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CFTC Extends Registration Relief and Grants Additional Relief for Certain Persons
31 January 2013
The CFTC issued a no-action letter extending certain registration relief for associated persons (APs) of a futures commission merchant (FCM), introducing broker (IB), commodity pool operator or commodity trading advisor (CTA), which was initially granted by a prior no-action letter.
The CFTC issued another no-action letter providing relief from the IB and CTA registration requirements to persons coming within the IB or CTA definitions solely due to their involvement in certain activities in connection with swaps entered into by their employers or certain affiliates.
The CFTC declined to provide no-action relief from AP registration to employees of a registered FCM or IB who engage in soliciting, negotiating, structuring, recommending and/or accepting as agent swap transactions on behalf of an affiliate swap dealer.
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