No-Action Letters

This exemption letter from the CFTC permits certain commodity pool operators from having to file Form CPO-PQR.

Order Granting a Limited Exemption from Rule 102(a) of Regulation M to Jones Lang LaSalle Income Property Trust Pursuant to Rule 102(e) of Regulation M.

Subject to specific conditions, the Division of Swap Dealer and Intermediary Oversight granted the Federal Home Loan Mortgage Corporation and the Federal National Mortgage Association ...

Extension of Time-Limited No-Action Relief with Respect to Certain Commodity Exchange Act Provisions That May Apply to Southwest Power Pool, Inc. and/or Its Participants.

    Investment Advisers Act of 1940 – Section 205(a)(1) Amerivest Investment Management, LLC August 19, 2014 Response of the Chief Counsel's Office Division Of ...

No-action relief for the Chicago Mercantile Exchange, Inc. with regard to Regulations 1.20(d) and 22.5(a).

Time-limited no-action relief for the Clearing Corporation of India Ltd. with regard to Section 5b(a) of the Commodity Exchange Act and implementing regulations thereunder.

Time-limited no-action relief granted by DMO to swap execution facilities (SEFs) for incorporating by reference previously-negotiated freestanding agreements into SEF-generated confirmations for uncleared swap transactions, ...

Extension of conditional time-limited no-action relief for Yieldbroker Pty Limited with regard to Section 5h(a)(1) of the Commodity Exchange Act and Commission Regulation 37.3(a)(1) until ...

Investment Advisers Act of 1940 – Section 206(4) Citigroup Global Markets Inc. August 6, 2014 Response of the Chief Counsel’s Office Division Of Investment Management ...