Exemptive relief granted to a CPO of pools that began operations during the fourth quarter of 2015 from providing annual reports for fiscal year 2015; provided, that the CPO provide an annual report that covers the period from the beginning of operations to the end of fiscal year 2016 after the end of fiscal year 2016. The CPO has provided waivers from all participants of the pools.

The CPO of a commodity pool requested, and DSIO granted pursuant to Regulations 4.12(a) and 140.93, relief from Regulations 4.7(b)(3) and 4.22(d), which require the filing and distribution of audited financial statements, for fiscal year 2015 and requested to be permitted to file with NFA and distribute to participants audited financial statements for the pool covering the period from July 21, 2015 to December 31, 2016.

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 1, 2015, the date it began operations, to December 31, 2016. DSIO granted relief conditioned upon the future filing and distribution of a certified Annual Report for the period from December 1, 2015 to December 31, 2016.

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 August 3, 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 the period from August 3, 2015 to December 31, 2016.

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 August 1, 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 the period from August 1, 2015 to December 31, 2016.

Request for Relief from Presenting Annual Reports in Accordance with A. May 19, 2015 letter to the Division of Swap Dealer and Intermediary Oversight, and amended by subsequent correspondence on September 11, 2015, requesting on behalf of B, the commodity pool operator of C (the Pool), requesting that the CPO be granted relief to use D in lieu of A in the preparation of the financial reports for the Pool.

The CPO of two commodity pools, both exempt under Regulation 4.7, requested exemptive relief from the annual report requirement in Regulation 4.7(b)(3), to allow the filing of an annual report for the pools for the period from October 2, 2014, the date the pools began trading, to December 31, 2015; DSIO granted relief pursuant to Regulations 4.12(a) and 140.93 conditioned upon the future filing and distribution of a certified Annual Report for that time period.

Exemptive relief that was provided in CFTC Staff Letter 14-49 was granted with respect to: (1) additional proprietary commodity pools operated by a CPO referenced in that letter; and (2) a proprietary commodity pool operated by another CPO referenced in that letter. The CPOs provided the same representations provided in CFTC Staff Letter 14-49 and represented that they would comply with the conditions of the relief provided in that letter.

Exemptive relief granted to a CPO of a pool from the audit requirements of Commission regulation 4.22(d) with respect to the financial statements in the 2014 annual report of the pool. The participants in the pool are the COO of the CPO and the COO’s self-directed IRA and the CPO has provided waivers from the participants.

Exemptive relief granted to a CPO of a pool from the audit requirements of Commission regulation 4.22(d) with respect to the financial statements in the annual reports of the pool. The participants in the pool are three charitable remainder trusts formed by the sole owner and CEO of the CPO, who is also the sole income beneficiary of the trusts. The trustee of the trusts is the President of the CPO. The CPO has provided a waiver from the trustee.