Commodity Futures Trading Commission

2,362 documents, newest first — showing 1,001–1,200.

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• 2013-12-30Time-Limited No-Action Relief for Certain Swap Dealers from Compliance with Regulation 3.3 Annual Report Requirements
• 2013-12-23Staff Advisory Concerning Commodity Trading Advisors and Swaps
• 2013-12-23CFTC Staff Letter 13-82: No-Action Relief for Introducing Brokers from Financial Reporting and Capital Computation Requirements
• 2013-12-23CFTC Staff Letter 13-80: No-Action Relief from Certain Conditions of the Swap Dealer Exclusion for Registered Floor Traders
• 2013-12-23CFTC No-Action Relief for SEF Basis Risk Mitigation Services Execution Methods
• 2013-12-20CFTC Staff Letter 13-83: No-Action Relief for Swap Dealers Pending De-Registration
• 2013-12-20Time-Limited No-Action Relief from Internal Business Conduct Requirements for Non-U.S. SDs and MSPs
• 2013-12-20CFTC Staff Letter 13-76: Conditional Time-Limited No-Action Relief for Yieldbroker Pty Ltd
• 2013-12-20Time-Limited No-Action Relief for SEF Members from Oral Communication Recording Requirements
• 2013-12-20CFTC Staff Letter 13-74: Extension of No-Action Relief for SGX-DC Clearing Members
• 2013-12-20CFTC Staff Letter 13-75: Time-Limited No-Action Relief from Part 45 and Part 46 for Non-U.S. SDs and MSPs in Australia, Canada, EU, Japan, or Switzerland
• 2013-12-19CFTC Staff Letter 13-73: Extension of No-Action Relief to Japan Securities Clearing Corporation and Qualifying Participants
• 2013-12-19Position Limits for Derivatives Correction
• 2013-12-18CFTC Staff Letter 13-72: No-action relief for oral recording requirements at certain branch offices of CHS Hedging, Inc. and MID-CO Commodities, Inc.
• 2013-12-12Position Limits for Derivatives
• 2013-12-02Derivatives Clearing Organizations and International Standards
• 2013-11-26CFTC Staff Letter 13-71: Time-limited no-action relief for Non-U.S. SDs regarding Transaction-Level Requirements until January 14, 2014
• 2013-11-18Ownership and Control Reports, Forms 102/102S, 40/40S, and 71
• 2013-11-15Commodity Futures Trading Commission: Aggregation of Positions
• 2013-11-15CFTC Staff Letter 13-70: No-Action Relief for Swaps Intended to be Cleared
• 2013-11-14Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations
• 2013-11-14CFTC Staff Advisory 13-69: Applicability of Transaction-Level Requirements to Activity in the United States
• 2013-11-13Correction to Membership in a Registered Futures Association Proposed Rule
• 2013-11-08Membership in a Registered Futures Association
• 2013-11-06Protection of Collateral of Counterparties to Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy
• 2013-11-01CFTC Staff Letter 13-68: Extension of Time-Limited No-Action Relief for Swap Execution Facilities in the Foreign Exchange Asset Class
• 2013-10-30CFTC Staff Letter 13-67 (No-Action): Extension of Relief for Yieldbroker Pty Limited
• 2013-10-28Swap Dealers and Major Swap Participants; Clerical or Ministerial Employees
• 2013-10-25Time-Limited No-Action Relief for Swap Execution Facilities from Compliance with Certain Requirements of Commission Regulation 37.9(a)(2) and 37.203(a)
• 2013-10-17Time-Limited No-Action Relief for GTX SEF LLC from SEF Registration Requirements
• 2013-10-17CFTC Staff Letter 13-63: Time-Limited No-Action Relief for LatAm SEF, LLC from SEF Registration Requirements
