Commodity Futures Trading Commission

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2015-03-09CFTC Staff Letter 15-34: Exemption from Audit Requirements for CPO of Pool
2015-03-09CFTC Staff Letter 15-18 (Exemption): Relief from Audit Requirement for Commodity Pool Annual Report
2015-03-09CFTC Staff Letter 15-36 (Exemption): Relief for Additional Proprietary Funds of A and B
2015-02-27CFTC Staff Letter 15-05: Extension of No-Action Relief for Southwest Power Pool
2015-02-25Position Limits for Derivatives and Aggregation of Positions
2015-02-19CFTC Staff Letter 15-33: Extension of Exemptive Relief to Successor CPO
2015-02-18CFTC Staff Letter 15-32: Exemption from Audit Requirements for Certain Segregated Series
2015-02-18CFTC Staff Letter 15-31: Exemption from Audit Requirements for CPO of Segregated Portfolio
2015-02-12CFTC Staff Letter 15-04: Extension of conditional time-limited no-action relief for Yieldbroker Pty Limited
2015-02-10CFTC Staff Letter 15-03: Conditional Time-Limited No-Action Relief from Certain Ownership and Control Data Reporting Requirements
2015-02-03CFTC Staff Letter 15-12: Exemption from Audited Financial Statements for Proprietary Commodity Pool
2015-02-03CFTC Staff Letter 15-10: Exemption from Annual Report Requirement for Pools Operating Under Regulation 4.7
2015-02-03CFTC Staff Letter 15-13: Exemption from Annual Report Requirement for Commodity Pool Operators
2015-02-03CFTC Staff Letter 15-11: Exemption from Regulation 4.7(b)(3) Annual Report Requirement for CPO of Commodity Pool
2015-01-30CFTC Staff Letter 15-07: Exemption from Audit Requirement for Commodity Pool Financial Statements
2015-01-30CFTC Staff Letter 15-06: Exemption from Audit Requirement for Commodity Pool Financial Statements
2015-01-28CFTC Staff Letter 15-09: Exemption from Annual Report Requirement for Three Commodity Pools
2015-01-28CFTC Staff Letter 15-08: Exemption from Audit Requirement for Commodity Pool Annual Report
2015-01-23CFTC Staff Letter 15-02: No-Action Relief for Introducing Brokers’ Compliance with Financial Reporting and Capital Requirements
2015-01-08CFTC Staff Letter 15-01: Time-Limited Extension of No-Action Relief for Reporting Identifying Information Under Parts 20, 45 and 46
2015-01-05Position Limits for Derivatives and Aggregation of Positions
2014-12-29CFTC Staff Letter 14-157: Extension of Time-Limited No-Action Position for FCMs Regarding Depository Acknowledgement Letters
2014-12-23CFTC Staff Letter 14-156: Extension of No-Action Relief for Eurex Clearing
2014-12-22Semiannual Regulatory Agenda
2014-12-22Commodity Futures Trading Commission Regulatory Flexibility Agenda
2014-12-22CFTC Staff Letter 14-155: Extension of No-Action Relief for JSCC DCO Registration and Clearing
2014-12-22CFTC Staff Letter 14-154: Extension of Time to Furnish 2014 Annual Reports
2014-12-22CFTC Staff Advisory 14-153: Guidance on Chief Compliance Officer Annual Reports under Regulation 3.3(e)
2014-12-18Extension of No-Action Relief for Korea Exchange Regarding Section 5b(a) of the Commodity Exchange Act
2014-12-18CFTC Staff Letter 14-149: Extension of No-Action Relief for Clearing Corporation of India Ltd.
