On July 17, the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) announced that it has extended the time period for the no-action relief provided in CFTC Staff Letter No. 20-16 to registrants listing new principals and to applicants for registration as associated persons (APs) from the requirement to submit a fingerprint card.
The relief extends until September 30 or any earlier date on which the National Futures Association (NFA) resumes the processing of fingerprints.
Principals and APs relying upon the relief will still be required to submit their fingerprints to NFA within 30 days of NFA’s resumption of fingerprint processing.
The CFTC release is available here.
CFTC Staff Letter No. 20-16 is available here.