Commodity Futures Trading Commission

2,362 documents, newest first — showing 601–800.

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2017-01-18CFTC Staff Letter 17-02: No-Action Relief from CPO Registration for Pool with Unfunded Loan and Guarantee
2017-01-10CFTC Staff Letter 17-01: No-Action Relief from CPO Registration for Entity B
2016-12-30Position Limits for Derivatives
2016-12-23Commodity Futures Trading Commission Semiannual Regulatory Flexibility Agenda
2016-12-23CFTC Staff Letter 16-87: Interpretation of Regulation 23.451 on Swap Dealer Political Contributions
2016-12-22CFTC Staff Letter 16-90: Exemption from U.S. GAAP for U.S. Feeder Fund Financial Statements
2016-12-19CFTC Staff Letter 16-85
2016-12-19CFTC Staff Letter 16-86: No-Action Relief for DCOs and Reporting Entities on Cleared Swaps Reporting
2016-12-16Commodity Futures Trading Commission Final Rule on Aggregation of Positions
2016-12-16Capital Requirements of Swap Dealers and Major Swap Participants
2016-12-15CFTC Staff Letter 16-84: No-Action Relief for Inter-Affiliate Clearing Exemption for Australian and Mexican Counterparties
2016-12-09CFTC Staff Letter 16-88: No-Action Position on Transfer of Customer Securities by US FCM to Foreign Broker
2016-11-30CFTC Staff Letter 16-82: No-Action Position on Consolidating Risk Disclosure Statements
2016-11-28CFTC Staff Letter 16-81: Extension of No-Action Relief for Inter-Affiliate Swap Clearing Exemption Conditions
2016-11-28CFTC Staff Letter 16-80: Extension of No-Action Relief for Inter-Affiliate Swap Trade Execution
2016-11-25Commodity Pool Operator Financial Reports
2016-11-25Regulation Automated Trading: Supplemental Notice of Proposed Rulemaking
2016-11-21CFTC Staff Letter 16-79: Extension of Time-Limited No-Action Relief from Part 45 and Part 46 Requirements for Non-U.S. SDs and MSPs
2016-11-16Chief Compliance Officer Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments to Filing Dates
2016-11-01CFTC Staff Letter 16-76: Extension of No-Action Relief for Package Transactions
2016-10-27CFTC Staff Letter 16-83: Exemption for CPOs to Provide Monthly Account Statements Within 45 Days
2016-10-18Order Establishing De Minimis Threshold Phase-In Termination Date
2016-10-18Cross-Border Application of the Registration Thresholds and External Business Conduct Standards Applicable to Swap Dealers and Major Swap Participants
2016-10-18CFTC Staff Advisory No. 16-75: Practical Application of No-Action Letter No. 16-68 Regarding Investments in Money Market Mutual Funds
2016-10-14Clearing Requirement Determination Under Section 2(h) of the Commodity Exchange Act for Interest Rate Swaps
2016-10-07CFTC Staff Letter 16-74: Extension of No-Action Relief for SEF Block Trades
2016-09-19System Safeguards Testing Requirements for Derivatives Clearing Organizations
2016-09-19System Safeguards Testing Requirements
2016-09-15CFTC Staff Letter 16-73: Extension of No-Action Relief for Southwest Power Pool
2016-09-15Comparability Determination for Japan: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
2016-09-14CFTC Staff Letter 16-72: Conditional No-Action Relief for Yieldbroker Pty Limited
2016-09-06Commodity Pool Operator Annual Report
2016-09-01CFTC Staff Letter 16-70: Temporary No-Action Relief for Swap Dealer Custodial Arrangements
2016-08-30CFTC Whistleblower Awards Process Proposed Rulemaking
2016-08-23CFTC Staff Letter 16-71 (No-Action): Portfolio margining of uncleared swaps and security-based swaps
2016-08-16Final Response to District Court Remand Order in Securities Industry and Financial Markets Association, et al. v. United States Commodity Futures Trading Commission
2016-08-12Written Acknowledgment of Customer Funds From Federal Reserve Banks
2016-08-12Chief Compliance Officer Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments to Filing Dates
2016-08-08CFTC Staff Letter 16-68: No-Action Relief for FCMs Investing in Certain Money Market Funds Under Regulation 1.25