2014-12-18CFTC Staff Letter 14-160: No-Action Relief from Reporting Requirements for Commodity Pools B and C
2014-12-18CFTC Staff Letter 14-151: Extension of No-Action Relief for OTC Clearing Hong Kong Limited Regarding Section 5b(a) CEA
2014-12-18CFTC Staff Letter 14-148: Extension of No-Action Relief for ASX Clear (Futures) Pty Limited Regarding Section 5b(a) of the Commodity Exchange Act
2014-12-18CFTC Staff Letter 14-152: No-Action Relief for Operators of Insurance-Linked Securities Issuers
2014-12-17CFTC Staff Letter 14-159: No-Action Relief from CPO Registration for Operator of Pool B
2014-12-16CFTC No-Action Relief from Recordkeeping Requirements under Regulation 1.35(a)
2014-12-04Position Limits for Derivatives and Aggregation of Positions
2014-11-26CFTC Staff Letter 14-144: No-Action Relief for Treasury Affiliates Entering Swaps on Behalf of Non-Financial Affiliates
2014-11-25CFTC Staff Letter 14-158: Conditional No-Action Relief for Provisionally Registered Swap Dealer CCO Reporting
2014-11-24Extension of Time-Limited No-Action Relief from Part 45 and Part 46 Requirements for Non-U.S. SDs and MSPs
2014-11-20Forward Contracts With Embedded Volumetric Optionality
2014-11-14Records of Commodity Interest and Related Cash or Forward Transactions
2014-11-14CFTC Staff Letter 14-140: Extension of No-Action Relief for Non-U.S. Swap Dealers
2014-11-14Residual Interest Deadline for Futures Commission Merchants
2014-11-13CFTC Staff Letter 14-138: No-action relief and interpretation of Regulation 30.7 regarding customer funds held outside the U.S.
2014-11-13CFTC Staff Letter 14-139: Extension of No-Action Relief for Yieldbroker Pty Limited
2014-11-12CFTC Staff Letter 14-145: Exemption from Financial Statement and Disclosure Requirements for Insurance-Linked Securitization Vehicle
2014-11-10CFTC Staff Letter 14-137 (No-Action): Extension of No-Action Relief for Swaps Executed as Part of Certain Package Transactions
2014-11-07CFTC Staff Letter 14-136: Extension of No-Action Relief from Trade Execution Requirement for Inter-Affiliate Swaps
2014-11-07CFTC Staff Letter 14-135: Extension of No-Action Relief for Inter-Affiliate Swap Clearing Conditions
2014-11-06CFTC Staff Letter 14-142: Exemption for Monthly Account Statements within 45 Days
2014-11-06CFTC Staff Letter 14-134: Time-limited no-action relief for Southwest Airlines long-dated crude oil swap reporting
2014-11-06CFTC Staff Letter 14-146: No-Action Relief for Directed Trustees Acting as Commodity Pool Operators
2014-11-05CFTC Staff Letter 14-143: No-Action Relief from CTA Registration for Family Offices
2014-10-31CFTC Staff Letter 14-132: Interpretation of Notification and Reporting Obligations for Initial Margin in Uncleared Swaps
2014-10-31CFTC Staff Letter 14-133: No-Action Position on Regulation 1.57(a)(1) for Guaranteed Introducing Brokers
2014-10-30CFTC Staff Letter 14-131: Extension of No-Action Relief for FCMs Receiving Customer Funds
2014-10-29CFTC Staff Letter 14-130: No-action relief for Victoria University of Wellington to operate a not-for-profit event contract market
2014-10-23CFTC Staff Letter 14-129: Regulatory Accounting for Customer Margin Payments Using ACH Systems
2014-10-23Proceedings Before the Commodity Futures Trading Commission; Rules Relating to Suspension or Disbarment From Appearance and Practice
2014-10-16CFTC Staff Letter 14-127: Extension of No-Action Position for FCMs Regarding Depository Acknowledgement Letters
2014-10-15CFTC Staff Letter 14-126: Self-Executing Registration No-Action Relief for Delegating CPOs
2014-10-08CFTC No-Action Letter 14-122: SGX-DC Relief from Swap Data Reporting Requirements
