CFTC Staff Letters Archive

CFTC Staff Letters Archive provides Letters from 2007 and earlier. For Letters published 2008 or later visit the All Letters page.

There are no Advisory Letters or Other Written Communications for 2007 or earlier.

Date	PDF and Description
06/23/1994	94-75 ; Regulation 4.7;; No-Action The Division of Trading and Markets permitted a CPO to treat a non-QEP as a QEP, where the non-QEP was a limited partnership created as a family investment vehicle by a QEP investor in the pool. (T&M)
06/22/1994	94-65 ; Section 4m(1);; No-Action The Division of Trading and Markets granted CPO registration no-action relief in connection with the operation of an offshore pool, where four of the pool?s directors were non-U.S. persons and the fifth was a U.S. person who was registered as an AP of the pool?s CTA. (T&M)
06/09/1994	94-81 ; Section 4m(1);; No-Action The Division of Trading and Markets granted CTA registration no-action relief to a registered investment adviser, where the firm provided commodity interest trading advice to entities such as state-regulated insurance companies or ERISA-regulated pension plans. (T&M)
06/08/1994	94-53 ; Regulations 1.55 and 30.6;; No-Action The Division of Trading and Markets permitted the use of certain interim risk disclosure statements by FCMs pending final action by the Commission. (T&M)
06/06/1994	94-90 ; Section 4m(1);; No-Action The Division of Trading and Markets granted CPO registration no-action relief to a corporate general partner of a commodity pool, where the other general partner was a corporation registered as a CPO and both corporations had common principals and APs. (T&M)
06/01/1994	94-62 ; Section 4m(1);; No-Action The Division of Trading and Markets granted CPO registration no-action relief to the fiduciaries of a retirement plan operated by a registered FCM. (T&M)
06/01/1994	94-52 ; Section 4m(1);; No-Action The Division of Trading and Markets granted CPO and CTA registration no-action relief to a registered investment adviser operating a group trust comprised of pension and profit sharing plan assets. (T&M)
05/31/1994	94-69 ; Section 4m(1);; No-Action The Division of Trading and Markets granted CPO registration no-action relief to one of five general partners of a fund, where the other general partners were registered as CPOs. (T&M)
05/23/1994	94-70 ; Section 4m(1);; No-Action The Division of Trading and Markets granted CPO registration no-action relief to a fund?s general partner based on the longstanding relationships of the investors to the general partner and the general partner?s directors. (T&M)
05/17/1994	94-74 ; Regulation 4.7;; No-Action The Division of Trading and Markets permitted a CPO to treat a non-QEP as a QEP, where the non-QEP was listed as a principal and registered as an AP of the firm the CPO had engaged to provide it with investment advisory services. (T&M)