As previously covered, the CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") granted temporary no-action relief to principals and associated persons from rules requiring them to complete fingerprint cards when registering with the CFTC. DSIO stated that its no-action relief, which also expired on September 30, 2020, would not be extended further. NFA's temporary relief had been offered to those who satisfied the requirements of the CFTC Staff Letter.
NFA stated that all persons who relied on the relief are required to submit a fingerprint card to NFA by November 2, 2020.
NFA extended temporary relief from July 23, 2020 to September 30, 2020 for applicants and registrants from CFTC fingerprint requirements.
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