration Advisory”) in its entirety.

23-16

Title: 23-16

File Link
/csl/23-16/download






Description

The advisory reminds designated contract markets, derivatives clearing organizations, and swap execution facilities that have an affiliated intermediary or trading entity, as well as the affiliated intermediary or trading entities themselves, of their obligations to ensure compliance with existing statutory and regulatory requirements with this affiliate relationship in mind.

21-19

Title: 21-19

File Link
/csl/21-19/download






Description

The Division of Market Oversight of the Commodity Futures Trading Commission is issuing this advisory to remind entities of the swap execution facility registration requirements set forth in the Commodity Exchange Act and Commission regulations and to highlight certain scenarios where entities may be required to register.

20-35

Title: 20-35

File Link
/csl/20-35/download






Description

Extension of No-Action Relief for Swap Execution Facilities from Certain “Block Trade” Requirements in Commission Regulation 43.2

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