CFTC Staff Letters
CFTC Staff Letters provides Letters from 2008 and later. For Letters published before 2008 visit the Letters Archive page.
Description | |
---|---|
![]() |
Letter Type: No-Action Division: OGC Regulation Parts: 2(a)(1)(C) Tags: Jurisdiction, SEC Issuance Date: Description: Eurex Deutschlands Request for No-Action Relief in Connection with the Offer and Sale in the United States of Eight Futures Contracts Based on Security Indices Derived from the Dow Jones STOXX 600 Index. |
![]() |
Letter Type: Exemption Division: 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 three commodity pools, whose shares had been publicly offered and listed for trading on a national securities exchange. Prior to issuance of the Division’s letter, the pools had been operated in compliance with Part 4. As is discussed in the letter, relief granted by the Division was in the nature of substituted compliance with the regulations from which relief was sought. Exemptive relief was also provided with respect to future commodity pools with the same structural and operational features as the CPO’s existing pools. |
![]() |
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. |