2016-08-08CFTC Staff Letter 16-69: Interpretation of Part 39 Regulations Regarding Prime and Electing Government Money Market Funds
2016-08-05Exemption From Registration for Certain Foreign Persons
2016-08-05Commodity Pool Operator Annual Report
2016-08-04CFTC Staff Letter 16-64: Extension of No-Action Relief for Non-U.S. Swap Dealers
2016-07-29CFTC Staff Letter 16-66: Exemption for CPO to Use C GAAP Instead of US GAAP
2016-07-29CFTC Staff Letter 16-65: Exemption from Audited Financial Statement Requirement for CPO
2016-07-25CFTC Staff Advisory No. 16-62: Chief Compliance Officer Reporting Lines
2016-07-21CFTC Staff Letter 16-61: Guidance on Recovery Plans and Wind-down Plans for Derivatives Clearing Organizations
2016-07-20CFTC Staff Letter 16-67: Exemptive Relief for Monthly Account Statements
2016-07-11CFTC Staff Letter 16-63 (Exemption): Relief for 15-Month Annual Report
2016-07-06CFTC Staff Advisory No. 16-60: Compliance with Suspicious Activity Reporting and OFAC Sanctions
2016-06-27Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps
2016-06-27Adjustment of Civil Monetary Penalties for Inflation
2016-06-21CFTC Staff Letter 16-59: No-Action and Exemptive Relief for CME Customer Accounts at the Bank of Canada
2016-06-21No-action relief for Chicago Mercantile Exchange regarding Regulation 1.20(g)(4) and exemption from Regulation 1.49(d)(3) for Bank of Canada accounts
2016-06-16Clearing Requirement Determination Under Section 2(h) of the CEA for Interest Rate Swaps
2016-06-13Position Limits for Derivatives: Certain Exemptions and Guidance
2016-06-10CFTC Staff Letter 16-58: Extension of No-Action Relief for SEFs and DCMs Regarding Clerical and Operational Errors
2016-06-09Commodity Futures Trading Commission Regulatory Flexibility Agenda
2016-06-07Public Staff Roundtable on Elements of Regulation Automated Trading; Reopening of Comment Period
2016-05-31Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants-Cross-Border Application of the Margin Requirements
2016-05-31CFTC Staff Letter 16-56: Time-limited no-action relief for Shanghai Clearing House regarding Section 5b(a) of the Commodity Exchange Act
2016-05-12CFTC Staff Letter 16-52: Extension of No-Action Relief for Yieldbroker Pty Limited
2016-05-06Definitions of Portfolio Reconciliation and Material Terms for Purposes of Swap Portfolio Reconciliation
2016-04-28CFTC Staff Letter 16-54: Exemption for Monthly Account Statements within 45 Days
2016-04-28CFTC Staff Letter 16-53: Exemption for Monthly Account Statements for Additional Pools
2016-04-08CFTC Staff Letter 16-33: No-Action Relief for Data Masking on Form 102A and Form 102B
2016-04-08CFTC Staff Letter 16-32: No-Action Relief for OCR Data Reporting Requirements
2016-04-08Certain Natural Gas and Electric Power Contracts
2016-04-08CFTC Staff Letter 16-55: Exemption from auditing a CPO's 2015 annual report
2016-04-08CFTC Staff Letter 16-57: Exemption for CPO from Auditing 2015 Annual Report
2016-04-05CFTC Staff Letter 16-37: Exemptive Relief for CPO from Auditing 2015 Annual Report
2016-04-05CFTC Staff Letter 16-39: Exemption from Audited Annual Financial Statements for a CPO
2016-04-01CFTC Staff Letter 16-34: Interpretation that a pool funded and traded by two brothers is not a commodity pool
2016-04-01Alternative to Fingerprinting Requirement for Foreign Natural Persons
2016-03-31CFTC Staff Letter 16-46: No-Action Relief from CPO and CTA Registration for Family Office
2016-03-31CFTC Staff Letter 16-50: Exemption from Annual Report Requirement for Commodity Pool
2016-03-31CFTC Staff Letter 16-51: Exemption from Annual Report Requirement for Commodity Pool Operator
2016-03-30CFTC Staff Letter 16-29: No-Action Relief from Timing Requirements for CCO Annual Reports by Deutsche Bank AG
2016-03-30CFTC Staff Letter 16-77: No-Action Relief from CCO Annual Report Timing Requirements
2016-03-30CFTC Staff Letter 16-78: No-Action Relief from CCO Annual Report Timing Requirements
2016-03-30CFTC No-Action Relief from Timing Requirements for Commerzbank AG CCO Annual Report