• 2013-10-17CFTC Staff Letter 13-64: No-Action Relief for Non-U.S. Persons Excluding Certain Swaps from De Minimis Calculations
• 2013-09-30Time-Limited No-Action Relief for Temporarily Registered Swap Execution Facilities from Certain Swap Data Reporting Requirements
• 2013-09-30Time-Limited No-Action Relief to Temporarily Registered Swap Execution Facilities from Regulation 37.6(b) for Non-Cleared Swaps
• 2013-09-30CFTC Staff Letter 13-61: Time-Limited No-Action Relief for Floor Trader Swap Dealer De Minimis Exception
• 2013-09-30CFTC Staff Letter 13-62: Time-Limited No-Action Relief for FCMs and SEFs
• 2013-09-30Time-Limited No-Action Relief for Swap Execution Facilities and Designated Contract Markets from the One Business Day Product Review Period Requirement
• 2013-09-30CFTC Staff Letter 13-59: Time-Limited No-Action Relief for Yieldbroker Pty Limited
• 2013-09-27CFTC Staff Letter 13-53: No-Action Relief for LCH.Clearnet Ltd Clearing Nodal Exchange Futures and Options
• 2013-09-27CFTC Staff Letter 13-54: No-Action Relief for Nodal Exchange LLC Regarding Regulation 40.2(a)(2) Listing Requirements
• 2013-09-27Time Limited No-Action Relief for Reporting Counterparties from Certain Continuation Data Reporting Requirements of Section 45.4 with respect to Uncleared Swaps Executed on or Pursuant to the Rules of a Temporarily Registered Swap Execution Facility
• 2013-09-27Time-Limited No-Action Relief for Temporarily Registered Swap Execution Facilities from Enforcement Responsibilities Under Commission Regulations 37.200(a), 37.200(b), 37.201(b)(1), 37.201(b)(3), 37.201(b)(5), 37.202(b) and 37.203
• 2013-09-23CFTC Staff Letter 13-52 (No-Action): Relief for LCH.Clearnet Ltd to Clear DCM/SEF Swaps
• 2013-09-12Concept Release on Risk Controls and System Safeguards for Automated Trading Environments
• 2013-09-05CFTC No-Action Relief for Consolidated Reporting by CPOs of Registered Funds with Controlled Foreign Corporations
• 2013-08-23Commodity Futures Trading Commission Clarification of Interpretation Regarding Actual Delivery Under the Commodity Exchange Act
• 2013-08-23CFTC Staff Letter 13-50: No-Action Relief for SDs and MSPs Regarding Regulation 23.502 Compliance Prior to September 15, 2013
• 2013-08-22Harmonization of Compliance Obligations for Registered Investment Companies Required To Register as Commodity Pool Operators
• 2013-08-22Clearing Exemption for Certain Swaps Entered Into by Cooperatives
• 2013-08-16Derivatives Clearing Organizations and International Standards
• 2013-08-15Enhanced Risk Management Standards for Systemically Important Derivatives Clearing Organizations
• 2013-08-13CFTC Staff Letter 13-49: Time-Limited No-Action Relief from Clearing Requirement for Swaps Entered into by Cooperatives
• 2013-08-06CFTC Staff Letter 13-48: No-Action Relief from Aggregation Prohibition for Large Notional Off-Facility Swaps
• 2013-08-05Core Principles and Other Requirements for Swap Execution Facilities; Correction
• 2013-07-26Interpretive Guidance and Policy Statement Regarding Compliance With Certain Swap Regulations
• 2013-07-22Exemptive Order Regarding Compliance With Certain Swap Regulations
• 2013-07-19CFTC Staff Letter 13-47: Extension of Time-Limited No-Action Relief for Cooperatives
• 2013-07-16Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades; Correction
