Procedural Requirements for Requests for Interpretative, No- Action and Exemptive Letters

Under 17 C.F.R. § 140.99, parties engaging in transactions or activities governed by the Commodity Exchange Act and implementing regulations may request relief from statutory or regulatory obligations. Such relief may include that associated with other collections of information, relief from obligations that do not constitute collections of information, and extensions of time for compliance with statutory or regulatory obligations. Additionally, parties may request interpretative guidance concerning statutory or regulatory requirements. In response, staff of the Commodity Futures Trading Commission may issue an exemptive, no-action, or interpretative letter. In order to process and properly evaluate a request for relief, staff needs accurate and complete background information concerning the parties and activities involved, the facts and circumstances relevant to the request, and the legal or public policy grounds upon which the request is made.

The latest form for Procedural Requirements for Requests for Interpretative, No- Action and Exemptive Letters expires 2029-07-31 and is listed under ICR 202602-3038-001.