Exemptive, No-Action, & Interpretative Letters for CFTC.gov.

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Exemptive, No-Action, & Interpretative Letters for CFTC.gov.

The following letter has been added:

13-16; Part 17 of the CFTC’s regulations; Other Written Communication; May 22, 2013
The CFTC’s Division of Market Oversight has issued an advisory regarding the ongoing duty to comply with the timely reporting requirements of CFTC Regulation 17.04(a). The CFTC receives, pursuant to Part 17 of its regulations, daily reports on the reportable futures and options positions in all special accounts carried by futures commission merchants, clearing members and foreign brokers. The reports include information pertaining to omnibus accounts. Regulation 17.04(a) requires a firm with an omnibus account to report information regarding that account to the futures commission merchant, clearing member or foreign broker with whom the account is established in sufficient time to enable such futures commission merchant, clearing member or foreign broker to submit timely daily reports to the CFTC. DMO has issued an advisory to remind affected parties of their continuing obligations under Regulation 17.04(a).

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