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CFTC Letter No. 1109 Action December 19, 2011, Division of Clearing and Risk Division of Swap Dealer and Intermediary Oversight Division of Market Oversight Staff Action Relief: Application of certain

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What is staff no-action relief application?

The staff no-action relief application is a formal request made to a regulatory authority seeking relief from taking enforcement action against a specific violation or non-compliance.

Who is required to file staff no-action relief application?

Any individual or entity who believes they are or may be in violation of a regulatory requirement can file a staff no-action relief application.

How to fill out staff no-action relief application?

To fill out a staff no-action relief application, you need to provide information about the specific violation, the reasons for seeking relief, supporting evidence, and any proposed corrective measures.

What is the purpose of staff no-action relief application?

The purpose of a staff no-action relief application is to seek protection from enforcement actions or penalties for violations or non-compliance by demonstrating that certain circumstances warrant relief.

What information must be reported on staff no-action relief application?

A staff no-action relief application should include details about the specific violation, the relevant regulatory requirement, supporting evidence, any proposed corrective measures, and contact information for the applicant.

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