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Post by bot on Dec 23, 2013 20:15:55 GMT -5
Exemptive, No-Action, & Interpretative Letters for CFTC.gov. www.cftc.gov/LawRegulation/CFTCStaffLetters/index.htmThe following letter has been added: 13-79; Part 4 of the Commission’s Regulations; Advisories; December 23, 2013 Staff Advisory Concerning Commodity Trading Advisors and Swaps 13-80; Commission Regulation 1.3(ggg); No-Action; December 23, 2013 No-Action Relief from Certain Conditions of the Swap Dealer Exclusion for Registered Floor Traders 13-81; Part 37 of the CFTC’s regulations; No-Action; December 23, 2013 The CFTC’s Division of Market Oversight has issued a no-action letter providing relief to swap execution facilities (SEFs) that provide basis risk mitigation services for required transactions for failure to comply with the execution methods required under Part 37.9(a)(2) of the Commission’s regulations. 13-82; Commission Regulation 1.10 and 1.17; No-Action; December 23, 2013 No-action relief for certain Introducing Brokers from filing certified and unaudited financial statements and calculating capital under regulation 1.17. 13-83; Commission Regulation 1.3(ggg); No-Action; December 23, 2013 Time-Limited No-Action Relief from Certain Regulations Applicable to Swap Dealers During Pendency of De-Registration Application
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