Statutes and regulations

No-action relief granted to an entity for its branch from registration as an IB pursuant to CEA Section 4d(g) to provide sufficient time for the Commission to review the entity’s 30.10 Petition, subject to certain con...

CFTC Letter No. 19-10 · Federal · Agency guidance

CFTC Staff Letters (2008-present) › No-action relief granted to an entity for its branch from registration as an IB pursuant to CEA Section 4d(g) to provide sufficient time for the Commission to review the entity’s 30.10 Petition, subject to certain con...

The Commission’s regulations are found in Chapter 17 of the Code of Federal Regulations, 17 CFR Part 1 et seq. 2 7 U.S.C. § 1 et. seq. 3 See Section 1a(31) of the CEA, 7 U.S.C. 1a(31), and 17 CFR … On December 18, 2018, “A” submitted a petition to the Commission under Commission regulation 30.10 (the “30.10 Petition”) requesting an exemption from registration as an FCM for the foreign futures and

Revised Transition of the Current Expected Credit Losses Methodology for Allowances

FDIC FIL-84-2020 · Federal · Agency guidance

FDIC Financial Institution Letters › Revised Transition of the Current Expected Credit Losses Methodology for Allowances

. 801 et seq. 17 5 U.S.C. 801(a)(3). 18 5 U.S.C. 804(2). 19 See 85 FR 44361 (July 22, 2020). 20 A savings and loan holding company (SLHC) must file one or more of the FR Y–9 series of reports unless … See 2 U.S.C. 1532(a).

Improvements to the Functioning of a Computer or To Any Other Technology or Technical Field

MPEP § 2106.05(a) · Federal · Agency guidance

Agency Guidance › USPTO MPEP › Chapter 2100 - Patentability › MPEP § 2106.05(a)

MPEP § 716.09 on 37 CFR 1.132 practice with respect to rejections under 35 U.S.C. 112(a) . … App'x 1001 (Fed. Cir. 2017) (non-precedential); and ix. Improved process for preserving hepatocytes for later use, Rapid Litig. Mgmt. v.

No-action relief granted to an entity from CPO registration with respect to a commodity pool for which it serves as trustee; provided, that it delegates the CPO responsibilities to a registered CPO, subject to certain...

CFTC Letter No. 18-16 · Federal · Agency guidance

CFTC Staff Letters (2008-present) › No-action relief granted to an entity from CPO registration with respect to a commodity pool for which it serves as trustee; provided, that it delegates the CPO responsibilities to a registered CPO, subject to certain...

COMMODITY FUTURES TRADING COMMISSION Three Lafayette Centre 1155 21st Street, NW, Washington, DC 20581 Telephone: (202) 418-6700 Facsimile: (202) 418-5528 mkulkin@cftc.gov CFTC Letter No. 18-16 … The Act is found at 7 U.S.C. 1 et seq. (2016).

Decision to Appeal and to File Petitions in Appellate Courts

Justice Manual § 9-2.170 · Federal · Agency guidance

Agency Guidance › DOJ Justice Manual › Title 9: Criminal › 9-2.000 - Authority Of The U.S. Attorney In Criminal Division Matters/Prior Approvals › Justice Manual § 9-2.170

(a) Except as set forth in Paragraph B(3) below, United States Attorneys' Offices (USAOs) should report all adverse, appealable district court decisions to the Appellate Section (including adverse 28 U.S.C … Authorization to appeal should be sought only if: the sentencing decision is not supported by the law or the evidence, or the sentence is unreasonable in light of 18 U.S.C. § 3553(a), and the appeal holds

Extensión del Proceso de Transición Aplicable a Ciertas Renovaciones de Planes Médicos Hasta el 30 de septiembre de 2019.

PR Carta Normativa Núm. CN-2018-238-AS · Puerto Rico · Agency guidance

Puerto Rico OCS Cartas Normativas y Cartas Circulares › Extensión del Proceso de Transición Aplicable a Ciertas Renovaciones de Planes Médicos Hasta el 30 de septiembre de 2019.

