CFTC Staff Letters
CFTC Staff Letters provides Letters from 2008 and later. For Letters published before 2008 visit the Letters Archive page.
Description | |
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16-42 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.7(b)(3), 4.22 Tags: Annual Report, CPO, Exemptions, Pool Participant, Reporting Issuance Date: Description: A CPO requested exemptive relief from the annual report requirement in Regulation 4.7(b)(3), to allow it to file an annual report for its exempt pool for the period from December 23, 2015, the date the pool began trading, to December 31, 2016. DSIO granted relief conditioned upon the future filing and distribution of a certified Annual Report covering that period. |
16-41 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.7(b)(3), 4.22 Tags: Annual Report, CPO, Exemptions, Pool Participant, Reporting Issuance Date: Description: A CPO requested exemptive relief from the annual report requirement in Regulation 4.7(b)(3), to allow it to file an annual report for its exempt pool for the period from November 2, 2015, the date the pool began trading, to December 31, 2016. DSIO granted relief conditioned upon the future filing and distribution of a certified Annual Report for that 14-month period |
16-40 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.7(b)(3), 4.22 Tags: Annual Report, CPO, Exemptions, Pool Participant, Reporting Issuance Date: Description: The CPO of an exempt pool, with the CPO as the only participant, requested relief from the audit requirement in Regulations 4.7(b)(3) and 4.22(d)(1). DSIO granted relief for the pool’s 2015 annual report, conditioned upon the filing of an uncertified annual report for the 2015 fiscal year that otherwise complies with Regulation 4.7(b)(3). |
16-39 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.7(b)(3), 4.22 Tags: Annual Report, CPO, Exemptions, Pool Participant, Reporting Issuance Date: Description: Exemptive relief for a CPO from auditing a pool’s 2015 annual report. |
16-38 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.7(b)(3), 4.22 Tags: Annual Report, CPO, Exemptions, Pool Participant, Reporting Issuance Date: Description: Exemptive relief for a CPO from auditing a pool’s 2015 annual report. |
16-37 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.7(b)(3), 4.22 Tags: Annual Report, CPO, Exemptions, Pool Participant, Reporting Issuance Date: Description: Exemptive relief for a CPO from auditing a pool’s 2015 annual report |
16-36 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.7(b)(3), 4.22 Tags: Annual Report, CPO, Exemptions, Pool Participant, Reporting Issuance Date: Description: Exemptive relief for a CPO from auditing a pool’s 2015 annual report. |
16-35 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.7(b)(3), 4.22 Tags: Annual Report, CPO, Exemptions, Pool Participant, Reporting Issuance Date: Description: Exemptive relief for a CPO from auditing a pool’s 2015 annual report. |
16-34 | Letter Type: Interpretative Division: DSIO Regulation Parts: 1a(10), 4.10(d)(1) Tags: Commodity Pool, CPO, CTA Issuance Date: Description: Interpretative relief granted that states that a pool that is only funded and traded by two brothers is not a commodity pool |
16-33 | Letter Type: No-Action Division: DMO Regulation Parts: 17 Tags: FCM, Reporting Issuance Date: Description: No-action relief related to data masking of information required to be reported under OCR Final Rule. |