2016-03-29CFTC Staff Letter 16-47: Exemption for CPO 'A' from Intermediate Fund Audit and CPO-PQR Filing Requirements
2016-03-28Rules of Practice
2016-03-25CFTC Staff Letter 16-44: Exemption from Audit Requirement for Commodity Pool Annual Report
2016-03-25CFTC Staff Letter 16-36: Exemptive relief for a CPO from auditing a pool’s 2015 annual report
2016-03-25CFTC Staff Letter 16-38: Exemptive Relief for CPO from Auditing Pool’s 2015 Annual Report
2016-03-25CFTC Staff Letter 16-35: Exemption from Audited Annual Financial Statements for Pool's 2015 Report
2016-03-25CFTC Staff Letter 16-30: Exemption from Audited Financial Statement Requirements for Commodity Pool
2016-03-23CFTC Staff Letter 16-48: Exemption from Annual Report Requirements for Three Commodity Pools
2016-03-21Commodity Futures Trading Commission Final Rule on Trade Options
2016-03-16CFTC No-Action Relief for EU-Based DCOs from Certain Part 22 and Part 39 Requirements
2016-03-15CFTC Staff Letter 16-27: Extension of No-Action Relief for Southwest Power Pool
2016-03-14CFTC Staff Letter 16-25: Extension of No-Action Relief for SEF Confirmation and Recordkeeping Requirements
2016-03-11CFR Correction: Revision of 17 CFR § 3.10(b) Duration of Registration
2016-03-11General Regulations Under the Commodity Exchange Act
2016-03-07CFTC Staff Letter 16-41: Exemption from Annual Report Requirement for Commodity Pool
2016-03-02CFTC Staff Advisory 16-24: Risk Management Program Requirements for Futures Commission Merchants
2016-02-29CFTC Staff Letter 16-23: No-Action Position on Guaranteed Introducing Brokers
2016-02-25CFTC Staff Letter 16-22: Exemption for CPOs on Form CPO-PQR Reporting
2016-02-22CFTC Staff Letter 16-42: Exemption from Annual Report Requirement for Commodity Pool Operator
2016-02-22CFTC Staff Letter 16-31: Exemption from Annual Report Requirements for Pools Beginning Operations in Q4 2015
2016-02-22CFTC Staff Letter 16-45: Exemption from Audit Requirement for Commodity Pool Annual Report
2016-02-22CFTC Staff Letter 16-40 (Exemption): Relief from Audit Requirement for CPO of Exempt Pool
2016-02-22CFTC Staff Letter 16-43: Exemption from Annual Report Requirement for Commodity Pool Operator
2016-02-18CFTC Staff Letter 16-10: Time-Limited No-Action Relief for End Users from Form TO Filing Requirement
2016-02-17CFTC Staff Letter 16-20: Exemption from audit requirements for CPO of a pool
2016-02-12CFTC Staff Letter 16-09 (No-Action): Extension of time-limited no-action relief for Southwest Power Pool
2016-02-12CFTC Staff Letter 16-08: No-Action Position for Foreign Intermediaries on Non-Cleared Swaps
2016-02-11Commodity Futures Trading Commission Order Exempting Korea Exchange Member Firms From Certain Foreign Futures and Options Regulations
2016-02-09CFTC Staff Letter 16-06: Time-Limited No-Action Relief for SGX-DC from Regulation 39.19(b)(1)
2016-02-05CFTC Staff Letter 16-16: Exemption from Audit Requirement for Exempt Commodity Pool
2016-02-03CFTC Staff Letter 16-15: Exemption from Annual Report Requirement for Commodity Pool Operator
2016-02-03CFTC Staff Letter 16-14: Exemption from Annual Report Requirement for Commodity Pool Operator
2016-02-03CFTC Staff Letter 16-17 (Exemption): Relief from Audit Requirement for CPO of Exempt Commodity Pool
2016-02-03CFTC Staff Letter 16-89: Exemptive Relief from Regulations 4.7 and 4.22 for Onshore Feeder Fund Financial Statements
2016-02-03CFTC Staff Letter 16-91: Exemption from U.S. GAAP for Onshore Feeder Fund Financial Statements
2016-02-03CFTC Staff Letter 16-19: Exemption from Audit Requirements for Certain Segregated Series of a Pool
2016-02-03CFTC Staff Letter 16-18 (Exemption): Relief from Audit Requirement for CPO of Exempt Commodity Pool
2016-02-03CFTC Staff Letter 16-21: Exemption for Additional Proprietary Funds of CPO "A"
2016-02-03CFTC Staff Letter 16-13: Exemption from Annual Report Requirement for Commodity Pool Operator
2016-02-01CFTC Staff Letter 16-05: No-Action Relief and Exemption for Eurex Clearing AG
