No-Action Letters

This relief applies only to uncleared swap transactions executed on or pursuant to the rules of a SEF and is subject to the following conditions.

The Division of Swap Dealer and Intermediary Oversight took a no-action position with respect to IBs guaranteed by a certain FCM, where the IBs would ...

In adopting Rule 486(b) in 1994, the Commission recognized that Interval Funds may have a need to raise capital continuously, and therefore need continuously effective ...

Time-limited no-action relief for end users from the Form TO filing requirement under Commission regulation § 32.3(b)(2).

The Requestors asked for relief from the registration requirements in the Commodity Exchange Act (“CEA”)1 for certain intermediaries located outside of the United States (“Foreign ...

The CFTC’s Division of Clearing and Risk (the “Division”) issued a no-action letter providing Singapore Exchange Derivatives Clearing Limited (“SGX-DC”) with time-limited no-action relief from ...

During the pendency of Eurex Clearing’s application for registration, the Division granted no-action relief to Eurex Clearing which permitted it to clear certain interest rate ...

Based on the facts presented and the representations Eurex Clearing has made, the Division will not recommend that the Commission take enforcement action against Eurex Clearing ...