Commodity Futures Trading Commission

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2019-10-22Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
2019-10-16CFTC Staff Letter 19-23: Revised No-Action Relief for European Stability Mechanism from Swap Clearing Requirement
2019-10-16CFTC Staff Letter 19-22: Revised No-Action Position for Uncleared Swaps with the European Stability Mechanism
2019-09-27Position Limits and Position Accountability for Security Futures Products
2019-09-20Commodity Futures Trading Commission Proposed Rulemaking on Public Rulemaking Procedures
2019-09-18Exemption From Derivatives Clearing Organization Registration
2019-09-18Registration With Alternative Compliance for Non-U.S. Derivatives Clearing Organizations
2019-08-06Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
2019-07-31Extension of No-Action Relief from Position Aggregation Requirements under Regulation 150.4
2019-07-26Customer Margin Rules Relating to Security Futures
2019-07-25Certain Swap Data Repository and Data Reporting Requirements; Extension of Comment Period
2019-07-23Exemption From Derivatives Clearing Organization Registration
2019-07-22CFTC Staff Letter 19-18: Interpretive Guidance on CIP and BO Requirements for Introducing Brokers
2019-07-22Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds
2019-07-19Registration With Alternative Compliance for Non-U.S. Derivatives Clearing Organizations
2019-07-10CFTC Staff Letter 19-17: Advisory to FCMs and No-Action Relief for DCOs on Separate Account Treatment
2019-07-09CFTC Staff Letter 19-16: Initial Margin Documentation Requirements
2019-07-05Foreign Futures and Options Transactions
2019-07-05Commodity Futures Trading Commission Extension of Comment Period for Derivatives Clearing Organization General Provisions and Core Principles
2019-07-01CFTC Staff Letter 19-15: No-action relief from specified Part 39 regulations for Eris Clearing, LLC
2019-06-27CFTC Staff Letter 19-14: No-Action Relief for Registered Floor Traders from Certain Swap Dealer Definition Conditions
2019-06-24Commodity Futures Trading Commission Regulatory Flexibility Agenda
2019-06-07CFTC Staff Letter 19-21 No-Action Relief for Firm A Regarding Statutory Disqualification
2019-06-06CFTC Staff Letter 19-13: No-Action Relief for Swap Dealers Regarding Legacy Swap Margin Requirements
2019-05-23CFTC Staff Letter 19-12: No-Action Relief from CPO Registration for General Partner of SPE
2019-05-16Derivatives Clearing Organization General Provisions and Core Principles
2019-05-13Certain Swap Data Repository and Data Reporting Requirements
2019-05-07CFTC Staff Letter 19-20: No-Action Relief from CPO Registration for Entity A
2019-05-07CFTC Staff Letter 19-11: No-Action Relief from CPO Registration for Entity A
2019-04-25Privacy of Consumer Financial Information—Amendment To Conform Regulations to the Fixing America’s Surface Transportation Act
2019-04-05CFTC Staff Letter 19-09: Extension of Regulatory Relief to UK Entities Following Brexit
2019-04-05CFTC Staff Letter 19-08: No-Action Relief for UK Entities Following Brexit
2019-04-03Comparability Determination for Australia: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
2019-04-03Financial Surveillance Examination Program Requirements for Self-Regulatory Organizations
2019-04-03Segregation of Assets Held as Collateral in Uncleared Swap Transactions
2019-04-03CFTC Staff Letter 19-07: No-Action Relief for Irish Bank Subsidiary to Act as Reporting Counterparty for Swaps with U.S. Persons
2019-04-02CFTC Staff Letter 19-10: Time-Limited No-Action Relief for Branch IB Registration Pending 30.10 Petition Review
2019-04-01Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
2019-04-01Amendment to Comparability Determination for Japan: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
2019-04-01De Minimis Exception to the Swap Dealer Definition for Swaps by Insured Depository Institutions in Connection With Loans to Customers
2019-03-22No-Action Position for Off-SEF Swaps Executed Pursuant to Prime Brokerage Arrangements
2019-02-28CFTC Staff Letter 19-05: No-Action Relief from CPO Registration for Entity B Delegates Responsibilities to Registered Entity A
