Title: 13-04

File Link
/csl/13-04/download

CSL Letter Types
No-Action

CSL Divisions
DSIO

CSL Regulation Parts
4d
4m

CSL Tags
CPO
CTA
FCM
IB
Interstate
Unregistered

CSL Issuance Date

Description

Relief for Additional Agent Affiliates from Registration as an Introducing Broker under Section 4d or a Commodity Trading Advisor under Section 4m of the Commodity Exchange Act.