• 2013-07-11Amendment to Direct Access No-Action Letters for Foreign Boards of Trade to Permit Swaps
• 2013-07-11CFTC Staff Letter 13-43: No-Action Relief for LCH.Clearnet Regarding Sections 5b(a) and 2(h)(1)(A) of the Commodity Exchange Act
• 2013-07-11CFTC Staff Letter 13-44: No-Action Relief for Eurex Clearing AG Regarding Sections 5b(a) and 2(h)(1)(A) of the Commodity Exchange Act
• 2013-07-11No-Action Relief for Registered Swap Dealers and Major Swap Participants from Certain CFTC Risk Mitigation Rules for Covered Swaps Subject to EMIR
• 2013-07-08CFTC Staff Advisory 13-42: Obligation to File Form 204 Reports
• 2013-06-28CFTC Staff Letter 13-41: Time-Limited No-Action Relief for Masking Identifiers in Parts 45, 46, and 20 Reporting
• 2013-06-27CFTC Staff Letter 13-38: Time-Limited No-Action Relief for SDs and MSPs Regarding FX Documentation
• 2013-06-27CFTC Staff Letter 13-33: No-Action Relief for Swaps Intended to be Cleared
• 2013-06-27CFTC Staff Letter 13-39: No-Action Relief for Swap Dealers in Foreign Exchange Intermediated Prime Brokerage
• 2013-06-27CFTC Staff Letter 13-36: Extension of No-Action Relief for SDs and MSPs from Part 45 Reporting for CDS Clearing-Related Swaps
• 2013-06-27CFTC Staff Letter 13-37: Time-Limited No-Action Relief for Floor Trader Swap Dealer De Minimis Exception
• 2013-06-27CFTC Staff Letter 13-35: Time-Limited No-Action Relief for Bespoke or Complex Swaps from Parts 43 and 45 Reporting
• 2013-06-27CFTC Staff Letter 13-40: No-Action Relief from Portfolio Reconciliation Requirements for Swap Dealers and Major Swap Participants
• 2013-06-26CFTC Staff Letter 13-32: Time-Limited No-Action Relief for Certain Swap Dealers from Regulation 3.3 Annual Report Requirements
• 2013-06-26CFTC Staff Letter 13-31: No-Action Relief for Omitting Excluded Data Fields from Portfolio Reconciliation
• 2013-06-26CFTC Staff Letter 13-34: Extension of No-Action Relief for Swap Dealers and Major Swap Participants from Valuation Data Reporting
• 2013-06-21Extension of Time-Limited No-Action Relief from the Clearing Requirement for Swaps Entered into by Cooperatives
• 2013-06-21CFTC Staff Letter 13-29: No-Action Relief for Non-U.S. Associated Persons Regarding Fingerprinting
• 2013-06-17CFTC Staff Letter 13-28: Extension of Regulatory Status Quo for Certain Swap Transactions
• 2013-06-10CFTC Staff Letter 13-25: No-Action Relief for Corporación Andina de Fomento from Swap Clearing Requirement
• 2013-06-10Time-Limited No-Action Relief for Small Banks from Board Approval Requirement of Section 2(j) of the CEA and End-User Exception
• 2013-06-07CFTC Staff Letter 13-23 (Advisories): Advisory Pertaining to the Effective Date of the Clearing Exemption for Swaps Between Certain Affiliated Entities
• 2013-06-07CFTC Staff Letter 13-24: Time-Limited No-Action Relief for Swaps Entered into by Cooperatives
• 2013-06-04Core Principles and Other Requirements for Swap Execution Facilities
• 2013-06-04Process for a Designated Contract Market or Swap Execution Facility To Make a Swap Available to Trade, Swap Transaction Compliance and Implementation Schedule, and Trade Execution Requirement Under the Commodity Exchange Act
• 2013-06-04No-Action Relief from the Required Clearing for Swaps Entered Into By Eligible Treasury Affiliates
• 2013-06-03Core Principles and Other Requirements for Designated Contract Markets; Correction
• 2013-05-31Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades
• 2013-05-31CFTC Staff Letter 13-21: Extension for Compliance with Rule 1.73(a)(2)(v)(B) - Screening of Bunched Orders
• 2013-05-22CFTC Staff Advisory 13-16: Obligation of Futures Commission Merchants, Clearing Members and Foreign Brokers to Report Omnibus Account Information in a Timely Manner as Required by Commission Regulation 17.04(a)
• 2013-05-08CFTC Staff Advisory No. 13-14: No-Action Relief for Email Transmission of Form 304 Reports for Call Cotton
• 2013-05-08CFTC Staff Advisory No. 13-15: Reporting Block Trade Volume Data Pursuant to Commission Regulation 16.01
• 2013-05-02CFTC Staff Letter 13-13: Time-Limited Relief for Swap Dealers and Major Swap Participants from Business Conduct Standards in Foreign Exchange Transactions
• 2013-05-01CFTC Staff Letter 13-12: No-Action Relief for Swap Dealers and Major Swap Participants Regarding Pre-Trade Mid-Market Mark Disclosures
• 2013-04-30CFTC Staff Letter 13-11: Time Limited Relief for Swap Dealers in Prime Brokerage Arrangements
• 2013-04-29CFTC Staff Letter 13-27: Interpretation of Regulation 1.73(a)(2)(iv)
• 2013-04-19Identity Theft Red Flags Rules
• 2013-04-16Reassignment of Commission Staff Responsibilities and Delegations of Authority
• 2013-04-11Clearing Exemption for Swaps Between Certain Affiliated Entities
• 2013-04-11Delegation of Authority To Disclose Confidential Information to a Contract Market, Registered Futures Association or Self-Regulatory Organization
• 2013-04-09Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants; Correction
• 2013-04-09Time-Limited No-Action Relief for Non-SD/MSP Swap Counterparties from Certain Swap Data Reporting Requirements
• 2013-04-09Adaptation of Regulations to Incorporate Swaps-Records of Transactions; Correction
• 2013-04-08Swap Dealers and Major Swap Participants; Clerical or Ministerial Employees
• 2013-04-08Dual and Multiple Associations of Persons Associated With Swap Dealers, Major Swap Participants and Other Commission Registrants
• 2013-04-05CFTC Staff Letter 13-08: No-Action Relief from Reporting and Recordkeeping Requirements for End Users Eligible for the Trade Option Exemption
• 2013-04-05CFTC Staff Letter 13-09: No-Action Relief for Swaps Between Affiliated Counterparties That Are Neither Swap Dealers Nor Major Swap Participants from Certain Swap Data Reporting Requirements Under Parts 45, 46, and Regulation 50.50(b)
• 2013-03-30CFTC Staff Letter 13-06: No-Action Relief for Swap Dealers and Major Swap Participants from Certain Internal Business Conduct Requirements
• 2013-03-29CFTC Staff Letter 13-05: Extension of No-Action Relief for Certain RTOs, ISOs, and Participants
• 2013-03-29CFTC Staff Letter 13-88: No-Action Relief for Production Payment Vehicles
• 2013-03-29Time-Limited No-Action Relief for Securitization Vehicles Regarding Compliance with Part 4 of the Commission’s Regulations
• 2013-03-29CFTC Staff Letter 13-04: Relief for Additional Agent Affiliates from Registration as an Introducing Broker or Commodity Trading Advisor
• 2013-03-28CFTC Staff Letter 13-03: No-Action Relief for Certain Futures Commission Merchants from Regulation 3.3 Annual Report Requirements
• 2013-03-20CFTC Staff Letter 13-02: No-Action Relief from Required Clearing for Partial Novation and Partial Termination of Swaps
• 2013-03-18CFTC Staff Letter 13-01: No-Action Relief from Required Clearing for Swaps Resulting from Multilateral Portfolio Compression Exercises