2019-02-28CFTC Staff Letter 19-04: No-Action Relief from CPO Registration for Entity B
2019-02-22CFTC Staff Letter 19-03: Exemption from Quarterly Statement Deadline for CPO
2019-02-14CFTC Staff Letter 19-02: No-Action Relief from CPO and CTA Registration for Manager of Affiliate with Mineral and Royalty Interests
2019-02-12Post-Trade Name Give-Up on Swap Execution Facilities
2019-02-12Commodity Futures Trading Commission Extension of Comment Period for Swap Execution Facilities and Trade Execution Requirement
2019-02-11Annual Adjustment of Civil Monetary Penalties To Reflect Inflation—2019
2019-02-08Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds
2019-01-28CFTC Staff Letter 19-01: Exemptive Relief for Monthly Account Statements
2018-12-21CFTC Staff Letter 18-33 (No-Action): Relief from Position Aggregation Requirements under Regulation 150.4
2018-12-20Confirmation of Eurex Clearing AG compliance with Regulation 39.12(b)(7) and approval of rules
2018-12-20CFTC Staff Letter 18-32: No-Action Relief for Eurex Clearing AG to Modify Acknowledgment Letter with Deutsche Bundesbank
2018-12-20CFTC Staff Letter 18-31: Conditional No-Action Relief for Eurex Clearing and FCMs to Hold Customer Margin Securities at Clearstream
2018-12-10Privacy of Consumer Financial Information—Amendment To Conform Regulations to the Fixing America's Surface Transportation Act
2018-12-04CFTC Staff Letter 18-28: Exemption from PCAOB Auditor Independence Standards for FCM Certified Financial Statements for Year Ending December 31, 2018
2018-11-30Post-Trade Name Give-Up on Swap Execution Facilities
2018-11-30Swap Execution Facilities and Trade Execution Requirement
2018-11-26Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
2018-11-16Commodity Futures Trading Commission Regulatory Flexibility Agenda
2018-11-15CFTC Staff Letter 18-27: No-Action Relief from Position Aggregation Requirements Under Regulation 150.4
2018-11-13De Minimis Exception to the Swap Dealer Definition
2018-10-31CFTC Staff Letter 18-26: No-Action Position on FCM Deposit of Customer Securities as Margin with Foreign Broker
2018-10-18Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors
2018-10-09CFTC Staff Letter 18-29: Exemption from Regulation 4.7(b)(2) for Monthly Account Statements
2018-09-11Extension of Comment Period for Proposed Revisions to Volcker Rule Restrictions on Proprietary Trading and Hedge Fund Interests
2018-08-29Amendments to Clearing Exemption for Swaps Entered Into by Certain Bank Holding Companies, Savings and Loan Holding Companies, and Community Development Financial Institutions
2018-08-29CFTC Staff Letter 18-21: No-Action Position on PCAOB Critical Audit Matters for FCMs
2018-08-28CFTC Staff Letter 18-20: Conditional No-Action Relief for Excluding Loan-Related Swaps from De Minis Threshold
2018-08-27Chief Compliance Officer Duties and Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants
2018-08-21CFTC Staff Letter 18-23: No-Action Relief for Entity B from CPO Registration via Delegation to Entity A
2018-08-21CFTC Staff Letter 18-25: Exemption for CPO to Provide Monthly Account Statements Within 45 Days
2018-08-21CFTC Staff Letter 18-24: No-Action Relief from CPO Registration for Entity B
2018-08-21CFTC Staff Letter 18-22: No-Action Relief from CPO Registration for Trustee Delegating to Registered CPO
2018-08-13Exemption From Derivatives Clearing Organization Registration
2018-08-13CFTC Staff Letter 18-19: No-Action Position on Operating Lease Treatment Under Regulation 1.17
2018-07-31CFTC Staff Letter 18-18: Extension of No-Action Relief for Shanghai Clearing House
2018-07-31Position Limits and Position Accountability for Security Futures Products
2018-07-30Segregation of Assets Held as Collateral in Uncleared Swap Transactions
2018-07-19CFTC Staff Letter 18-37: No-Action Relief from CPO Registration for General Partner Delegating to Registered CPO
2018-07-19CFTC Staff Letter 18-35: No-Action Relief for General Partner of Commodity Pool from CPO Registration
2018-07-19CFTC Staff Letter 18-34: Exemption for Monthly Account Statements
