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
05/21/1993	93-50 ; 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 a second general partner, a registered CPO, assumed joint and several liability with the first general partner, and the first general partner limited its involvement with pool activities. (T&M)
05/21/1993	93-49 ; 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 a second general partner, a registered CPO, assumed joint and several liability with the first general partner, and the first general partner limited its involvement with pool activities. (T&M)
05/12/1993	93-47 ; Section 4m(1);; No-Action The Division of Trading and Markets granted CPO registration no-action relief to certain general partners of a fund, where the general partner in whom all CPO functions resided would be registered as a CPO. (T&M)
05/03/1993	93-59 ; Section 4m(1);; No-Action The Division of Trading and Markets provided CPO registration relief to the general partners of a registered broker dealer, where the pool would invest no more than .5 percent of its assets directly in commodity interests, for hedging purposes, and no more than 5 percent of its assets directly in another commodity pool. (T&M)
05/03/1993	93-39 ; Section 4m(1);; No-Action The Division of Trading and Markets granted CPO and CTA registration no-action relief to the general partners of a partnership, where commodity interest trading was incidental to the partnership?s overall trading, each limited partner was an accredited investor, and the limited partners had known one or the other of the general partners for at least five years. (T&M)
04/29/1993	93-44 ; Regulations 4.21 and 4.22;; No-Action The Division of Trading and Markets provided a CPO with relief from disclosure and financial reporting requirements to Regulation 4.7 pool participants. (T&M)
04/27/1993	93-52 ; Section 4m(1);; No-Action The Division of Trading and Markets granted CPO and CTA registration no-action relief in connection with operating and advising an offshore fund, where no more than 35 percent of the fund?s units of participation will be offered or sold to U.S. persons. (T&M)
04/26/1993	93-42 ; 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 had been the finance director of the pool and was a CPA with almost 20 years experience. (T&M)
04/20/1993	93-36 ; Regulations 1.55, 30.6, 33.7 and 190.10;; No-Action The Division of Trading and Markets provided an FCM temporary relief from obtaining risk disclosure statements and other agreements prior to receiving a bulk transfer of accounts from another FCM. (T&M)
04/12/1993	93-34 ; Regulation 3.10;; No-Action The Division of Trading and Markets provided a CPO with relief from listing an individual and a company as principals, where they had contributed less than 10 percent of the capital contributions but currently owned more than ten percent of the capital due to distributions. (T&M)