14-157

Title: 14-157







Description

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.

14-132

Title: 14-132







Description

Staff interpretation regarding notification of the right to segregation of initial margin in uncleared swap transactions and quarterly reporting under Commission Regulations 23.701 and 23.704

14-131

Title: 14-131







Description

Extension of no-action relief from compliance with certain conditions associated with the receipt of customer funds by FCMs.

14-127

Title: 14-127







Description

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 December 31, 2014.

14-124

Title: 14-124







Description

No-action relief for LCH.Clearnet Limited with regard to Regulations 1.20(g)(4) and 22.5, and an exemption from the requirements of Regulation 1.49(d)(3) for customer accounts held at the Bank of England.

14-123

Title: 14-123







Description

No-action relief for ICE Clear Europe Limited with regard to Regulation 1.20(g)(4), and an exemption from the requirements of Regulation 1.49(d)(3) for customer accounts held at the Bank of England.

14-106

Title: 14-106







Description

No-action relief for the Chicago Mercantile Exchange, Inc. with regard to Regulations 1.20(d) and 22.5(a).

14-02

Title: 14-02







Description

No-action relief from compliance with certain conditions associated with the receipt of customer funds by FCMs.

10-01

Title: 10-01







Description

DCIO responded to a request for guidance from the Joint Audit Committee (JAC) as to investments of customer funds by futures commission merchants (FCMs) in corporate debt securities guaranteed by the Federal Deposit Insurance Corporation (FDIC) under its Temporary Liquidity Guarantee Program (TLGP).

08-17

Title: 08-17







Description

DCIO received a request for guidance from the Joint Audit Committee concerning FCM regulatory reporting requirements for investments in a money market mutual fund. The fund had announced that its net asset value per share had fallen from $1.00 and that, as permitted by order of the SEC dated September 22, 2008, the fund had suspended redemptions and postponed payments.