S COMMODITY FUTURES TRADING COMMISSIONU英文资料.pdfVIP

U.S. COMMODITY FUTURES TRADING COMMISSION Three Lafayette Centre 1155 21st Street, NW, Washington, DC 20581 Telephone: (202) 418-5000 Division of Swap Dealer and Thomas J. Smith Intermediary Oversight Acting Director CFTC Letter No. 14-154 No-Action December 22, 2014 Division of Swap Dealer and Intermediary Oversight Re: Time Limited No-Action Relief for Futures Commission Merchants, Swap Dealers, and Major Swap Participants from Compliance with the Timing Requirements of Commission Regulation 3.3(f)(2) Relating to Annual Reports by Chief Compliance Officers Ladies and Gentlemen: The Division of Swap Dealer and Intermediary Oversight (“Division”) of the Commodity Futures Trading Commission (“Commission”) is providing time-limited no-action relief from the time requirements for submitting an annual report set forth in Commission Regulation 3.3(f)(2),1 by futures commission merchants (“FCMs”), swap dealers (“SDs”), and major swap participants (“MSPs”). The relief applies to the timing for submitting an annual report for a registrant that has a fiscal year ending on or before January 31, 2015.2 Regulatory Background Section 731 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”)3 added Section 4s(k) to the Commodity Exchange Act (“CEA”),4 which requires each SD and