• 2013-03-13CFTC Staff Letter 13-18: No-Action Relief for General Partners of Commodity Pools from CPO Registration
• 2013-03-13CFTC Staff Letter 13-20: No-Action Relief from CPO Registration for Managing Member
• 2013-03-13CFTC Staff Letter 13-17: No-Action Relief from CPO Registration for General Partners of Commodity Pools
• 2013-03-13CFTC Staff Letter 13-19: No-Action Relief from CPO Registration for General Partner
• 2013-02-26Commodity Futures Trading Commission Final Rule on Proceedings
• 2013-01-18Extension of Comment Period for the Rulemaking Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations
• 2013-01-08Rules of Practice; Amendments to Delegations of Authority to the Office of General Counsel
• 2013-01-07Final Exemptive Order Regarding Compliance With Certain Swap Regulations
• 2013-01-07Further Proposed Guidance Regarding Compliance With Certain Swap Regulations
• 2013-01-02Business Conduct and Documentation Requirements for Swap Dealers and Major Swap Participants; Extension of Compliance Date
• 2012-12-31CFTC Staff Letter 12-70: No-Action Relief for Swap Dealers and Affiliates from Introducing Broker or Commodity Trading Advisor Registration
• 2012-12-31CFTC Staff Letter 12-71: No-Action Relief for Foreign-Owned U.S. Banks Calculating De Minimis Threshold
• 2012-12-28CFTC Staff Letter 12-69: Extension of Temporary Registration Relief for Certain Associated Persons
• 2012-12-28Privacy of Consumer Financial Information Under Title V of the Gramm-Leach-Bliley Act
• 2012-12-27CFTC Staff Letter 12-79: Time-Limited No-Action Relief for Societe Generale Regarding Parts 43, 45, and 46 Reporting
• 2012-12-21CFTC Staff Letter 12-64: Time Limited No-Action Relief for Compo Equity Total Return Swaps
• 2012-12-21No-Action Relief: Excluding Compression Exercise Swaps from Aggregate Gross Notional Amount for Swap Dealer De Minimis Exception
• 2012-12-21CFTC Staff Letter 12-68: Temporary Registration Relief for CPOs and CTAs
• 2012-12-21Adaptation of Regulations To Incorporate Swaps-Records of Transactions
• 2012-12-21CFTC Staff Letter 12-72: No-Action Position on CPO and CTA Registration for Pension Plan Group Trust Sponsor
• 2012-12-21CFTC Staff Letter 12-76: No-Action Relief for Barclays Bank PLC Regarding Parts 43 and 45 Reporting
• 2012-12-21No-Action Relief for Singapore Exchange Derivatives Clearing Limited Regarding Section 5b(a) and Section 4d(f) of the Commodity Exchange Act
• 2012-12-21CFTC Staff Letter 12-66 (No-Action): Relief regarding the reporting of swap transaction data
• 2012-12-21Time-Limited No-Action Relief from Reporting Certain Non-Reporting Counterparty Information Under Parts 45 and 46
• 2012-12-21CFTC Staff Letter 12-67: No-Action Relief for Investment Pools Investing in Certain Securitization Vehicles Formed Prior to October 12, 2012
• 2012-12-20CFTC Staff Letter 12-61: No-Action Relief for Foreign-Owned U.S. Banks Calculating De Minimis Threshold
• 2012-12-19CFTC Staff Letter 12-59: Time-Limited No-Action Relief for Swap Dealers and Major Swap Participants from Part 45 Reporting for CDS Clearing-Related Swaps
• 2012-12-19CFTC Staff Letter 12-60: Time-Limited No-Action Relief for Floor Trader Swap Dealer De Minimis Exception
• 2012-12-18CFTC Staff Letter 12-58: No-Action Relief for Pre-Trade Mid-Market Mark Disclosure for Certain Swaps