2014-10-08CFTC Staff Letter 14-123: No-Action Relief and Exemption for ICE Clear Europe Limited Regarding Bank of England Customer Accounts
2014-10-08CFTC No-Action Relief and Exemption for LCH.Clearnet Limited Regarding Bank of England Customer Accounts
2014-10-03Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
2014-09-30CFTC Staff Letter 14-120: Extension of No-Action Relief for Regulation 30.7(c) Compliance
2014-09-30CFTC Staff Letter 14-121: Extension of No-Action Relief for SEFs and DCMs from Certain Regulations for Package Transactions
2014-09-29Extension of No-Action Relief for DCOs and Clearing Members Regarding CDS Settlement Price Process
2014-09-26Exclusion of Utility Operations-Related Swaps With Utility Special Entities From De Minimis Threshold for Swaps With Special Entities
2014-09-25CFTC Staff Letter 14-128 (Exemption): Exemption from requirement that a pool’s financial statement be audited by independent public accountants
2014-09-19CFTC Staff Letter 14-118: No-Action Relief for SEFs from Block Trade 'Occurs Away' Requirement
2014-09-15CFTC Staff Letter 14-125: Exemption for Additional Proprietary Funds
2014-09-15CFTC Staff Letter 14-117: Conditional No-Action Relief for Swaps Trading on Australian Licensed Markets
2014-09-09CFTC Staff Letter 14-116: Exemptive Relief from Marketing Restrictions for CPOs
2014-09-08CFTC Staff Letter 14-113: Interpretation of Commodity Pool Definition for General Account Entities
2014-09-08CFTC Staff Letter 14-115: Exemption from Form CPO-PQR Reporting for Certain Registered CPOs
2014-09-08CFTC Staff Letter 14-112: No-Action Relief for Consolidated Reporting by Parent Pools and Trading Subsidiaries
2014-09-08CFTC Staff Letter 14-114: Exemption for Commodity Pool Operators to Use Additional Third-Party Recordkeepers
2014-08-28CFTC Staff Letter 14-110: Interpretation of Regulation 30.7 Regarding UK Banking Investment Firms
2014-08-25CFTC Staff Letter 14-111: No-Action Relief from CPO Registration for Fannie Mae and Freddie Mac
2014-08-22CFTC Staff Letter 14-109: Extension of No-Action Relief for Southwest Power Pool
2014-08-18CFTC Staff Letter 14-106: No-action relief for CME regarding Regulations 1.20(d) and 22.5(a)
2014-08-18CFTC Staff Letter 14-108: No-Action Relief for SEF Confirmations Incorporating Freestanding Agreements
2014-08-18CFTC Staff Letter 14-107: No-Action Relief for Clearing Corporation of India Ltd. Regarding Section 5b(a)
2014-08-11CFTC Staff Letter 14-105: Extension of No-Action Relief for Yieldbroker Pty Limited Until November 15, 2014
2014-07-30Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction
2014-07-25CFTC Staff Letter 14-96: No-Action Relief for VPP Vehicles from CPO and CTA Registration
2014-07-23Conditional Time-Limited No-Action Relief from Certain Ownership and Control Data Reporting Requirements Under Parts 17, 18 and 20
2014-07-15Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants; Correction
2014-07-10CFTC Staff Letter 14-94: Time-limited no-action relief for LCH.Clearnet Limited regarding Regulations 1.20(g)(4) and 22.5
2014-07-10CFTC Staff Letter 14-93: Time-limited no-action relief for ICE Clear Europe Limited regarding Regulation 1.20(g)(4)
2014-07-10CFTC Staff Letter 14-91: Time-Limited No-Action for FCMs Regarding Depository Acknowledgement Letters
2014-07-08CFTC Staff Letter 14-92: Time-limited no-action relief for CME regarding Regulations 1.20(d) and 22.5(a)
2014-07-03Position Limits for Derivatives and Aggregation of Positions
2014-06-30CFTC Staff Letter 14-90: Further Extension of No-Action Relief for SD and MSP Valuation Data Reporting
2014-06-27CFTC Staff Letter 14-103: Exemption for Combined Annual Report for Pools
