22-13
Title: 22-13
DMO will not recommend that the Commission take enforcement action against KRX with respect to the offer or sale of contracts based on the KOSPI 200 Index to persons located within the United States while the Commission’s review of KRX’s forthcoming request for certification of contracts based on the KOSPI 200 Index pursuant to Commission Regulation 30.13 is pending.
21-25
Title: 21-25
DMO will not recommend that the Commission take enforcement action against KRX with respect to the offer or sale of the Contracts to persons located within the United States while the Commission’s review of KRX’s forthcoming request for certification of the Contracts pursuant to Commission Regulation 30.13 is pending. (KRX No-Action Request)
16-88
Title: 16-88
Staff No-Action position regarding transfer of customer-owned securities by US FCM to a foreign broker.
14-91
Title: 14-91
DSIO is issuing a no-action letter providing additional time for futures commission merchants (FCMs) to comply with Commission regulations requiring FCMs to obtain acknowledgement letters from certain depositories. DSIO will provide no-action relief until October 17, 2014.
14-88
Title: 14-88
Extension of Time-Limited No-Action relief from compliance with certain conditions associated with the receipt of customer funds by FCMs.
14-157
Title: 14-157
DSIO is issuing an extension of a previous no-action letter providing additional time for futures commission merchants (FCMs) to comply with Commission regulations requiring FCMs to obtain acknowledgement letters from certain depositories. DSIO will provide no-action relief until April 30, 2015.
14-138
Title: 14-138
No-action relief and interpretation of certain aspects of Regulation 30.7 with respect to the holding of customer funds in accounts located outside of the U.S.
14-131
Title: 14-131
Extension of no-action relief from compliance with certain conditions associated with the receipt of customer funds by FCMs.