• 2012-12-18CFTC Staff Letter 12-75: No-Action Relief for Standard Chartered Bank Regarding Swap Reporting Requirements
• 2012-12-18CFTC Staff Letter 12-57: Time-Limited No-Action Relief for Swaps on Natural Gas Exchange
• 2012-12-18CFTC Staff Letter 12-77: Time-Limited No-Action Relief for HSBC Swap Entities Regarding Reporting Requirements
• 2012-12-17CFTC No-Action Relief for Japan Securities Clearing Corporation Regarding Section 5b(a) and Section 2(h)(1)(A) of the Commodity Exchange Act
• 2012-12-17CFTC Staff Letter 12-55: Time-Limited No-Action Relief for Swap Dealers and Major Swap Participants From Compliance With Reporting Obligations Under 17 CFR § 45.4(b)(2)(ii)
• 2012-12-17CFTC Staff Letter 12-53: Time-Limited No-Action Relief from Parts 43 and 45 Reporting for Prime Brokerage Transactions
• 2012-12-14CFTC Staff Letter 12-51: Clarification and Extension of No-Action Relief for Non-Clearing Member Swap Dealers from Large Swap Trader Reporting
• 2012-12-14CFTC Staff Letter 12-52: Time-Limited No-Action Relief for Certain Swap Dealers from Regulation 3.3 Annual Report Requirements
• 2012-12-14Fees for Reviews of the Rule Enforcement Programs of Designated Contract Markets and Registered Futures Associations
• 2012-12-13Clearing Requirement Determination Under Section 2(h) of the CEA
• 2012-12-13CFTC Staff Letter 12-50: Time-Limited No-Action Relief for Agents from Post-Allocation Swap Timing Requirement
• 2012-12-12CFTC Staff Letter 12-54: No-Action Relief for Sub-Adviser A from CTA Registration
• 2012-12-11No-Action Relief: Alternative to Fingerprinting to Establish Fitness of Principals Residing Outside the United States
• 2012-12-11CFTC Staff Letter 12-48: No-Action Relief for Preservation of Regulatory Status Quo for Certain Transactions
• 2012-12-10CFTC Staff Letter 12-47: Time-Limited No-Action Relief for Certain FCMs from Regulation 3.3 Annual Report Requirements
• 2012-12-07CFTC Staff Letter 12-44: No-Action Relief from CPO Registration for Mortgage REITs
• 2012-12-07CFTC Staff Letter 12-45: Exclusions from Commodity Pool Regulation for Securitization Vehicles
• 2012-12-07CFTC Staff Letter 12-43: No-Action Relief for Swap Dealers and Major Swap Participants from Regulation 23.22(b)
• 2012-12-07Time-Limited No-Action Relief for Part 20 Reporting Entities Regarding Identifying Information and for Part 45 and Part 46 Reporting Counterparties Regarding Legal Entity Identifiers and Other Identifying Information
• 2012-12-06CFTC Staff Letter 12-42: No-Action Relief for Pre-Trade Mid-Market Mark Disclosure for Certain Forex Transactions
• 2012-12-06CFTC Staff Letter 12-78: No-Action Relief for Deutsche Bank Reporting Delays
• 2012-12-05No-Action Relief for Swap Dealers from Certain Swap Data Reporting Requirements Due to Hurricane Sandy
• 2012-12-04No-Action Relief from CPO Registration for Business Development Company Operators
• 2012-11-30CFTC Staff Letter 12-74 (No-Action): Extends No-Action Relief for OCC and BSPS
• 2012-11-30Time-Limited No-Action Relief for Bespoke or Complex Swaps from Certain Swap Data Reporting Requirements of Parts 43 and 45
• 2012-11-29CFTC Staff Letter 12-38: No-Action Letter on Delayed Compliance Date for Amended Part 4
• 2012-11-29CFTC Staff Letter 12-37: No-Action Relief for Family Office CPOs
• 2012-11-29CFTC Staff Letter 12-33: No-Action Relief from Regulation 23.451 for Governmental Plans and Look-Back Clarification
