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 18-05 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.7
Tags:
Issuance Date:
Description:

Exemptive relief from the requirement in Commission regulation 4.7(b)(2) to distribute quarterly account statements to participants within 30 days after the end of each quarter. Instead, the operator will provide the information required to be contained in a quarterly account statement on a monthly basis, and within 45 days after the end of each month.


PDF Image 17-53 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.7
Tags:
Issuance Date:
Description:

Exemptive Relief from certain Commission Regulation 4.7 reporting obligations as they relate to disclosure to pool participants


PDF Image 17-44 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.7
Tags: CPO, Exemption
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 17-41 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.7(b)(3)
Tags:
Issuance Date:
Description:

Exemptive relief granted to a CPO from filing with NFA and distributing to participants annual reports for certain pools, subject to certain conditions.


PDF Image 17-35 Letter Type: Exemption
Division: DCR
Regulation Parts: 39.11, 39.12, 39.13, 39.15, 39.19, 39.21
Tags: Eligibility, Financial Resources, Public Information, Reporting, Risk
Issuance Date:
Description:

Exemption from specified Part 39 regulations applicable to derivatives clearing organizations due to LedgerX’s fully-collateralized clearing model.


PDF Image 17-29 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.7(b)(3)
Tags:
Issuance Date:
Description:

Exemptive relief granted to a CPO from filing with NFA and distributing to participants annual reports for certain pools, subject to certain conditions.


PDF Image 17-28 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.7(b)(3)
Tags:
Issuance Date:
Description:

Exemptive relief granted to a CPO from filing with NFA and distributing to participants annual reports for certain pools, subject to certain conditions.


PDF Image 17-24 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.7, 4.33
Tags: CPO, Exemption, Recordkeeping
Issuance Date:
Description:

Exemptive Relief from the Main Business Office Requirement in Commission Regulations 4.33 and 4.7(c)(2) to allow commodity trading advisors (CTAs) to use Third-party Recordkeepers.


PDF Image 17-23 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.7, 4.27
Tags: CPO, Exemption, Large Pool, Reporting
Issuance Date:
Description:

Exemptive relief granted to a CPO from filing with NFA and distributing to NFA annual reports for certain subsidiary pools, subject to certain conditions.


PDF Image 17-20 Letter Type: Exemption
Division: DSIO
Regulation Parts: 4.7(b)(3), 4.22
Tags:
Issuance Date:
Description:

Exemptive relief from the requirement in Commission 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.