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.
26-20
Title: 26-20
File Link
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.
26-09
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.
25-36
Title: 25-36
File Link
Description
Advisory on certain contract market contracts and certain related regulatory obligations.
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.
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
21-07
Title: 21-07
File Link
Description
Exemptive relief to registered Introducing Broker for filing a certified financial report under Regulation 1.10 and Regulation 1.16.
21-05
Title: 21-05
File Link
Description
Partial continuation of no-action positions to facilitate physical separation of registrant personnel in response to the COVID-19 pandemic
20-26
Title: 20-26
File Link
Description
This no-action letter extends until January 15, 2021, the relief previously provided by CFTC Staff Letter 20-19, which, in turn, extended the time period for certain no-action relief provided in CFTC Staff Letters 20-02, 20-03, 20-04, 20-05, 20-06, 20-07, and 20-09, each issued on March 17, 2020 (the ""COVID-19 Letters"").
20-15
Title: 20-15
File Link
Description
No-action positions for futures commission merchants and introducing brokers to address net capital treatment of covered loans under the CARES Act in response to the COVID-19 pandemic.