Source: http://www.cftc.gov/LawRegulation/CFTCStaffLetters/LettersArchive/2012/index.htm
Timestamp: 2017-09-21 08:46:11
Document Index: 210687580

Matched Legal Cases: ['art 20', 'art 4', 'art 20', 'art 151', 'art 3', '§ 23', 'art 22', 'art 22', 'art 43', 'art 45', 'art 46', 'arts 3', 'arts 3', 'art 43', 'art 45', '§ 43', 'art 43', 'arts 3', 'art 43', 'art 45', 'art 46', 'arts 3', 'arts 3', 'art 20', 'art 45', 'art 46', 'art 20', 'arts 43', '§ 45', 'arts 39', 'art 45', 'art 45', 'art 46', 'arts 43', 'arts 3', 'art 4', 'arts 43', 'arts 43', 'arts 43', 'arts 43', 'arts 43']

2012 CFTC Staff Letters - CFTC
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12-01 ; Regulations 4.34 and 4.35; Interpretation
12-02 ; Part 20: Large Trader Reporting for Physical Commodity Swaps; No-Action
12-03 ; Part 4: Registration and Compliance Obligations for CPOs and CTAs; No-Action
12-04 ; Part 20: Large Trader Reporting for Physical Commodity Swaps; No-Action
12-05 ; Part 151: Position Limits for Futures and Swaps; No-Action
12-06 ; Regulation 32.3 Trade Options; No-Action
12-07 ; Rule 140.98; Interpretation
12-08 ; Regulation 39.13(g)(8)(ii); Interpretation
12-09 ; 1.73(a)(2)(i), 1.73(a)(2)(iv), 1.73(a)(2)(v); No-Action
12-10 ; 4d(f)(2), (3), (4), and (6); No-Action
12-11 ; Section 4(c)(6); No-Action
12-12 ; No action with respect to all provisions except general enforcement provisions; No-Action
12-13 ; Section 1a(10) and Commission Regulation 4.10(d); Interpretation
12-14 ; Section 1a(10) of the CEA and Commission Regulation 4.10(d); Interpretation
12-15 ; CEA Sections 4d, 4e, 4m, 4s(b)(6); and CFTC Part 3 Regulations; No-Action
12-16 ; Regulation 1.3(ggg)(4); No-Action
12-17 ; 1a(18)(A); 2(e); 13(a); 17 C.F.R. § 23.430; No-Action; Interpretation
12-18 ; 1.3(ggg)(4); No-Action
12-19 ; Commission Regulations 4.5 and 1.3(z); Interpretation
12-20 ; Commission Regulations 1.3(ggg)(4) and 1.3(hhh); No-Action
12-21 ; Commission Regulation 1.3(ggg)(4); No-Action
12-22 ; Regulations 1.3(ggg)(4) and 1.3(hhh); No-Action
12-23 ; Section 4m(1) of the Act; Registration as a Commodity Pool Operator; No-Action
12-24 ; Section 4m(1) of the Act; Registration as a Commodity Pool Operator; No-Action
12-25 ; Section 4m(1) of the Act; Registration as a Commodity Pool Operator; No-Action
12-26 ; Regulation 1.71; No-Action
12-27 ; Regulation 4.10(d)(1); Interpretation
12-28 ; Regulation 22.2(d); Interpretation
12-29 ; Commission Regulations 23.202, 23.203; No-Action
12-30 ; Part 22; No-Action
12-31 ; Part 22; Interpretation
12-32 ; Part 43, Part 45 and Part 46 of the CFTC's regulations; No-Action
12-33 ; Amended; Commission Regulation 23.451; No-Action
12-34 ; Commission Regulation 1.25(d)(2); No-Action
12-35 ; Section 2(h) of the CEA; No-Action
12-36 ; Section 2(h) of the CEA; No-Action
12-37 ; Parts 3 and 4; No-Action
12-38 ; Parts 3 and 4; No-Action
12-39 ; Part 43 and Part 45: §§ 43.3(a); 43.4(a); Appendix A to Part 43; 45.3(b)(1); 45.3(b)(3); 45.3(c)(1)(i); 45.3(c)(1)(iii); 45.3(c)(2)(i); 45.3(c)(2)(iii); 45.3(d)(1); 45.3(d)(3); 45.4(c); and Appendix 1; No-Action
12-40 ; Parts 3 and 4; No-Action
12-41 ; Part 43, Part 45 and Part 46 of the CFTC's regulations; No-Action
12-42 ; Commission Regulation 23.431; No-Action
12-43 ; Regulation 23.22(b) – Prohibition against associating with a person subject to a statutory disqualification; No-Action
12-44 ; Parts 3 and 4 of the Commission’s Regulations; No-Action
12-45 ; Parts 3 and 4 of the Commission’s Regulations; Section 1a(10) of the CEA; No-Action; Interpretation
12-46 ; Part 20, Part 45 and Part 46; No-Action
12-47 ; Regulation 3.3; No-Action
12-48 ; CEA Sections 2(d), 2(e), 2(g), 2(h), 5d;; No-Action
12-49 ; Commission Regulation 3.10(a)(2); No-Action
12-50 ; Section 45.3(e)(ii)(A) of the Commission’s regulations; No-Action
12-51 ; Part 20 of the CFTC’s regulations; No-Action
12-52 ; Commission Regulation 3.3; No-Action
12-53 ; Parts 43 and 45; No-Action
12-54 ; Section 4m(1) – CTA registration requirement; No-Action
12-55 ; Sections 2(a)(13)(G) and 21(b) of the Commodity Exchange Act, and § 45.4(b)(2)(ii) of the CFTC regulations; No-Action
12-56 ; Sections 5b(a) and 2(h)(1)(A) of the Commodity Exchange Act and Parts 39 and 50 of Commission Regulations; No-Action
12-57 ; Commission Regulation 1.3(ggg); No-Action
12-58 ; Commission Regulation 23.431; No-Action
12-59 ; Sections 2(a)(13)(G) and 21(b) of the Commodity Exchange Act, and part 45 of the CFTC regulations; No-Action
12-60 ; Commission Regulation 1.3(ggg); No-Action
12-61 ; Commission Regulation 1.3(ggg)(4); No-Action
12-62 ; Commission Regulation 1.3(ggg); No-Action
12-63 ; Sec. 5b(a) and Sec. 4d(f)(1) of the CEA; No-Action
12-64 ; Mixed swaps, Section 1a(47)(D) of the Commodity Exchange Act; No-Action
12-65 ; Part 45 and Part 46; No-Action
12-66 ; Parts 43, 45 and 46; No-Action
12-67 ; Parts 3 and 4 of the Commission’s Regulations; No-Action
12-68 ; Part 4 of the Commission’s Regulations; No-Action
12-69 ; Section 4k of the Commodity Exchange Act and CFTC Regulation 3.12; No-Action
12-70 ; Sections 4d and 4m of the Commodity Exchange Act; No-Action; Interpretation
12-71 ; Commission Regulation 1.3(ggg)(4); No-Action
12-72 ; Section 4m(1) – CPO and CTA registration requirements; No-Action
12-73 ; Section 5b(c)(2)(H) of the CEA, Regulation 39.17(a); No-Action
12-74 ; Section 5b(c)(2)(H) of the CEA, Regulation 39.17(a); No-Action
12-75 ; Parts 43, 45, & 46; No-Action
12-76 ; Parts 43 & 45; No-Action
12-77 ; Parts 43, 45, & 46; No-Action
12-78 ; Parts 43, 45, & 46; No-Action
12-79 ; Parts 43, 45, & 46; No-Action