No-Action Letters

The guidance clarifies the CIP and BO requirements applicable to introducing brokers (""IBs"") under the Bank Secrecy Act (""BSA""). The guidance provides regulatory clarity to ...

Advisory to FCMs and time-limited no-action relief to DCOs with respect to the treatment of separate accounts by FCMs.

Advisory clarifying that no documentation concerning the collection, posting and custody of initial margin is required to be completed until the initial margin threshold amount ...

The BNY Mellon Family of Funds, et al. July 9, 2019 Investment Company Act of 1940 – Section 15(a) Certain Disclosure Requirements July 9, 2019 ...

Based on Eris Clearing’s representations, it is the Division’s understanding that Eris Clearing would not need to perform monthly stress testing, because it would ensure ...

No-Action relief granted to registered floor traders from compliance with certain conditions in paragraph (6)(iv) of the "swap dealer" definition in CFTC regulation 1.3.

Golub Capital Investment Corporation, et al. June 24, 2019   Investment Advisers Act of 1940 – Section 205(b)(3)   June 24, 2019 Response of the ...

Stradley Ronon Stevens & Young, LLP June 24, 2019 Investment Company Act of 1940 – Sections 5(b), 13(a)(1) and 34(b) June 24, 2019 RESPONSE OF ...

No-action relief was granted to an entity from the statutory disqualification condition of CFTC Staff Letter No. 12-70 with repsect to its affiliate support activities.

No-action relief granted to swap dealers from the uncleared swap margin requirements under Part 23 of the Commission's regulations with respect to certain amendments to ...