世爵娱乐客服:CFTC Staff Letters

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Title Body
PDF Image19-05 Letter Type: No-Action
Division: DSIO
Regulation Parts: 4m(1)
Tags: CPO, Delegation
Issuance Date:
Description:

No-action relief granted to an entity (Ltd.) from CPO registration under CEA Section 4m(1) with respect to certain commodity pools; provided, that it delegates its CPO responsibilities to a registered CPO, subject to certain conditions.

PDF Image19-04 Letter Type: No-Action
Division: DSIO
Regulation Parts: 4m(1)
Tags: CPO, Delegation
Issuance Date:
Description:

No-action relief granted to an entity (LLC) from CPO registration under CEA Section 4m(1) with respect to certain commodity pools; provided, that it delegates its CPO responsibilities to a registered CPO, subject to certain conditions.

PDF Image19-03 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.7
Tags:
Issuance Date:
Description:

CPO exempt from the requirement to provide quarterly account statements within 30 ends of the end of each quarter, provided that the CPO provides monthly account statements within 45 days of the end of each month. ?

PDF Image19-02 Letter Type: No-Action
Division: DSIO
Regulation Parts: 4m(1)
Tags: CPO, Registration
Issuance Date:
Description:

No-Action relief granted to an entity from registering as a CPO or CTA with regard to managing the investing activities of its affiliate, which owns mineral and royalty interests in crude oil and natural gas properties.

PDF Image19-01 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.7(b)(2)
Tags:
Issuance Date:
Description:

Exemptive relief granted to a CPO to permit the CPO to provide monthly account statements to participants in specific commodity pools it operates within 45 days of the month end, rather than quarterly account statements within 30 days of the quarter end as required by Commission Regulation 4.7(b)(2).

PDF Image18-37 Letter Type: No-Action
Division: DSIO
Regulation Parts: 4m(1)
Tags:
Issuance Date:
Description:

No-Action relief granted to the general partner of a commodity pool from the Commission’s registration requirements, and to delegate certain of its responsibilities to a registered CPO.

PDF Image18-36 Letter Type: No-Action, Exemption
Division: DSIO
Regulation Parts: 4.7
Tags:
Issuance Date:
Description:

Exemptive relief granted to a CPO to permit the CPO to provide monthly account statements to participants within 45 days of the month end rather than quarterly account statement within 30 days of the quarter end pursuant to Commission regulation 4.7(b)(2

PDF Image18-35 Letter Type: No-Action
Division: DSIO
Regulation Parts: 4m(1)
Tags:
Issuance Date:
Description:

No-Action relief granted to the general partner of a commodity pool from the Commission’s registration requirements, and to delegate certain of its responsibilities to a registered CPO. ?

PDF Image18-34 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.7
Tags:
Issuance Date:
Description:

Exemptive relief granted to a CPO to permit the CPO to provide monthly account statements to participants within 45 days of the month end rather than quarterly account statement within 30 days of the quarter end pursuant to Commission regulation 4.7(b)(2). ?

PDF Image18-33 Letter Type: No-Action
Division: DMO
Regulation Parts: 150.4
Tags: Aggregation, Positions
Issuance Date:
Description:

This no-action letter provides relief from compliance with certain position aggregation requirements under Commission Regulation 150.4.?