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CFTC No-Action Letter for CPOs, CTAs, Principals and APs Who File to Register by December 31

The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") issued a letter providing that DSIO will not recommend that the CFTC take action against certain CPOs, CTAs or any principal or associated person thereof who will be required to register with the CFTC pursuant to the recent amendment to CFTC Rule 4.5 or the rescission of Rule 4.13(a)(4). The no-action letter provides that the relevant entity or individual will not be required to be actually registered by the December 31 deadline, so long as an application to register has been filed by the deadline.

See: CFTC Letter 12-68 PDF Image: Part 4 of the Commission's Regulations; No-Action.

Regulated Entities: