26-25
Title: 26-25
File Link
Description
MPD no-action position, subject to certain specified conditions, on introducing broker and associated person registration for passive software providers.
26-09
Title: 26-09
File Link
Description
MPD no-action position, subject to certain specified conditions, on introducing broker (IB) and associated person registration for a provider of self-custodial crypto asset wallet software that proposes to provide and market software to facilitate trading by its users with registered futures commission merchants and IBs and designated contract markets.
25-31
Title: 25-31
File Link
Description
No-action position to UBS Europe SE in relation to statutory disqualification condition of CFTC Staff Letter No. 12-70 with respect to its affiliate support activities.
25-14
Title: 25-14
File Link
Description
The Commodity Futures Trading Commission’s Market Participants Division and Division of Market Oversight issued interpretative guidance confirming the application of certain cross-border definitions to SBC Limited.
21-10
Title: 21-10
File Link
Description
Partial continuation of no-action positions to facilitate physical separation of registrant personnel in response to the COVID-19 pandemic
20-20
Title: 20-20
File Link
Description
Time Extension for No-Action Relief previously granted in response to the COVID-19 pandemic for persons required to submit fingerprints in connection with applying for registration as an associated person or to be listed as a principal of a registrant.
20-16
Title: 20-16
File Link
Description
No-action position in response to the COVID-19 pandemic for persons required to submit fingerprints in connection with applying for registration as an associated person or being listed as a principal of a registrant
16-10
Title: 16-10
File Link
Description
Time-limited no-action relief for end users from the Form TO filing requirement under Commission regulation § 32.3(b)(2).
16-08
Title: 16-08
File Link
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.