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 |
|---|---|
93-76  ; Regulation 1.57;; No-Action The Division of Trading and Markets permitted an FCM and its guaranteed IB to provide execution, but not clearing, services for certain institutional customers introduced by the IB. (T&M) |
|
| 93-88 ; Sections 4d, 4f and 4g;; No-Action The Division of Trading and Markets permitted a transferor FCM to perform certain execution and clearing services on behalf of a transferee FCM during an interim period following a transfer of customer funds from one firm to the other. (T&M) |
|
| 93-80 ; Section 4k and Regulation 3.12;; No-Action The Division of Trading and Markets permitted an FCM which had taken over several branch offices of a second FCM to use an abbreviated registration procedure with NFA regarding the APs who transferred to it from the second FCM. (T&M) |
|
| 93-70 ; Section 4m(1);; No-Action The Division of Trading and Markets granted CPO registration no-action relief to a limited partnership that served as a general partner of a commodity pool, where the pool?s other general partner was also the general partner of the limited partnership, and a registered CPO. (T&M) |
|
| 93-73 ; Section 4m(1);; No-Action The Division of Trading and Markets granted CPO registration no-action relief to a general partner of a commodity pool, where the four other general partners of the pool were registered CPOs. (T&M) |
|
| 93-64 ; Section 4d;; No-Action The Division of Trading and Markets granted IB registration no-action relief to a person registered as a CPO and a CTA, where it recommended certain managed futures investments to its clients, received a ?finder?s fee? for doing so, and returned the finder?s fee to its clients. (T&M) |
|
| 93-58 ; Section 4m(1);; No-Action The Division of Trading and Markets granted CPO registration no-action relief to a pool?s general partner, where the pool consisted of 11 family members and longtime friends who were all accredited investors and the only new participants allowed would be family members? grandchildren. (T&M) |
|
| 93-66 ; Section 5;; No-Action The Division of Trading and Markets granted no-action relief to the University of Iowa to permit the operation of a non-profit electronic market (the Iowa Electronic Markets) organized by the faculty of a university for the purpose of academic research. Relief from the CEA and CFTC rules was given with regard to submarkets concerning economic indicators and political elections. |
|
| 93-60 ; Sections 4g(b) and(c), 5a(b)(1)(B) and 5a(a)(8) and Regulation 1.35(d)(4)(i);; No-Action The Division of Trading and Markets granted no-action relief to the Chicago Mercantile Exchange to permit it not to comply with the requirement in Reg. ?1.35(d)(4) that trading cards must contain pre-printed member identification. However, this no-action relief was limited to trading in the exchange's Rolling Spot futures and options contracts. The relief expired automatically six months after the introduction of the rolling spot contracts. |
|
| 93-54 ; Regulations 4.21, 4.22 and 4.23;; No-Action The Division of Trading and Markets provided CPO disclosure relief, where the pool consisted of high net worth investors, limited partnerships having high net worth investors, and several trust and IRA accounts, and where each limited partner had a personal relationship with one or more principals of the CPO. (T&M) |