Letters

Date Title
18-08 PDF Image; CEA Section 4m(1), Regulations 4.5 and 4.6;; No-Action
The Division of Swap Dealer and Intermediary Oversight provided no-action relief from CPO and CTA registration to the trustee of a pension plan group trust comprised solely of pension plans that are “not construed to be pools” under Regulation 4.5(a)(4)(i)-(iii).
18-04 PDF Image; CEA Section 5b(a) and the Commission regulations thereunder; No-Action
No-Action Extension of time-limited no-action relief for Shanghai Clearing House with regard to Section 5b(a) of the Commodity Exchange Act and Commission Regulations thereunder.
18-03 PDF Image; Sections 45.3, 45.4, 45.5, and Appendix 1 of Part 45; No-Action
No-Action Extension of no-action relief originally granted by DMO on December 19, 2016 to counterparties clearing swaps through derivatives clearing organizations acting under exemptive or no-action relief from certain reporting obligations for cleared swaps under Part 45 of the Commission's regulations.
18-02 PDF Image; Sections 4d(g) and 4k of the Commodity Exchange Act; CFTC Regulations 3.4(a) and 3.12(a); No-Action
No-Action  CFTC staff issues time limited no-action relief to Shorcan Energy Brokers Inc. and its associated persons for introducing broker and associated person registration.
18-01 PDF Image; Commission Regulation 1.17;; No-Action
Staff no-action position regarding the treatment of a deferred tax liability caused by a change in accounting principles.
17-66 PDF Image; CFTC Regulation 50.52;; No-Action
No-action letter extending the time-limitation contained in an alternative compliance framework available to certain affiliated counterparties pursuant to Commission regulation 50.52(b)(4)(ii)-(iii), extending the time-limitation permitting certain affiliated counterparties located in Australia and Mexico to use the compliance framework under regulation 50.52(b)(4)(ii), and providing analogous relief to certain affiliated counterparties located in Canada, Hong Kong, and Switzerland.
17-67 PDF Image; Section 2(h)(8) of the Commodity Exchange Act;; No-Action
No action letter extending relief from section 2(h)(8) of the Commission Exchange Act for any eligible affiliate counterparty that executes a swap transaction with another eligible affiliate counterparty.
17-64 PDF Image; Part 45 and Part 46 of the Commission’s regulations; No-Action;; No-Action
CFTC’s Division of Market Oversight issues time-limited no-action relief from certain requirements of part 45 and part 46 of the commission’s regulations, for certain swap dealers and major swap participants established under the laws of Australia, Canada, the European Union, Japan or Switzerland.
17-63 PDF Image; Commodity Exchange Act Section 4m(1);; No-Action
No-action relief granted to an entity from registering as a CPO with respect to a commodity pool; provided, that it delegates its CPO responsibilities to a registered CPO, subject to certain conditions.
17-61 PDF Image; CFTC Regulations 37.1501(f)(2); 37.1306(d);; No-Action
DMO is providing no-action relief to provide 30 additional calendar days for swap execution facilities to concurrently file their chief compliance officer annual compliance reports and fourth quarter financial reports with the Commission