APLICABLE A CIERTAS RENOVACIONES DE PLANES MÉDICOS HASTA EL 30 DE SEPTIEMBRE DE 2019 Estimados señoras y señores: La Oficina del Comisionado de Seguros ("OCS"), mediante Carta Normativa CN-2013-161-D de 18 … Participating in Approved Clinical Trials", según codificada en 42 U.S.C. § 300gg-8. 7) Los planes médicos renovados bajo estas directrices cumplirán con el resto de las disposiciones de ACA y el PHSA

No-action relief that extends the relief provided in Letter No. 16-58 by permitting SEFs and DCMs to address clerical or operational errors that cause a swap to be rejected from clearing.

CFTC Letter No. 17-27 · Federal · Agency guidance

CFTC Staff Letters (2008-present) › No-action relief that extends the relief provided in Letter No. 16-58 by permitting SEFs and DCMs to address clerical or operational errors that cause a swap to be rejected from clearing.

L. 111-203, 124 Stat. 1376 (2010). 5 7 U.S.C. § 2(h)(8). 6 Core Principles and Other Requirements for Swap Execution Facilities, 78 Fed. … Id. 19 CFTC Letter No. 13-66 (Oct. 25, 2013). 20 CFTC Letter No. 14-50 (Apr. 18, 2014) nce or had 13 See supra note 11. 14 See Staff Guidance on

Two families, whose patriarchs have been business partners of a large, publicly traded U.S. retailer since the company’s founding over forty years ago, requested no-action relief from CPO registration on behalf of the...

CFTC Letter No. 14-104 · Federal · Agency guidance

CFTC Staff Letters (2008-present) › Two families, whose patriarchs have been business partners of a large, publicly traded U.S. retailer since the company’s founding over forty years ago, requested no-action relief from CPO registration on behalf of the...

and other members of the Families would benefit from obtaining assistance in handling the administrative tasks involved in their joint investment 1 7 U.S.C … have established or establish in the future, or “A” or its employees, for their failure to register as CPOs 2 See, e.g., CFTC Staff Letter 96-11 (Jan. 18

2015-08 PACE Act Impact on Small Group Market

SC Insurance Bulletin 2015-08 · South Carolina · Agency guidance

South Carolina Department of Insurance Bulletins › 2015-08 PACE Act Impact on Small Group Market

Federal Definitions o(Small and Lo.rge Employers The PACE Act revises the definitions of large and small employers under 42 U.S.C ng on or after beginning January 1, 2016. … Code § 38-71-1330(18). When read together, the above statutes result in the small group market consisting of employers with 2 to 50 eligible employees.

Taiwan Futures Exchanges Request for No-Action Relief in Connection with the Offer and Sale in the United States of its Futures Contract Based on the Taiwan Stock Exchange Non-Finance Non-Electronic Sub-Index.

CFTC Letter No. 08-06 · Federal · Agency guidance

CFTC Staff Letters (2008-present) › Taiwan Futures Exchanges Request for No-Action Relief in Connection with the Offer and Sale in the United States of its Futures Contract Based on the Taiwan Stock Exchange Non-Finance Non-Electronic Sub-Index.

Id. at 4. 10 7 U.S.C. § 1 et seq. 11 Appendix E of Pub. L. … sale within the U.S. of their foreign security index futures contracts when those foreign boards of trade do not seek designation as a contract market or registration as a DTEF to trade those products.18

Basic Patent Cooperation Treaty (PCT) Principles

MPEP § 1801 · Federal · Agency guidance

Agency Guidance › USPTO MPEP › Chapter 1800 - Patent Cooperation Treaty › MPEP § 1801

The PCT also provides for the establishment of an international search report and written opinion at 16 months from the priority date and publication of the international application after 18 months from … The United States Patent and Trademark Office will act as a receiving Office for United States residents and nationals ( 35 U.S.C. 361(a) ).

National bank may make a 5.5% investment in software company which is engaged in the design, development, marketing and maintenance of a network for electronic funds transfers and electronic data interchange, including transacting electronic commerce and marketing software products for use on its world-wide electronic commerce network. (05/10/96).

