18-11 ; CFTC Regulations 4.22(d) and 4.27(c); Other Written Communications Rescission of CFTC Staff Letter No. 16-47
17-33 ; CEA Section 2(a)(13), 4r and 21; CFTC Regulations Part 43, Part 45 and 49;; Other Written Communications Announcement of DMO review of all swaps reporting regulations, including opening of comment period. Overview of specific issues that DMO plans to address.
17-25 ; CEA Section 5(d)(21) and 5h(f)(13) CFTC Regulations 38.1101(a), 37.1301(a), 38.1101(c), and 37.1303;; Other Written Communications Guidance clarifying the expenses that must be included and those that can be reasonably excluded in a DCM’s or SEF’s calculation of projected operating costs.
16-75 ; Regulation 1.25;; Other Written Communications Practical Application of No-Action Letter No. 16-68 Regarding Investments in Money Market Mutual Funds
16-62 ; CEA Section 4s(k)(2), CEA Section 4d(d), and Commission Regulation 3.3;; Other Written Communications Advisory regarding chief compliance officer reporting lines for swap dealers, major swap participants, and futures commission merchants.
16-61 ; Regulation 39.39;; Other Written Communications Staff of the Division of Clearing and Risk prepared guidance to DCOs in order to aid DCOs in revising and improving their Recovery Plans and Wind-down Plans, and in preparing proposed rule submissions to implement their Recovery Plans and Wind-down Plans.
16-60 ; 31 C.F.R. Chapter V;; Other Written Communications Staff Advisory that reminds: (1) futures commission merchants (FCMs) and introducing brokers (IBs) of their obligations to report suspicious activities as required by a regulation issued by the Financial Crimes Enforcement Network under the Bank Secrecy Act; and (2) FCMs, IBs and all other persons registered or required to be registered with the Commission to comply with the economic sanctions programs imposed against countries and groups of individuals that appear at 31 C.F.R. Chapter V. Advisory.
16-24 ; Section 1.11;; Other Written Communications Advisory to Futures Commission Merchants reminding them of key risk management program requirements and sharing observed examples of practices for implementing an effective program.
15-67 ; Regulations 1.73, 1.74, 39.12(b)(7), 37.702(b), and 38.601(b);; Other Written Communications Letter from the Division of Clearing and Risk and the Division of Market Oversight to ISDA regarding Straight Through Processing and Affirmation of SEF Cleared Swaps.
15-66 ; Commission Regulations 23.204 and 23.205;; Other Written Communications DSIO Advisory reminding swap dealers and major swap participants of their swap data reporting obligations under Commission Regulations 23.204 and 23.205 and providing guidance to assist swap dealers and major swap participants in addressing swap data reporting issues and failures.