CFTC Staff Letters

CFTC Staff Letters provides Letters from 2008 and later. For Letters published before 2008 visit the Letters Archive page.

PDF Description
PDF Image 24-05 Letter Type: Exemption
Division: MPD
Regulation Parts: 4.7
Tags: Commodity Pool, CPO, Disclosures, Exemptions, Funds, Pool Participant, Reporting
Issuance Date:
Description:

Exemptive relief permitting a limited number of non-QEP senior employees of the CPO to be treated as QEPs, subject to several specific conditions, for purposes of investing in employee securities companies the CPO operates as 4.7 pools.


See also: Request Letter
Requester(s): TWO SIGMA
PDF Image 24-04 Letter Type: Exemption
Division: MPD
Regulation Parts: 4.7(b)(3), 4.22
Tags: Annual Report, Commodity Pool, CPO
Issuance Date:
Description:

Exemptive relief from the requirement in Regulations 4.7(b)(3) and 4.22(c) to provide an audited Annual Report and Financial Statements when liquidating a commodity pool, if the pool instead provides a combined 13-month Annual Report and Financial Statements.


See also: Request Letter
Requester(s): III CAP
PDF Image 24-01 Letter Type: No-Action, Exemption
Division: DCR
Regulation Parts: 4d(f), 1.20, 1.49, 22.5
Tags:
Issuance Date:
Description:

No-action relief for LCH SA with regard to Regulations 1.20(g)(4) and 22.5, and an exemption from the requirements of Regulation 1.49(d)(3) for customer accounts held at the Banque de France.


Requester(s): LCHSA
PDF Image 23-04 Letter Type: Exemption
Division: MPD
Regulation Parts: 4.7, 4.7(b)(2), 4.7(b)(3)
Tags: Commodity Pool, CPO, Pool Participant, Reporting
Issuance Date:
Description:

Exemptive relief for a CPO from the requirement to provide quarterly account statements within 30 days of the end of each quarter for certain pools, provided that the CPO provides monthly account statements within 45 days of the end of each month for such pool.


See also: Request Letter
Requester(s): CGA, EIMS
PDF Image 21-16 Letter Type: Exemption
Division: MPD
Regulation Parts: 4.7(b)(2)
Tags: Commodity Pool, Compliance, CPO, Disclosure, Exemption, Funds, Pool Participant, Reporting
Issuance Date:
Description:

Exemptive relief for a CPO from the requirement to provide quarterly account statements within 30 days of the end of each quarter for one of its pools, provided that the CPO provides monthly account statements within 45 days of the end of each month for such pool.


PDF Image 21-07 Letter Type: Exemption
Division: MPD
Regulation Parts: 1.10, 1.16
Tags: Financial Reports, IB
Issuance Date:
Description:

Exemptive relief to registered Introducing Broker for filing a certified financial report under Regulation 1.10 and Regulation 1.16.


PDF Image 19-03 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 Image 19-01 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 Image 18-36 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 Image 18-34 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).