2018-07-19CFTC Staff Letter 18-36: Exemptive Relief for Monthly Account Statements
2018-07-17Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
2018-07-03Financial Surveillance Examination Program Requirements for Self-Regulatory Organizations
2018-06-29Adaptation of Regulations to Incorporate Swaps; Correction
2018-06-12De Minimis Exception to the Swap Dealer Definition
2018-06-12Amendments to the Swap Data Access Provisions of Part 49 and Certain Other Matters
2018-06-11Commodity Futures Trading Commission Regulatory Flexibility Agenda
2018-05-23Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
2018-05-22Foreign Futures and Options Transactions
2018-05-21CFTC Staff Advisory 18-14: Guidance for Virtual Currency Derivative Product Listings
2018-05-16CFTC Staff Letter 18-13: No-Action Relief for Non-U.S. Persons from Counting Swaps with International Financial Institutions Toward SD and MSP Thresholds
2018-05-14CFTC Staff Letter 18-15: No-Action Relief from CPO Registration for Trustee Delegating to Registered CPO
2018-05-02CFTC Staff Letter 18-12: Interpretation of Regulation 150.4(b)(1) Aggregation Exemption for Passive Investors
2018-05-01CFTC Staff Letter 18-17: Exemption for Monthly Account Statements for Additional Pools
2018-04-16Rescission of CFTC Staff Letter No. 16-47
2018-03-30CFTC Staff Letter 18-16: No-Action Relief from CPO Registration for Entity A Acting as Trustee of Pool B
2018-03-30CFTC Staff Letter 18-10: Extension of Annual Report Exemptive Relief to Subsidiary Pool and Removal of Condition for Existing Pool
2018-03-30CFTC Staff Letter 18-09: Exemption from Regulations 4.7 and 4.22 for U.S. Feeder Fund Financial Statements
2018-03-07CFTC Staff Letter 18-07: Denial of Exemptive Relief for CPO Annual Report Audit
2018-03-06Annual Adjustment of Civil Monetary Penalties to Reflect Inflation-2018
2018-03-05CFTC Staff Letter 18-06: Exemption from Quarterly Statement Deadline for CPO A
2018-02-28CFTC Staff Letter 18-08: No-Action Relief from CPO and CTA Registration for Pension Plan Group Trusts
2018-02-23Commodity Futures Trading Commission Definitions
2018-02-22CFTC Staff Letter 18-04: Extension of No-Action Relief for Shanghai Clearing House Regarding Section 5b(a) of the Commodity Exchange Act
2018-02-20CFTC Staff Letter 18-05: Exemption from Quarterly Statement Distribution Deadline for Commodity Pool Operators
2018-02-20CFTC Staff Letter 18-03: No-Action Extension for Counterparties Clearing Swaps through Relief DCOs
2018-02-15CFTC Staff Letter 18-02: Time Limited No-Action Relief for Shorcan Energy Brokers Inc. Registration
2018-01-12Performance of Certain Functions by the National Futures Association With Respect to the Receipt and Processing of Exchange Disciplinary and Access Denial Action Information
2018-01-12Technical Amendments to Rules on Registration and Review of Exchange Disciplinary, Access Denial, or Other Adverse Actions
2018-01-12Commodity Futures Trading Commission Regulatory Flexibility Agenda
2018-01-04CFTC Staff Letter 18-01: No-Action Position on Deferred Tax Liabilities for FCMs
2017-12-20Retail Commodity Transactions Involving Virtual Currency
2017-12-14CFTC Staff Letter 17-67: Extension of No-Action Relief from Section 2(h)(8) for Inter-Affiliate Swap Transactions
2017-12-14CFTC Staff Letter 17-66: No-Action Relief Extending Alternative Compliance Framework for Affiliated Counterparties
2017-12-11CFTC Staff Letter 17-65: CTA Registration Exclusion for Incidental Advice with Separate Compensation
2017-11-30CFTC Staff Letter 17-64: Extension of Time-Limited No-Action Relief from Part 45 and Part 46 for Non-U.S. SDs and MSPs
2017-11-28Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants; Correction
2017-11-21CFTC Staff Letter 17-63: No-Action Relief from CPO Registration for Entity B
2017-11-20CFTC Staff Letter 17-61: No-Action Relief for Swap Execution Facilities to Extend Filing Deadlines for Annual Compliance and Fourth Quarter Financial Reports
2017-11-20Extension of No-Action Relief for Shanghai Clearing House Regarding Section 5b(a) of the Commodity Exchange Act
2017-11-14CFTC Staff Letter 17-60: Extension of No-Action Relief for SEF Block Trade Execution