• 2012-11-28Time-Limited No-Action Relief from the Clearing Requirement for Swaps Entered Into By Cooperatives
• 2012-11-28Time-Limited No-Action Relief from the Clearing Requirement for Swaps Between Affiliated Counterparties
• 2012-11-19CFTC Staff Letter 12-34 (No-Action): Relief for X to Enter Into Repurchase Agreements Cleared by Y
• 2012-11-19Time-Limited No-Action Relief for Swap Dealers from Certain Swap Data Reporting Requirements
• 2012-11-14Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations
• 2012-11-02Adaptation of Regulations To Incorporate Swaps
• 2012-11-01CFTC Staff Letter 12-31: Staff Interpretation Regarding Part 22
• 2012-10-31CFTC Staff Letter 12-30: Temporary Delay of Compliance Date for Part 22 Rules Due to Hurricane Sandy
• 2012-10-26CFTC Staff Letter 12-29 (No-Action): Relief for Swap Dealers and Major Swap Participants from Certain Internal Business Conduct Requirements
• 2012-10-25Adjustment of Civil Monetary Penalties for Inflation
• 2012-10-17CFTC Staff Letter 12-28: Interpretation of Regulation 22.2(d) Regarding Cleared Swaps Customer Collateral Liens
• 2012-10-12Time-Limited No-Action Relief: Swaps in Agricultural and Exempt Commodities Not to be Considered in Calculating Aggregate Gross Notional Amount for Purposes of Swap Dealer De Minimis Exception and Calculation of Whether a Person is a Major Swap Participant
• 2012-10-12CFTC Staff Letter 12-19: Interpretation of Bona Fide Hedging in Regulation 4.5
• 2012-10-12CFTC Staff Letter 12-17: Interpretations and No-Action Positions on ECP Status
• 2012-10-12Time-Limited No-Action Relief: Swaps Only With Certain Persons to be Included in Calculation of Aggregate Gross Notional Amount for Purposes of Swap Dealer De Minimis Exception and Calculation of Whether a Person is a Major Swap Participant
• 2012-10-12CFTC Staff Letter 12-21: Time-Limited No-Action Relief for Foreign Exchange Swaps and Forwards
• 2012-10-12CFTC Staff Letter 12-16: No-Action Relief for Cleared Swaps in Agricultural and Exempt Commodities
• 2012-10-12CFTC Staff Letter 12-18: Temporary Relief from De Minimis Threshold for Swaps with Special Entities
• 2012-10-11CFTC Staff Letter 12-13: Interpretation of the Definition of Commodity Pool under Section 1a(10) of the Commodity Exchange Act
• 2012-10-11CFTC Staff Letter 12-11: No-Action Relief for RTOs, ISOs, and Participants Regarding Certain CEA Provisions
• 2012-10-11CFTC Staff Letter 12-12: No-Action Relief for FPA Section 201(f) Entities and Electric Cooperatives
• 2012-10-11CFTC Staff Letter 12-14: Exclusion of Certain Securitization Vehicles from Commodity Pool Definition
• 2012-10-11CFTC Staff Letter 12-15: Registration Relief for Certain Persons
• 2012-10-10CFTC Staff Letter 12-10: No-Action Relief for Cleared Swaps Collateral Segregation
• 2012-10-05CFTC Staff Letter 12-27: Family Investment Entity Not a Commodity Pool
• 2012-09-26CFTC Staff Letter 12-09: Extension for Compliance with Regulation 1.73(a)(2)(iv) and (v)
• 2012-09-24CFTC Staff Letter 12-24: No-Action Relief for General Partner of Commodity Pool from CPO Registration
• 2012-09-14CFTC Staff Letter 12-08: Interpretation of Regulation 39.13(g)(8)(ii) Customer Margin Rule
• 2012-09-14CFTC Staff Letter 12-25: No-Action Relief from CPO Registration for General Partner
• 2012-09-14CFTC Staff Letter 12-23: No-Action Relief for General Partner of Commodity Pool from CPO Registration