2016-02-01CFTC Staff Letter 16-04: No-Action Relief for Eurex Clearing Regarding Straight-Through Processing Requirements
2016-01-15CFTC Staff Letter 16-03: Extension of No-Action Relief for Masking Identifiers in Parts 20, 45, and 46 Reporting
2016-01-13CFTC Staff Letter 16-07: No-Action Relief from CPO and CTA Registration for Board of Trustees of Pension Plan Group Trust
2016-01-12Alternative to Fingerprinting Requirement for Foreign Natural Persons
2016-01-08CFTC Staff Letter 16-02: No-Action Relief from Swap Clearing for Certified Community Development Financial Institutions
2016-01-08No-Action Relief from Swap Clearing Requirement for Bank Holding Companies or Savings and Loan Holding Companies with Consolidated Assets of $10 Billion or Less
2016-01-06Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
2016-01-05CFTC Staff Letter 16-11: Exemption from Audit Requirements for Pool Financial Statements
2016-01-05CFTC Staff Letter 16-12: Exemption from Audit Requirement for Pool's 2015 Annual Report
2015-12-24Records of Commodity Interest and Related Cash or Forward Transactions
2015-12-23System Safeguards Testing Requirements for Derivatives Clearing Organizations
2015-12-23System Safeguards Testing Requirements
2015-12-23Extension of Time-Limited No-Action Relief for Southwest Power Pool and Participants
2015-12-22CFTC Staff Letter 15-68: No-Action Relief for SEFs from Post-Trade Allocation Audit Trail Requirements
2015-12-21CFTC Staff Letter 15-67: AQATP Standard for SEF Cleared Swaps
2015-12-17Regulation Automated Trading
2015-12-17CFTC Staff Advisory No. 15-66: Reporting Obligations for Swap Dealers and Major Swap Participants
2015-12-08Extension of No-Action Relief for Recordkeeping Requirements under Regulation 1.35(a)
2015-11-25CFTC Staff Letter 15-71 (Exemption): Exemptive Relief to Gavea from 4.22 to Use IFRS
2015-11-20CFTC Staff Letter 15-64: No-Action Relief for Wells Fargo London Branch Swap Transactions
2015-11-17CFTC Staff Letter 15-62: Extension of No-Action Relief for Inter-Affiliate Swaps
2015-11-17CFTC Staff Letter 15-63: Extension of No-Action Relief for Inter-Affiliate Swap Clearing Conditions
2015-11-09CFTC Staff Letter 15-61: Extension of Time-Limited No-Action Relief from SDR Reporting Rules for Non-U.S. Swap Dealers and Major Swap Participants
2015-11-02CFTC Staff Letter 15-60: Extension of No-Action Relief for SEF Block Trade Execution
2015-10-15CFTC Staff Letter 15-56: Extension of Conditional No-Action Relief for Yieldbroker Pty Limited
2015-10-14CFTC Staff Letter 15-55: Extension of No-Action Relief for Certain Package Transactions
2015-10-09CFTC Staff Letter 15-58: Exemptive Relief for Entity A Regarding Quarterly Account Statements for Additional Pools
2015-10-09CFTC Staff Letter 15-59: Exemption from Audit Requirement for Commodity Pool Operator A Regarding Pool B
2015-10-08CFTC Staff Letter 15-57: Exemption from Annual Report Accounting Standards
2015-10-02Repeal of the Exempt Commercial Market and Exempt Board of Trade Exemptions
2015-09-30CFTC Staff Letter 15-54: Extension of No-Action Relief for Eurex Clearing and U.S. Clearing Members
2015-09-29Commodity Futures Trading Commission: Aggregation of Positions
2015-09-29CFTC Staff Letter 15-53: Extension of No-Action Relief for Southwest Power Pool
2015-09-28CFTC Staff Letter 15-52: Conditional Time-Limited No-Action Relief from Certain Ownership and Control Data Reporting Requirements
2015-09-22Proposal To Amend the Definition of Material Terms for Purposes of Swap Portfolio Reconciliation
2015-09-18CFTC Staff Letter 15-51: DCO Use of Firm or Forced Trades Process
2015-09-18CFTC Staff Letter 15-50: Interpretation of Part 39 Consistency with PFMIs
2015-09-14Membership in a Registered Futures Association
2015-09-08CFTC Staff Letter 15-49: Issuance of a temporary registration order as a swap execution facility to LedgerX LLC
2015-08-31Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps
2015-08-13Extension of No-Action Relief: Transaction-Level Requirements for Non-U.S. Swap Dealers
