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
05/06/1994	95-17; ; CEAct 4m(1), Rules 4.14(a)(6), 4.31;; No-Action Where the sole principal and AP of a registered introducing broker exercises discretionary authority over 80 percent of the accounts introduced by the IB, the IB will be required to register as a CTA
05/06/1994	94-72 ; Regulation 4.7;; No-Action The Division of Trading and Markets provided relief to a CPO from the ?ten percent limitation? of Regulation 4.7. (T&M)
05/06/1994	94-56 ; Regulation 4.7;; No-Action The Division of Trading and Markets permitted a CPO to treat certain non-QEPs as QEPs, where the non-QEPs were founders and officers of the CPO and directly involved in the daily management of the CPO. (T&M)
04/29/1994	94-64 ; Regulation 3.10;; No-Action The Division of Trading and Markets relieved a CPO from the requirement to list as a principal an officer of the CPO, whose sole responsibility was to prepare the pool?s income tax returns. (T&M)
04/29/1994	94-55 ; Section 4m(1);; No-Action The Division of Trading and Markets granted CPO registration no-action relief to a corporate general partner who had no operational or trading responsibilities with respect to the pool. (T&M)
04/29/1994	94-54 ; Section 4m(1);; No-Action The Division of Trading and Markets granted CPO registration no-action relief to a limited partnership that was serving as one of 12 general partners of the two commodity pools at issue. (T&M)
04/28/1994	94-71 ; Section 4m(1);; No-Action The Division of Trading and Markets granted CPO registration no-action relief to a firm serving as a general partner of two affiliated pools, where the firm?s general partner itself was registered as a CPO. (T&M)
04/18/1994	94-40 ; Section 4m(1);; No-Action The Division of Trading and Markets granted CPO registration no-action relief to a natural person general partner, where he was the president, sole shareholder, and director of the general partner that was serving as the registered CPO of the pool. (T&M)
03/30/1994	94-35 ; Section 4m(1);; No-Action The Division of Trading and Markets granted CPO and CTA registration no-action relief to the sole U.S. director of an offshore fund who, among other things, was not a managing director of the fund and would not be involved with the commodity interest trading of the fund. (T&M)
03/29/1994	94-39 ; Regulation 4.7;; No-Action The Division of Trading and Markets permitted a CPO to treat certain non-QEPs as QEPs, where the non-QEPs were high-level key employees of the CPO or its affiliates. (T&M)