Extension of No-Action Relief for Recordkeeping Requirements under Regulation 1.35(a)

The Divisions extend no-action relief from CFTC Staff Letter No. 14-147, allowing commodity trading advisors registered with the Commission and members of designated contract markets or swap execution facilities to omit records of oral communications without enforcement action. Market participants subject to Regulation 1.35(a) are also exempted from enforcement regarding records of oral and written communications that are not linked to a particular transaction. This relief expires on the effective date of any final Commission action regarding the Proposed Amendment to Regulation 1.35(a).

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U.S. COMMODITY FUTURES TRADING COMMISSION
Three Lafayette Centre
1155 21st Street, NW, Washington, DC 20581
Telephone: (202) 418-5000
Division of Swap Dealer and
Intermediary Oversight
Division of
Market Oversight
Eileen T. Flaherty
Director
Vincent A. McGonagle
Director
CFTC Letter No. 15-65
No-Action
December 8, 2015
Division of Swap Dealer and Intermediary Oversight Division of Market Oversight Re: Extension of No-Action Relief: Certain Recordkeeping Requirements under Commission Regulation 1.35(a) Ladies and Gentlemen:

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This document amends: CFTC No-Action Relief from Recordkeeping Requirements under Regulation 1.35(a)

Source: Commodity Futures Trading Commission — original document · Summary generated with machine assistance and reviewed before publication; the authoritative text is the regulator's original document. How RegAlert works