PubLedgeCFTC Division of Swap Dealer and Intermediary Oversight
## Overview
U.S. Commodity Futures Trading Commission, Division of Swap Dealer and Intermediary Oversight (DSIO). Issues no-action letters and interpretive letters governing registration, compliance, and business-conduct obligations of swap dealers, commodity trading advisors (CTAs), commodity pool operators (CPOs), introducing brokers, and futures commission merchants.
- `us-cftc-il-17-65` — CFTC Letter 17-65 (CTA registration / MiFID II unbundling, 2017-12-11)
U.S. Commodity Futures Trading Commission, Division of Swap Dealer and Intermediary Oversight (DSIO). Issues no-action letters and interpretive letters governing registration, compliance, and business-conduct obligations of swap dealers, commodity trading advisors (CTAs), commodity pool operators (CPOs), introducing brokers, and futures commission merchants.
- `us-cftc-il-17-65` — CFTC Letter 17-65 (CTA registration / MiFID II unbundling, 2017-12-11)
Interpretive Letters (1)
| Record | Status | Effective |
|---|---|---|
| CFTC Letter 17-65 — CTA Registration Exemption Survives MiFID II Fee Unbundling | enforcing | Dec 11, 2017 |