No-Action Letters

Extension of no-action relief granted by DCR on September 23, 2013, allowing LCH.Clearnet Ltd to clear swaps executed on designated contract markets and swap execution ...

Extension of joint no-action relief granted by DCR and DMO on September 27, 2013, allowing LCH.Clearnet Ltd to clear contracts listed for trading on Nodal ...

Extension of Time-Limited No-Action relief from compliance with certain conditions associated with the receipt of customer funds by FCMs.

Two families, whose patriarchs have been business partners of a large, publicly traded U.S. retailer since the company's founding over forty years ago, requested no-action ...

Deutsche Bank seeks an exemption from Rules 101 and 102 of Regulation M under the Securities Exchange Act of 1934 in connection with a rights ...

Extension of No-Action Relief: Transaction-Level Requirements for Non-U.S. Swap Dealers

Form of Reply for CFTC Letter No. 14-75, 14-76, 14-77, 14-78, 14-79, 14-80, 14-81, 14-82, 14-83, and 14-84.

Time-limited no-action relief from compliance with the quarterly risk reporting requirement under Regulation 23.600(c)(2) for any fiscal quarters ending on or before July 31, 2014.

Time-Limited No-Action Relief for Members of Designated Contract Markets and Swap Execution Facilities that Are Not Registered with the Commission from the Requirement to Record ...

Credit Suisse AG, May 20, 2014 May 20, 2014 We would not recommend enforcement action to the United States Securities and Exchange Commission (“Commission”) under ...