2014-06-27CFTC Staff Letter 14-102 (Exemption): Exemption from requirement that a pool’s financial statement be audited by independent public accountants
2014-06-27CFTC Staff Letter 14-89: Extension of No-Action Relief for Reporting Identifying Information Under Parts 20, 45 and 46
2014-06-26CFTC Staff Letter 14-87: No-Action Relief for Korea Exchange Regarding Section 5b(a)
2014-06-25CFTC Staff Letter 14-86 (No-Action): Extension of No-Action Relief for LCH.Clearnet Ltd Clearing Nodal Exchange Contracts
2014-06-25CFTC Staff Letter 14-85: Extension of No-Action Relief for LCH.Clearnet Ltd Clearing DCM/SEF Swaps
2014-06-25CFTC Staff Letter 14-88: Extension of No-Action Relief for FCMs Receiving Customer Funds
2014-06-20CFTC No-Action Relief from CPO Registration for Family Investment Funds and Operating Entity
2014-06-04CFTC Staff Letter 14-74: Extension of No-Action Relief for Non-U.S. Swap Dealers
2014-06-02Exclusion of Utility Operations-Related Swaps With Utility Special Entities From De Minimis Threshold for Swaps With Special Entities
2014-06-02Form of Reply for CFTC Letters 14-75 through 14-84: No-Action on CPO Registration Relief
2014-06-02CFTC Staff Letter 14-101: Exemption from Audit Requirement for Commodity Pool
2014-05-30Time-limited no-action relief from quarterly risk reporting for Canadian banks
2014-05-29Position Limits for Derivatives and Aggregation of Positions
2014-05-22CFTC Staff Letter 14-72: Time-Limited No-Action Relief for DCM and SEF Members from Recording Written Communications
2014-05-16CFTC Staff Letter 14-71: No-Action Relief from CPO Registration for Delegating CPOs
2014-05-14CFTC Staff Letter 14-70: Extension of No-Action Relief for Yieldbroker Pty Limited
2014-05-13CFTC Staff Letter 14-100: Exemption for Single 14-Month Annual Report for Pool Liquidation
2014-05-12Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction
2014-05-12CFTC Staff Letter 14-69: Streamlined Approach for CPO Registration No-Action Relief on Delegation
2014-05-07CFTC Staff Letter 14-68: No-Action Relief for OTC Clearing Hong Kong Limited
2014-05-02CFTC Staff Letter 14-97: Exemption from Independent Audit Requirement for Pool Financial Statements
2014-05-02CFTC Staff Letter 14-98 (Exemption): Exemption from requirement that a pool’s financial statement be audited by independent public accountants
2014-05-02CFTC Staff Letter 14-99: Exemption from Independent Audit Requirement for Pool Financial Statements
2014-05-01CFTC Staff Letter 14-62: No-Action Relief for Package Transactions Including Swaps Subject to Trade Execution Requirements
2014-04-25CFTC Staff Letter 14-60: Time-Limited No-Action Relief for SEF and DCM Members from Recording Oral Communications
2014-04-24CFTC Staff Letter 14-55: No-Action Relief for NYPC Regarding Acknowledgment Letters and Daily Reports During Winding Down
2014-04-18Time-Limited No-Action Relief for Designated Contract Markets from Compliance with Regulation 38.152
2014-04-11CFTC Staff Letter 14-57: No-Action Position on CTA Registration for Cash Collateralized Loan Obligation Investment Managers
2014-04-09CFTC Staff Letter 14-46: Conditional No-Action Relief for Swaps Trading on EU-Overseen Multilateral Trading Facilities
2014-04-08CFTC Staff Letter 14-67: No-Action Relief for Interposed Longevity Reinsurance Transactions
2014-04-07CFTC Staff Letter 14-45 (No-Action): Extension of previously issued no-action
2014-04-01CFTC Staff Letter 14-59: Exemption from Audited Annual Report Requirements for Commodity Pool
2014-04-01CFTC Staff Letter 14-52: Exemption from Annual Report Requirements for Commodity Pool Operators
2014-03-31CFTC Staff Letter 14-58: Exemption from Audited Annual Report Requirements for Commodity Pool
2014-03-31CFTC Staff Letter 14-61: Exemption from Annual Report Certification for Commodity Pool Operator
