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CFTC LETTER NO. 2412 NOACTION SEPTEMBER 03, 2024U.S. COMMODITY FUTURES TRADING COMMISSION Three Lafayette Centre 1155 21st Street, NW, Washington, DC 20581 Telephone: (202) 4185000 www.cftc.govDivision

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How to fill out no-action position for off-sef

01

Identify the specific off-sef transactions that require a no-action position.

02

Gather the necessary documentation and information related to the transactions.

03

Consult with your compliance or legal team to understand the regulatory requirements.

04

Complete the no-action position form or relevant documentation accurately.

05

Submit the no-action position request to the appropriate regulatory authority.

06

Maintain records of your submission and any correspondence regarding the request.

Who needs no-action position for off-sef?

01

Financial institutions involved in off-sef transactions.

02

Entities seeking to clarify their regulatory stance on specific transactions.

03

Compliance officers and legal teams within financial organizations.

04

Participants in the derivatives market looking for regulatory guidance.

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What is no-action position for off-sef?

A no-action position for off-sef refers to a regulatory stance allowing certain derivatives transactions to be conducted outside of standard execution facilities without facing penalty or enforcement action.

Who is required to file no-action position for off-sef?

Entities involved in trading derivatives that are not executed on a swap execution facility (SEF) are required to file a no-action position for off-sef.

How to fill out no-action position for off-sef?

To fill out a no-action position for off-sef, follow the regulatory guidelines provided by the governing body, typically completing specific forms that outline the details of the transaction, including the nature of the trades and the participants involved.

What is the purpose of no-action position for off-sef?

The purpose of a no-action position for off-sef is to provide regulatory clarity and prevent enforcement actions for transactions that do not meet SEF trading requirements, thereby promoting market efficiency.

What information must be reported on no-action position for off-sef?

Information that must be reported typically includes transaction details, counterparty information, the nature of the contracts, and any relevant risk assessments related to the off-sef trades.

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