Title: 12-37

File Link
/csl/12-37/download

CSL Letter Types
No-Action

CSL Divisions
DSIO

CSL Regulation Parts
4.13

CSL Tags
CPO
Exemption
Registration

CSL Issuance Date

Description

No-Action Relief related failure to register with the Commission as a CPO against a CPO that is a Family Office within the meaning and intent of 17 CFR § 275.202(a)(11)(G)-1, as amended.