Partial continuation of no-action positions to facilitate physical separation of registrant personnel in response to the COVID-19 pandemic

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.

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

Time-limited no-action relief for end users from the Form TO filing requirement under Commission regulation § 32.3(b)(2).

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.