2017-11-07CFTC Staff Letter 17-59: No-Action Relief for North American Development Bank from Swap Clearing Requirement
2017-11-07CFTC Staff Letter 17-57: No-Action Relief for CABEI from Swap Clearing Requirement
2017-11-07CFTC Staff Letter 17-58: No-Action Relief for European Stability Mechanism from Swap Clearing Requirement
2017-11-01CFTC Staff Letter 17-56: No-Action Relief for CME Clearing Regarding Modified Acknowledgment Letters for Liquidity Facility
2017-10-31Order Establishing a New De Minimis Threshold Phase-In Termination Date
2017-10-31CFTC Staff Letter 17-55: Extension of No-Action Relief for Package Transactions
2017-10-31CFTC Staff Letter 17-54: No-Action Relief for SEFs from Post-Execution Allocation Audit Trail Requirements
2017-10-27CFTC Staff Letter 17-52: No-Action Relief for Swap Dealers from Variation Margin Requirements for Legacy SPV Swaps
2017-10-18Comparability Determination for the European Union: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
2017-10-12CFTC Staff Letter 17-51: Characterization of Variation Margin and Cash Flows for Cleared Swaps
2017-09-29Commission Delegated Authority Provisions for Designated Contract Markets' System Safeguards Requirements
2017-09-25CFTC Staff Letter 17-45: Conditional Time-Limited No-Action Relief from Filing Certain Ownership and Control Reports
2017-09-22CFTC Staff Letter 17-49: No-Action Relief from CPO and CTA Registration for Five Universities
2017-09-22CFTC Staff Letter 17-68: Interpretative relief from the definition of commodity pool for certain real estate holding companies
2017-09-19CFTC Staff Letter 17-50: No-Action Relief from CPO Registration for Entity B
2017-09-13CFTC Staff Letter 17-43: No-Action Relief from CPO and CTA Registration for University Endowment and Planned Giving Activities
2017-08-24Commodity Futures Trading Commission Semiannual Regulatory Flexibility Agenda
2017-08-10CFTC Staff Letter 17-37: No-Action Relief from Position Aggregation Requirements under Regulation 150.4
2017-08-02CFTC Staff Letter 17-47: No-Action Relief for Entities B and C from CPO Registration via Delegation to A
2017-08-02CFTC Staff Letter 17-46: No-Action Relief from CPO Registration via Delegation
2017-08-02CFTC Staff Letter 17-48: No-action relief from CPO and CTA registration for entity managing swaps to hedge commodity price risk
2017-07-27CFTC Staff Letter 17-44: Exemption for CPO to Provide Monthly Account Statements Within 45 Days
2017-07-25CFTC Staff Letter 17-36: Extension of No-Action Relief for Non-U.S. Swap Dealers
2017-07-24CFTC Staff Letter 17-34: No-Action Relief for Swap Dealers from Margin Rules for Uncleared Swaps with the European Stability Mechanism
2017-07-24CFTC Staff Letter 17-35: Exemption from Part 39 Regulations for LedgerX
2017-07-18CFTC Staff Letter 17-38: No-Action Relief from CPO Registration for Delegating Entity
2017-07-18CFTC Staff Letter 17-40: No-Action Relief from CPO Registration for Entity B via Delegation to Registered Entity A
2017-07-18CFTC Staff Letter 17-39: No-Action Relief from CPO Registration for Entity A
2017-07-13CFTC Staff Letter 17-42: No-Action Relief from CPO Registration for Entity B via Delegation to Entity A
2017-07-10CFTC Staff Letter 17-33: Division of Market Oversight Review of Swap Reporting Regulations
2017-07-10CFTC Staff Letter 17-41: Exemption from Annual Report Filing for Commodity Pool Operator
2017-06-30CFTC Staff Letter 17-31: No-Action Relief from Swap Reporting and Recordkeeping for Nadex
2017-06-30CFTC Staff Letter 17-32: No-Action Relief from Swap Reporting and Recordkeeping for Cantor Futures Exchange Binary Options
2017-06-26Commission Delegated Authority Provisions and Technical Amendments
2017-06-20Revisions to Freedom of Information Act Regulations
2017-06-19CFTC Staff Letter 17-53: Exemption from Regulation 4.7 Reporting Obligations for Non-US Commodity Pools
2017-06-07CFTC Staff Letter 17-30: No-Action Relief for CME Clearing Europe During Wind-Down
2017-05-30Recordkeeping Requirements for Swap Dealers and Major Swap Participants