OCC Interpretive Letter No. 732 · Federal · Agency guidance

OCC Interpretive Letters › National bank may make a 5.5% investment in software company which is engaged in the design, development, marketing and maintenance of a network for electronic funds transfers and electronic data interchange, including transacting electronic commerce and marketing software products for use on its world-wide electronic commerce network. (05/10/96).

Office of the Comptroller of the Currency Interpretive Letter #732 Published in Interpretations and Actions July 1996 12 U.S.C. 24(7)23C May 10, 1996 [ ] Dear [ ]: This is in response to your letter of … See generally, Accounting Principles Board, Op. 18, 19 (1971). Therefore, for both legal and accounting purposes, the Bank's potential loss exposure should be limited to the amount of its investment.

Letter provides confirmation that national bank may purchase and hold below investment grade debt in connection with a comprehensive program to hedge the counterparty credit risk exposure that arises from its derivatives activities. The letter concludes that the bank may engage in the transactions it proposes, where the bank's examiner-in-charge is satisfied that the bank has adequate risk management and measurement systems and controls and does not object to the activity.

OCC Interpretive Letter No. 1051 · Federal · Agency guidance

OCC Interpretive Letters › Letter provides confirmation that national bank may purchase and hold below investment grade debt in connection with a comprehensive program to hedge the counterparty credit risk exposure that arises from its derivatives activities. The letter concludes that the bank may engage in the transactions it proposes, where the bank's examiner-in-charge is satisfied that the bank has adequate risk management and measurement systems and controls and does not object to the activity.

The Bank will periodically adjust its bond 6 The Bank represents that all transactions with affiliates will be consistent with sections 23A and 23B of the Federal Reserve Act, 12 U.S.C. 371c and 371c … risk 15 See OCC Interpretive Letter No. 961 (Mar. 17, 2003) (“DPC Shares”). 16 See OCC Interpretive Letter No. 935, supra. 17 See, e.g., OCC Interpretive Letter No. 1019 (Feb. 10, 2005). 18

Letter concludes that it is legally permissible for a national bank to engage in customer-driven, perfectly matched, cash-settled derivative transactions on inflation indices. Before the bank may engage in the transactions, the bank must notify its examiner-in-charge ("EIC"), in writing, of the proposed activities and must receive written notification of the EIC's supervisory no-objection, based on the EIC's evaluation of the adequacy of the bank's risk measurement and management systems and controls to enable the bank to engage in the proposed activities on a safe and sound basis, and the EIC's evaluation of any other supervisory considerations relevant to the particular proposal.

OCC Interpretive Letter No. 1079 · Federal · Agency guidance

OCC Interpretive Letters › Letter concludes that it is legally permissible for a national bank to engage in customer-driven, perfectly matched, cash-settled derivative transactions on inflation indices. Before the bank may engage in the transactions, the bank must notify its examiner-in-charge ("EIC"), in writing, of the proposed activities and must receive written notification of the EIC's supervisory no-objection, based on the EIC's evaluation of the adequacy of the bank's risk measurement and management systems and controls to enable the bank to engage in the proposed activities on a safe and sound basis, and the EIC's evaluation of any other supervisory considerations relevant to the particular proposal.

For example, the Bank has unlimited authority to deal in, underwrite, purchase, and sell Treasury-Inflation Protected Securities (“TIPS”) under 12 U.S.C. § 24(Seventh) and Part 1.6 TIPS are issued by … customer-driven, perfectly matched, cash- settled derivative transactions on the reference assets and indices identified in that letter as part of bank permissible financial derivative transactions.18

Policy Statement On Penalty Guidelines

130 FERC ¶ 61,220 · Federal · Agency guidance

FERC Policy Statements › Policy Statement On Penalty Guidelines

No. 109-58, 119 Stat. 594 (2005) (EPAct 2005). 5 16 U.S.C. § 823b(c) (2000) (FPA Part I); 16 U.S.C. § 825o-1(b) (2000) (FPA Part II); 15 U.S.C. § 3414(b)(6) (2000) (NGPA); 18 C.F.R. § 385.1602 (2009 … No. 109-58, 119 Stat. 594 (2005) (EPAct 2005). 5 16 U.S.C. § 823b(c) (2000) (FPA Part I); 16 U.S.C. § 825o-1(b) (2000) (FPA Part II); 15 U.S.C. § 3414(b)(6) (2000) (NGPA); 18 C.F.R. § 385.1602 (2009