2015-07-21CFTC Staff Letter 15-47: Exemption from Form CTA-PR for Certain Registered Commodity Trading Advisors
2015-07-14Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants-Cross-Border Application of the Margin Requirements
2015-06-12CFTC Staff Letter 15-38: Further Extension of No-Action Relief for SD and MSP Valuation Data Reporting
2015-06-10Proceedings Before the Commodity Futures Trading Commission; Rules Relating to Suspension or Disbarment From Appearance and Practice
2015-06-04No-Action Relief from Introducing Broker and Commodity Trading Advisor Registration for Persons Located Outside the United States in Connection with Certain Activities for Customers That Are International Financial Institutions
2015-06-02Commodity Futures Trading Commission Extension of Comment Period for Trade Options Proposed Rulemaking
2015-05-15CFTC Staff Letter 15-29: Conditional No-Action Relief for Swaps Trading on Australian Licensed Markets Overseen by ASIC
2015-05-15CFTC Staff Letter 15-30: Extension of No-Action Relief for Yieldbroker Pty Limited
2015-05-08CFTC Staff Letter 15-72: Exemptive Relief to Finisterre from 4.22 to Use IFRS
2015-05-08CFTC Staff Letter 15-46: No-Action Relief for CPO Registration of UCITS with U.S. Employee Seed Capital
2015-05-07Commodity Futures Trading Commission Proposed Rule on Trade Options
2015-05-06CFTC Staff Letter 15-44: Exemptive Relief for Monthly Account Statements
2015-05-04CFTC Staff Letter 15-27: Interpretation of Section 2(h)(7)(C)(iii) of the Commodity Exchange Act
2015-04-27CFTC Staff Letter 15-45: Exemption from Annual Report Requirement for Two Commodity Pools
2015-04-23CFTC Staff Letter 15-26: Guidance on Calculating Projected Operating Costs for Swap Execution Facilities
2015-04-22CFTC No-Action Relief for Correcting Operational or Clerical Errors in Swaps
2015-04-22CFTC Staff Letter 15-25: Extension of No-Action Relief for SEF Confirmation and Recordkeeping Requirements
2015-04-15CFTC Staff Letter 15-43: Exemption from Audit Requirements for Pool Annual Report
2015-04-15CFTC Staff Letter 15-42: Exemption from Audit Requirements for Pool Financial Statements
2015-04-15CFTC Staff Letter 15-28 (Exemption): Relief from Annual Report Certification for Proprietary Commodity Pool
2015-04-06CFTC Staff Letter 15-41: Exemption from Audit Requirements for CPO of Pool
2015-03-31CFTC Staff Letter 15-21: No-Action Relief for Swap Dealers Entering Swaps with Legacy Special Purpose Vehicles
2015-03-31CFTC Staff Letter 15-22: No-Action Position on CPO and CTA Registration for Canadian Company Using US Subsidiaries
2015-03-30CFTC Staff Letter 15-70: Exemptive Relief to ABD from 4.22 to Use IFRS
2015-03-27CFTC Staff Letter 15-15: No-Action Relief for CCO Annual Report Timing
2015-03-27CFTC Staff Letter 15-23: Exemption for 13-Month Annual Report for Commodity Pool
2015-03-26CFTC Staff Letter 15-40: Exemption from Audit Requirements for Pool Financial Statements
2015-03-25Position Limits for Derivatives and Aggregation of Positions; Correction
2015-03-25Commodity Futures Trading Commission Order Exempting Certain Hong Kong Firms From Foreign Futures and Options Regulations
2015-03-24Residual Interest Deadline for Futures Commission Merchants
2015-03-23CFTC Staff Advisory No. 15-14: Ownership and Control Reporting Obligations
2015-03-18CFTC Staff Letter 15-20: Exemption from Annual Report Requirement for Commodity Pool
2015-03-18CFTC Staff Letter 15-19: Exemption from Annual Report Requirement for Commodity Pool
2015-03-17CFTC Staff Letter 15-39: Exemption from Audit Requirements for Master-Feeder Pools
2015-03-10Initial Response to District Court Remand Order in Securities Industry and Financial Markets Association, et al. v. United States Commodity Futures Trading Commission
2015-03-09CFTC Staff Letter 15-17: Exemption from Certified Annual Report for Commodity Pool
2015-03-09CFTC Staff Letter 15-35: Exemption from Audit Requirements for Pool Annual Report
2015-03-09CFTC Staff Letter 15-34: Exemption from Audit Requirements for CPO of Pool