No-Action Letters

Consistent with CFTC Staff Letter 12-37, the Division of Swap Dealer and Intermediary Oversight provided no-action relief from commodity trading advisor registration to family offices ...

The Division of Swap Dealer and Intermediary Oversight issued a no action position from compliance with certain requirements of Regulation 1.57(a)(1), such that a guaranteed ...

No-action relief for Victoria University of Wellington, New Zealand, to operate a not-for-profit market for event contracts, and to offer event contracts to U.S. persons.

Request for No-Action Relief under Rule 204 of Regulation SHO with respect to Certain Subsequent Trading Activity on a Close-Out Date.

DSIO is issuing an extension of a previous no-action letter providing additional time for futures commission merchants (FCMs) to comply with Commission regulations requiring FCMs ...

This no-action relief from the CFTC in 2014 explains how a delegating CPO can escape the registration requirements in Section 4m(1) of the Commodity Exchange ...

Conditions are set to qualify from the registration relief for delegating CPOs but the relief no longer requires the entity to notify the CFTC.

This no-action letter from the SEC's Division of Investment Management hails from 1998. It tackles the use of ratings from Dalbar surveys and whether the ...

The Division of Market Oversight and the Division of Clearing and Risk issued a letter stating that they will not recommend that the Commission take ...

No-action relief for ICE Clear Europe Limited with regard to Regulation 1.20(g)(4), and an exemption from the requirements of Regulation 1.49(d)(3) for customer accounts held ...