Public Charge Bonds

USCIS Policy Manual, Vol. 8, Pt. G, Ch. 10 · Federal · Agency guidance

Agency Guidance › USCIS Policy Manual › Volume 8 - Admissibility › Part G - Public Charge Ground of Inadmissibility › USCIS Policy Manual, Vol. 8, Pt. G, Ch. 10

[18] See Section 564(f) of Division C of Pub. L. 104-208 (PDF) , 110 Stat. 3009, 3009-684 (September 30, 1996). … [26] See 31 U.S.C. 9304-9308 . As part of the certification process, the Treasury ascertains the company’s credit worthiness.

Letter responds to a request for an interpretation of or exemption from the customer identification program rule, 31 C.F.R. 1020.220, to permit its practice of collecting partial taxpayer identification numbers during its onboarding

OCC Interpretive Letter No. 1175 · Federal · Agency guidance

OCC Interpretive Letters › Letter responds to a request for an interpretation of or exemption from the customer identification program rule, 31 C.F.R. 1020.220, to permit its practice of collecting partial taxpayer identification numbers during its onboarding

. § 5311. 32 31 U.S.C. § 5318(l). 33 USA PATRIOT Act of 2001 § 302, 31 U.S.C. § 5311 note. 34 31 C.F.R. § 1020.220(a)(2). eport potential money laundering transactions to proper authorities.33 … § 5311. 32 31 U.S.C. § 5318(l). 33 USA PATRIOT Act of 2001 § 302, 31 U.S.C. § 5311 note. 34 31 C.F.R. § 1020.220(a)(2). 10 compliant practice with the requirements of the CIP rules will be the

The Division of Market Oversight issued time-limited, no-action relief from the post-allocation swap timing requirement of section 45.3(e)(ii)(A) of the Commission’s regulations.

CFTC Letter No. 12-50 · Federal · Agency guidance

CFTC Staff Letters (2008-present) › The Division of Market Oversight issued time-limited, no-action relief from the post-allocation swap timing requirement of section 45.3(e)(ii)(A) of the Commission’s regulations.

www.cftc.gov CFTC Letter No. 12-50 No-Action December 13, 2012 Division of Market Oversight Robert Pickel Chief Executive Officer International Swaps and Derivatives Association, Inc. 1001 … In accordance with 44 U.S.C.

St. Barnabas Medical Center et al. (22-CA-224139)

NLRB Division of Advice Memorandum, Case No. 22-CA-224139 (St. Barnabas Medical Center et al.) · Federal · Agency guidance

NLRB Division of Advice Memoranda (rolling 10-year window) › St. Barnabas Medical Center et al. (22-CA-224139)

Accordingly, went to work on instead of February 18. The Employer, however, considered the trade request unapproved and expected Employee A on February 18. … New Brunswick General Sheet Metal Works, 326 NLRB 915, 921 (1998) (employer “had every right to choose who would be on its negotiating committee just as the Union selected its own committee”). 11 29 U.S.C

Proposed Rulemaking to Mitigate the Deposit Insurance Assessment Effects of Participation in the Paycheck Protection Program (PPP), the PPP Lending Facility, and the Money Market Mutual Fund Liquidity Facility

FDIC FIL-56-2020 · Federal · Agency guidance

FDIC Financial Institution Letters › Proposed Rulemaking to Mitigate the Deposit Insurance Assessment Effects of Participation in the Paycheck Protection Program (PPP), the PPP Lending Facility, and the Money Market Mutual Fund Liquidity Facility

. 553(b)(B). 48 5 U.S.C. 553(d). 48 5 U.S.C. 601 et seq. 48 5 U.S.C. 801 et seq. 48 5 U.S.C. 801(a)(3). 48 5 U.S.C. 804(2). 48 5 U.S.C. 808(2). 48 12 U.S.C. 4802(a). 48 12 U.S.C. 4802(b). 49 4 … U.S.C. 3501–3521.