2014-03-31CFTC Staff Letter 14-49: Exemption for Unaudited Financial Statements in Proprietary Funds
2014-03-28CFTC Staff Letter 14-56 (Exemption): Relief from Annual Report Filing Requirements for Commodity Pool Operators
2014-03-28CFTC Staff Letter 14-41 (No-Action): Extension of No-Action Relief for SGX-DC Clearing Members
2014-03-28CFTC Staff Letter 14-40: Interpretation of Auditor Independence Requirements under Regulation 1.16
2014-03-28CFTC Staff Letter 14-48: Exemption for Commodity Pool Operator Annual Report Filing
2014-03-27CFTC Staff Letter 14-47: Exemption for 15-Month Combined Annual Report for Commodity Pools
2014-03-27CFTC Staff Letter 14-53: Exemption from Audited Financial Statement Requirements for Commodity Pool Operator A
2014-03-27CFTC Staff Letter 14-38: Extension of No-Action Relief for LCH.Clearnet Ltd to Clear DCM/SEF Swaps
2014-03-27CFTC Staff Letter 14-54: Exemption from Audited Financial Statement Requirement for Commodity Pool
2014-03-27CFTC Staff Letter 14-51: Exemption from Annual Report Filing for Commodity Pool Operator
2014-03-27CFTC Staff Letter 14-39: Extension of No-Action Relief for LCH.Clearnet Ltd Clearing Nodal Exchange Contracts
2014-03-26CFTC Staff Letter 14-44: Exemption from Annual Report Certification for Proprietary Commodity Pool
2014-03-26Swap Data Repositories: Access to SDR Data by Market Participants
2014-03-26Review of Swap Data Recordkeeping and Reporting Requirements
2014-03-25CFTC Staff Letter 14-63: Exemption from Independent Audit Requirement for Commodity Pool Operator
2014-03-25CFTC Staff Letter 14-65 (Exemption): Exemptive Relief for Commodity Pool Operator A
2014-03-21CFTC Staff Letter 14-31: Extension of Time-Limited No-Action Relief for Swaps Trading on EU Overseen MTFs
2014-03-21CFTC Staff Letter 14-33: Time-Limited No-Action Relief for trueEX DCM Members from Oral Communication Recording Requirements
2014-03-21CFTC Staff Letter 14-32: No-Action Relief for Mitsui & Co. Precious Metals Inc. Chief Compliance Officer Annual Report
2014-03-21Staff No-Action Relief: Revised Relief from the De Minimis Threshold for Certain Swaps with Utility Special Entities
2014-03-18CFTC Staff Letter 14-29: Confirmation of No-Action Relief for University Trading Clubs
2014-03-18CFTC Staff Letter 14-37 (Exemption): Relief from Annual Report Requirements for Commodity Pool Operator
2014-03-13Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction
2014-03-12CFTC Staff Letter 14-66: Exemption from Audit Requirement for Commodity Pools
2014-03-10CFTC Staff Letter 14-30: Exemption for Combined Annual Report
2014-03-10CFTC Staff Letter 14-42: Exemption from Audited Annual Report Requirements for Commodity Pool Operator
2014-03-10CFTC Staff Letter 14-43: Exemption from Audited Annual Report Requirements for Commodity Pool Operator
2014-03-10CFTC Staff Letter 14-27: Extension of No-Action Relief to Eurex Clearing for Sections 5b(a) and 2(h)(1)(A)
2014-03-06CFTC Staff Letter 14-25: No-Action Relief Extending Time-Limit for Outward-Facing Swaps Condition
2014-03-06CFTC Staff Letter 14-26: Time-Limited No-Action Relief from Trade Execution Requirements for Eligible Affiliate Counterparties
2014-02-28CFTC Staff Letter 14-28: No-Action Position on CPO Registration for Collective Trading Vehicles
2014-02-27CFTC Staff Letter 14-24 (Exemption): Relief for CPO to Combine 2013 and 2014 Annual Reports
2014-02-26CFTC Staff Letter 14-21: Best practices for complying with GLB Security Safegards
2014-02-25CFTC Advisory No. 14-20: Scope of Covered Transactions for RTO and ISO Markets
2014-02-25CFTC Staff Letter 14-64: Exemption from Annual Report Distribution and Audit Requirements for Commodity Pools
