No-Action Relief with CFTC’s Division of Swap Dealer and Intermediary Oversight
Published on:
February 2, 2016
Submitted to:
CFTC
Submitted by:
SIFMA AMG, IAA
Committees:
SIFMA’s Asset Management Group (SIFMA AMG) and the Investment Adviser Association (IAA) write to the Commodity Futures Trading Commission (CFTC) Division of Swap Dealer and Intermediary Oversight to request no-action relief from the Commodity Exchange Act (CEA) Section 4k and Commission Regulation 3.10(c)(3)(i).