2017-05-30CFTC Staff Letter 17-27: No-Action Relief for SEFs and DCMs Regarding Clerical or Operational Errors
2017-05-30Whistleblower Awards Process
2017-05-24Commodity Futures Trading Commission: Project KISS Request for Information Correction
2017-05-18CFTC Staff Letter 17-28: Exemption from Annual Report Filing for Commodity Pool Operator
2017-05-18CFTC Staff Letter 17-29 (Exemption): Exemptive relief granted to a CPO from filing with NFA and distributing to participants annual reports for certain pools, subject to certain conditions
2017-05-16Extension of No-Action Relief for Shanghai Clearing House Regarding DCO Registration
2017-05-09Project KISS: Request for Information on Reducing Regulatory Burdens
2017-05-08Chief Compliance Officer Duties and Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments
2017-05-03CFTC Staff Letter 17-69: Clarification on Language in CFTC Staff Letter No. 13-51
2017-04-28CFTC Staff Letter 17-25: Guidance on Calculating Projected Operating Costs for DCMs and SEFs
2017-04-20Exemptive Relief from Main Business Office Requirement for CTAs Using Third-Party Recordkeepers
2017-04-18CFTC Staff Letter 17-22: Extension of No-Action Position for Swap Dealers Complying with EU Uncleared Swap Margin Requirements
2017-04-14CFTC Staff Letter 17-21 (No-Action): Grant of no-action relief for Eurex Clearing AG with regard to Regulation 39.19(c)(3)(ii)
2017-04-04CFTC Staff Letter 17-19: No-Action Relief from CPO Registration for University Entities
2017-03-29No-Action Relief Regarding the Application of Commission Regulation 75.14(a) to Clearing Services by an FCM to a Covered Fund
2017-03-24CFTC Staff Letter 17-17 (No-Action): Extension of Relief for SEF Confirmation and Recordkeeping Requirements
2017-03-22CFTC Staff Letter 17-20: Exemption from Audited Annual Report Requirements for Liquidating Commodity Pool
2017-03-21CFTC Staff Letter 17-23: Exemption from filing and distributing annual reports for certain subsidiary pools
2017-03-16Capital Requirements of Swap Dealers and Major Swap Participants
2017-03-10CFTC Letter 17-16: Further Extension of Conditional Masking No-Action Relief for Part 45 and 46 Reporting
2017-02-23CFTC Staff Letter 17-13: Time-Limited No-Action for Variation Margin Timing with Japanese Counterparties
2017-02-15CFTC Staff Letter 17-15: No-Action Relief from CPO Registration for Entity B
2017-02-15CFTC Staff Letter 17-14: No-Action Relief from CPO Registration for Entity B
2017-02-13CFTC Staff Letter 17-11: Time-Limited No-Action Relief for Variation Margin Compliance
2017-02-13CFTC Staff Letter 17-12: No-Action Relief for Minimum Transfer Amount with Respect to Separately Managed Accounts
2017-02-06CFTC Staff Letter 17-06: Time-Limited No-Action Relief from Regulation 150.4(c) Notice Filing Requirements
2017-02-06CFTC Staff Letter 17-6: Time-Limited No-Action Relief from Aggregation Notice Filing Requirements under Regulation 150.4(c)
2017-02-01CFTC Staff Letter 17-10: No-Action Relief from CPO Registration for Entity B
2017-02-01CFTC Staff Letter 17-08: No-Action Relief from CPO Registration for Entity B
2017-02-01CFTC Staff Letter 17-05: No-Action Relief for Swap Dealers Complying with EU Uncleared Swap Margin Requirements
2017-02-01CFTC Staff Letter 17-09: No-Action Relief for Entity B from CPO Registration via Delegation to Entity A
2017-02-01CFTC Staff Letter 17-07: No-Action Relief from CPO Registration for Entity B
2017-01-26CFTC Staff Letter 17-04: Exemption from Participant Waivers for Unaudited Financial Statements when Liquidating a Series of a Registered Investment Company
2017-01-26Commodity Futures Trading Commission Extension of Comment Period for Regulation Automated Trading
2017-01-26CFTC Staff Letter 17-03: No-Action Position on Withdrawals of Residual Interest Under Regulation 22.17(b)
2017-01-25Proposed Amendments To Swap Data Access Provisions and Certain Other Matters
2017-01-23Annual Adjustment of Civil Monetary Penalties for Inflation-2017
2017-01-23Technical Amendments to Rules on Registration and Review of Exchange Disciplinary, Access Denial or Other Adverse Actions
2017-01-19Commodity Futures Trading Commission Proposed Rule on Recordkeeping