Aggregated News From Investment Management Regulators

CFTC Staff Extends No-Action Relief from Compliance with Certain Timing Requirements for Submitting Fiscal-Year End Reports


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— The Commodity Futures Trading Commission’s Division of Market Oversight (DMO) today extended previously provided no-action relief to swap execution facilities (SEFs) from the timing requirements to file fourth-quarter financial reports, as required in CFTC Regulation 37.1306(d), and to submit annual compliance reports, as required in CFTC Regulation 37.1501(f)(2), as written in CFTC No-Action Letter No. 17-61.   

The no-action relief will now expire on the earlier of either November 30, 2021 at 11:59 p.m. EST, or the applicable effective or compliance date of a CFTC action—including a rulemaking or order—providing a permanent extension for SEFs to submit such fiscal-year end reports. 

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Regulator Information

Abbreviation: CFTC
Jurisdiction: USA

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