{"id":"AGY-FED-FINANCIAL-072","kind":"order","level":"federal","jurisdiction":"United States; Commodity Futures Trading Commission, Market Participants Division and Division of Market Oversight (federal staff no-action letter)","state":"","metro":"","industry":"","agency":"FED-FINANCIAL","eco":"","issuer":"CFTC Market Participants Division (formerly DSIO) and Division of Market Oversight","authority":"17 C.F.R. § 140.99","instrument":"CFTC Staff Letter No. 21-04 (No-Action)","title":"Limited Continuation of Certain No-Action Relief to Market Participants in Response to COVID-19","dateIssued":"2021-01-19","effective":"2021-01-16","end":"2021-03-31 (with Letter 21-05 to 2021-04-15 for certain relief)","startDate":"2021-01-16","endDate":"2021-03-31","quarters":["2021Q1","2021Q2"],"types":["TELE","EMP","OTHER"],"addressees":["floor brokers, introducing brokers, FCMs, DCM and SEF members"],"clause":"MPD and DMO extended such relief pursuant to CFTC Staff Letter 20-19, issued on [June 9, 2020, and Letter 20-26].... Accordingly, until March 31, 2021, MPD will not recommend that the Commission [take an enforcement action against floor brokers and introducing brokers for failure to comply with the location and recording requirements]. MPD does not expect to extend this relief further. FBs or IBs relying on this relief [should prepare to return to compliance].... Until March 31, 2021, DMO will not recommend that the Commission take an [enforcement action against DCMs and SEFs whose members rely on the relief].","enforcement":"No-action position only","functions":["CM floor brokerage and introducing-broker operations from remote locations","OP","WF"],"notes":"Second-quarter 2021 instrument for the futures industry; superseded by Letter 21-10 (Ex. 073), which extended the floor-broker relief to September 30, 2021 notwithstanding the statement that no further extension was expected","sourceUrl":"https://www.cftc.gov/csl/21-04/download","snapshot":"","fileExists":true,"fileBytes":175142,"grade":"primary","character":"","description":"","collection":"AGY-FED-FINANCIAL","url":"/library/AGY-FED-FINANCIAL-072","exhibitUrl":"/exhibit/AGY-FED-FINANCIAL-072","citation":"CFTC Market Participants Division (formerly DSIO) and Division of Market Oversight, CFTC Staff Letter No. 21-04 (No-Action) (Jan. 19, 2021) (Ex. AGY-FED-FINANCIAL-072)","stateName":"","related":[]}