CFTC Staff Letters
CFTC Staff Letters provides Letters from 2008 and later. For Letters published before 2008 visit the Letters Archive page.
| Description | |
|---|---|
 08-01 |
Letter Type: Exemption Division: DSIO, DCIO Regulation Parts: 4.21, 4.22, 4.23 Tags: Disclosure, Pool Participant, Reporting Issuance Date: Description: The Division of Clearing and Intermediary Oversight granted exemptive relief from certain of the Part 4 regulations to the registered CPO of a commodity pool, whose shares the CPO intended to publicly offer and to list for trading on a national securities exchange. As is discussed in the letter, this relief was in the nature of substituted compliance with those regulations. |