RegAlert2010-09-27 | CFTC Staff Letter 10-35Added · Updated
Withdrawal of No-Action Relief for Securities Broker-Dealers Selling Certain Futures Contracts
The Division withdraws the no-action relief previously granted in Staff Letters 02-22, 02-90, and 06-20 regarding the offer and sale of certain futures contracts designated as "B" by registered securities broker-dealers and their representatives. This withdrawal applies to new "B" products listed on or after October 1, 2010, requiring them to be marketed and traded in accordance with the Commodity Exchange Act and Commission regulations concerning registration, sales practices, customer fund treatment, reporting, and recordkeeping. Products listed before October 1, 2010 may continue to be offered, sold, and traded under the existing relief until expiration.
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U.S. COMMODITY FUTURES TRADING COMMISSION
Three Lafayette Centre
1155 21st Street, NW, Washington, DC 20581
Telephone: (202) 418-5430
Facsimile: (202) 418-5547 aradhakrishnan@cftc.gov Division of Clearing and Intermediary Oversight Ananda Radhakrishnan Director
CFTC Letter No. 10-35
Other Written Communication
September 27, 2010
Division of Clearing and Intermediary Oversight Re: Withdrawal of Further No-Action Relief Pursuant to CFTC Letters 02-22, 02-90 and 06-20 Dear :
As you are aware, on July 11, 2001, the Division issued Staff Letter 02-22, granting the request of “A” that the Division not recommend enforcement action (i.e., “no-action” relief) against registered securities broker-dealers (“BDs”) and their registered representatives (“RRs”) in connection with their offer and sale of certain futures contracts designated “B”.1
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Show all related documents (18)
- Supersedes
- CFTC Staff Letter 08-15: Exemption from Disclosure, Reporting, and Recordkeeping Requirements for Exchange-Listed Commodity Pools2008CFTC Staff Letter 08-02: Exemption from Part 4 Regulations for Listed Commodity Pools2008CFTC Staff Letter 06-26: Exemption from CPO Disclosure, Recordkeeping, and Reporting Requirements2006CFTC Staff Letter 06-20: No-Action Relief for Institutional Customers Trading Certain Index Futures2006CFTC Staff Letter No. 06-16 dated 2006-07-06not in RegAlertCFTC Staff Letter No. 06-26 dated 2006-09-26not in RegAlert
+7 more
CFTC Staff Letter No. 06-27 dated 2006-09-26not in RegAlertCFTC Staff Letter No. 08-01 dated 2008-01-11not in RegAlertCFTC Staff Letter No. 08-02 dated 2008-01-29not in RegAlertCFTC Staff Letter No. 08-15 dated 2008-08-20not in RegAlertCFTC Staff Letter No. 08-16 dated 2008-09-03not in RegAlertCFTC Staff Letter No. 09-39 dated 2009-07-30not in RegAlertStaff Letters No. 02-22 dated 2002-07-11not in RegAlert - Refers to
- CFTC Staff Letter 08-01: Exemption from Disclosure, Reporting, and Recordkeeping Requirements for Exchange-Traded Fund2008CFTC Staff Letter 06-27: Exemption from Part 4 Disclosure, Recordkeeping, and Reporting Requirements for Exchange-Traded Funds2006CFTC Staff Letter 06-15: Exemption from Disclosure, Reporting, and Recordkeeping Requirements for Registered CPO2006CFTC Staff Letter 06-16: Exemptive Relief for Registered CPO and CTA of an Exchange-Traded Fund2006CFTC Staff Letter 05-19: Exemption from Part 4 Rules for Registered CPO Offering Shares Listed on a National Securities Exchange2005
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This document supersedes: CFTC Staff Letter 08-15: Exemption from Disclosure, Reporting, and Recordkeeping Requirements for Exchange-Listed Commodity Pools, CFTC Staff Letter 08-02: Exemption from Part 4 Regulations for Listed Commodity Pools, CFTC Staff Letter 06-26: Exemption from CPO Disclosure, Recordkeeping, and Reporting Requirements, CFTC Staff Letter 06-20: No-Action Relief for Institutional Customers Trading Certain Index Futures
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
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