CFTC Staff Letters Archive

CFTC Staff Letters Archive provides Letters from 2007 and earlier. For Letters published 2008 or later visit the All Letters page.

There are no Advisory Letters or Other Written Communications for 2007 or earlier.

Date	PDF and Description
06/08/2001	01-57 ; Rule 4.22(f)(1);; No-Action A registered CPO requested, under Rule 4.22(f)(1), an extension of time to file its audited report. The audited reports of investee pools would not be available until mid July 2001. The CPO submitted a statement from the pool's accountant and provided information regarding the missing investee pools. Based on supporting documentation, the request for relief was granted for the CPO until July 31, 2001.
06/08/2001	01-56 ; Rule 4.22(f)(1);; No-Action A registered CPO requested, under Rule 4.22(f)(1), an extension of time to file its audited report. The audited reports of investee pools would not be available until mid June 2001. The CPO submitted a statement from the pool's accountant and provided information regarding the missing investee pools. Based on supporting documentation, the request for relief was granted for the CPO until June 29, 2001.
06/08/2001	01-55 ; Rule 4.22(f)(1);; No-Action A registered CPO requested, under Rule 4.22(f)(1), an extension of time to file its audited report. The audited reports of investee pools would not be available until mid or late June 2001. The CPO submitted a statement from the pool's accountant and provided information regarding the missing investee pools. Based on supporting documentation, the request for relief was granted for the CPO until July 16, 2001.
06/08/2001	01-54 ; Rule 4.22(f)(1);; No-Action A registered CPO requested, under Rule 4.22(f)(1), an extension of time to file its audited report. The audited reports of investee pools would not be available until late June 2001. The CPO submitted a statement from the pool's accountant and provided information regarding the missing investee pools. Based on supporting documentation, the request for relief was granted for the CPO until July 16, 2001.
06/08/2001	01-53 ; Rule 4.22(f)(1);; No-Action A registered CPO requested, under Rule 4.22(f)(1), an extension of time to file its audited report. The audited reports of investee pools would not be available until late June 2001. The CPO submitted a statement from the pool's accountant and provided information regarding the missing investee pools. Based on supporting documentation, the request for relief was granted for the CPO until June 29, 2001.
06/08/2001	01-52 ; Rule 4.22(f)(1);; No-Action A registered CPO requested, under Rule 4.22(f)(1), an extension of time to file its audited report. The audited reports of investee pools would not be available until late June 2001. The CPO submitted a statement from the pool's accountant and provided information regarding the missing investee pools. Based on supporting documentation, the request for relief was granted for the CPO until July 10, 2001.
06/08/2001	01-51 ; Rule 4.22(f)(1);; No-Action A registered CPO requested, under Rule 4.22(f)(1), an extension of time to file its audited report. The audited reports of investee pools would not be available until mid to late June 2001. The CPO submitted a statement from the pool's accountant and provided information regarding the missing investee pools. Based on supporting documentation, the request for relief was granted for the CPO until June 29, 2001.
06/08/2001	01-50 ; Rule 4.22(f)(1);; No-Action A registered CPO requested, under Rule 4.22(f)(1), an extension of time to file its audited report. The audited reports of investee pools would not be available until late June 2001. The CPO submitted a statement from the pool's accountant and provided information regarding the missing investee pools. Based on supporting documentation, the request for relief was granted for the CPO until July 16, 2001.
05/31/2001	01-48 ; ?5g of the CEA, 7 U.S.C. 7b-2, as amended by CFMA of 2000, New Part 160 of CFTC Regulations, 17 CFR 160, published as final rules at 66 Fed. Reg. 21,236;; No-Action The CFTC privacy rules, to be published at 17 CFR Part 160, apply to operators of hedge funds that are registered with the CFTC as Commodity Pool Operators (CPOs), with a compliance date of March 31, 2002. CPOs are not subject to the privacy rules of the Federal Trade Commission (FTC), with a compliance date of July 1, 2001.
05/30/2001	01-47 ; Section 2(a);; No-Action letter was issued permitting the offer and sale in the United States of the mini futures contract based on the FTSE 100 Index traded on The London International Financial Futures and Options Exchange.