13-48

Title: 13-48







Description

Letter 13-48 grants relief from grants relief from the aggregation prohibition in § 43.6(h)(6) for certain commodity trading advisors (“CTAs”) and investment advisors (“IAs”) with respect to large notional off-facility swaps. The no-action letter provides that until October 1, 2013 at 11:59 pm EST, the Division will not recommend that the Commission take enforcement action against CTAs and IAs that aggregate orders for the purpose of executing large notional off-facility swaps, provided they meet specified conditions.

13-46

Title: 13-46







Description

Amendment to the Direct Access No-Action Letters Issued to Foreign Boards of Trade to Permit Swaps to be Listed for Trading by Direct Access.

13-42

Title: 13-42







Description

The CFTCs Division of Market Oversight has issued an Advisory to remind reportable market participants of their obligation to submit accurate Form 204 reports for wheat, corn, oats, soybeans, soybean oil, and soybean meal on a monthly basis as required under CFTC Regulation 19.01, and to follow the instructions included on Form 204.

13-41

Title: 13-41







Description

Time-Limited No-Action Relief Permitting Part 45 and Part 46 Reporting Counterparties to Mask Legal Entity Identifiers, Other Enumerated Identifiers and Other Identifying Terms and Permitting Part 20 Reporting Entities to Mask Identifying Information, with respect to certain Enumerated Jurisdictions.

13-36

Title: 13-36







Description

Extension of Time-Limited No-Action Relief for Swap Dealers and Major Swap Participants from the Reporting Requirements of Part 45 for CDS Clearing-Related Swaps.

13-35

Title: 13-35







Description

Additional Time-Limited No-Action Relief for Bespoke or Complex Swaps from Certain Swap Data Reporting Requirements of Parts 43 and 45 of the Commission’s Regulations.

13-34

Title: 13-34







Description

Extension of Time-Limited No-Action Relief for Swap Dealers and Major Swap Participants from Compliance with Reporting Obligations Under 17 CFR 45.4(b)(2)(ii).

13-28

Title: 13-28







Description

Staff No-Action Relief: Extension of the Regulatory Status Quo Established with Respect to Certain Transactions by the Commission’s Second Amendment to the July 14, 2011 Order for Swap Regulation.

13-16

Title: 13-16







Description

Obligation of Futures Commission Merchants, Clearing Members and Foreign Brokers to Report Omnibus Account Information in a Timely Manner as Required by Commission Regulation 17.04(a).

13-15

Title: 13-15







Description

Reporting Block Trade Volume Data Pursuant to Commission Regulation 16.01.