Relief from the Part 43 public reporting requirements for relevant swaps related to the LCH Limited SOFR discounting transition auction

Extension of conditional time-limited no-action relief from filing certain infromation for ownership and control reports required by Parts 17, 18, and 20 of the Commission’s regulations

No-action relief from certain Commission regulations with respect to certain warrants listed on foreign exchanges.

No-action positions for commodity pool operators in response to the COVID-19 pandemic

DMO will not recommend that the Commission take an enforcement action against any SEF or SEF CCO for failure to submit an ACR within the 60-day period prescribed in Commission regulation 37.1501(f)(2), provided that: (a) the ACR was required to be submitted to the Commission prior to September 1, 2020, pursuant to Commission regulation 37.1501(f)(2); and (b) the ACR is submitted to the Commission not later than 120 days after the end of the SEF’s fiscal year.

Granting time-limited no-action relief to [“A”] permitting its Irish bank subsidiary, [“B”], to act as reporting counterparty for [“B”]’s swaps with U.S. persons that are not swap dealers (“SDs”) or major swap participants (“MSPs”), notwithstanding the allocation of reporting responsibility set forth in Commission Regulation 45.8(e).

No-action relief from specified Part 39 regulations applicable to derivatives clearing organizations due to Eris Clearing, LLC’s fully-collateralized clearing model.

DSIO denied a CPO’s request for exemptive relief from the audited annual report requirement for its pools because Division staff concluded that avoiding the audit could be disadvantageous for participants. 

No-Action Extension of no-action relief originally granted by DMO on December 19, 2016 to counterparties clearing swaps through derivatives clearing organizations acting under exemptive or no-action relief from certain reporting obligations for cleared swaps under Part 45 of the Commissions regulations.

Conditional time-limited no-action relief from filing certain Ownership and Control Reports (OCR) required by Parts 17, 18 and 20 of the Commission’s Regulations.