2014-02-24CFTC Staff Letter 14-22: Exemption from Regulation 4.7(b)(3) Annual Report Requirement for Commodity Pool
2014-02-21CFTC Staff Letter 14-35: Exemption for Delaware Statutory Trust Series Disclosure Documents
2014-02-21CFTC Staff Letter 14-36: Exemption for Separate Disclosure Documents for Series of a Delaware Statutory Trust
2014-02-21CFTC Staff Letter 14-23 (Exemption): Relief from Audit Requirement for Commodity Pool Annual Report
2014-02-20CFTC Staff Letter 14-18: No-Action Relief for Southwest Power Pool and Participants
2014-02-19CFTC Staff Letter 14-19: Exemption from Audit Requirement for Commodity Pool Annual Report
2014-02-18CFTC Staff Letter 14-17: Guidance on Part 45 Reporting for Novated Swaps by ASXCLF
2014-02-12Time-Limited No-Action Relief for Swaps Trading on EU Multilateral Trading Facilities
2014-02-12CFTC Staff Letter 14-16: Conditional No-Action Relief for Swaps Trading on Qualifying Multilateral Trading Facilities Overseen by EU Member States
2014-02-10CFTC Staff Letter 14-12: No-Action Relief for Package Transactions
2014-02-07CFTC Staff Letter 14-14 (Exemption): Relief from Audited Financial Statement Requirements for Commodity Pool Operator A
2014-02-07CFTC Staff Letter 14-13: Exemption from Annual Report Requirement for Commodity Pool Operators
2014-02-06CFTC Staff Letter 14-07: No-Action Relief for ASX Clear (Futures) Pty Limited Regarding DCO Registration
2014-01-31Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds
2014-01-31CFTC Staff Letter 14-11: Exemption from Audited Financial Statement Requirements for Commodity Pool Operators
2014-01-31CFTC Staff Letter 14-09: Exemption from Audit Requirement for Commodity Pool Operator A
2014-01-31CFTC Staff Letter 14-10: Exemption from US GAAP for Offshore Commodity Pool Financial Statements
2014-01-31Treatment of Certain Collateralized Debt Obligations Backed Primarily by Trust Preferred Securities With Regard to Prohibitions and Restrictions on Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
2014-01-24Concept Release on Risk Controls and System Safeguards for Automated Trading Environments
2014-01-23CFTC Staff Letter 14-06: Exemption from Annual Report Requirement for Commodity Pools
2014-01-22Aggregation of Positions Correction
2014-01-16CFTC Staff Letter 14-05: Interpretation of Part 39 Regulations for North American Derivatives Exchange Inc
2014-01-16CFTC Staff Letter 14-04: Exemption for North American Derivatives Exchange, Inc. from Part 39 Regulations
2014-01-14Updates to Cross-References to Bank Secrecy Act Regulations
2014-01-14Commodity Futures Trading Commission: Extension of Comment Period for Aggregation of Provisions
2014-01-10CFTC Staff Letter 14-03: No-Action Relief for Holding Customer Funds Outside the U.S. Under Regulation 30.7
2014-01-10CFTC Staff Letter 14-08: No-Action Relief for FCM Holding Foreign Futures Secured Amounts Outside the US
2014-01-10CFTC Staff Letter 14-02: No-Action Relief for FCMs Regarding Customer Fund Receipt Conditions
2014-01-08Request for Comment on Application of Commission Regulations to Swaps Between Non-U.S. Swap Dealers and Non-U.S. Counterparties Involving Personnel or Agents of the Non-U.S. Swap Dealers Located in the United States
2014-01-03Extension of No-Action Relief: Transaction-Level Requirements for Non-U.S. Swap Dealers
2013-12-31CFTC Staff Letter 13-86: No-Action Relief for DCOs and Clearing Members Regarding CDS Settlement Price Process Trades
2013-12-31CFTC Staff Letter 13-87: No-Action Relief for CME Clearing Regarding Regulation 39.33(c)
2013-12-30Time-Limited No-Action Relief for Certain Swap Dealers from Compliance with Regulation 3.3 Annual Report Requirements