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
03/25/1994	94-34 ; Regulation 4.7;; No-Action The Division of Trading and Markets provided relief from the ten percent investment limitation to the CPO of a Regulation 4.7 exempt pool. (T&M)
03/24/1994	94-63 ; 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: (a) four employees who had significant investment experience, and (b) an irrevocable trust whose grantor was a QEP and a member of the board of directors of the CPO. (T&M
03/22/1994	94-37 ; Regulation 4.7;; No-Action The Division of Trading and Markets permitted a CPO to treat a non-QEP foundation as if it were a QEP, where the foundation had been created and was being operated by QEPs. (T&M)
03/17/1994	94-36 ; 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 certain family members, key employees, and key professional advisors of the CPO. (T&M)
03/16/1994	94-30 ; Section 4m(1);; No-Action The Division of Trading and Markets granted CPO registration no-action relief to the administrative general partner of an offshore fund, where the investment general partner was registered as a CPO and both general partners agreed to certain conditions. (T&M)
03/16/1994	94-27 ; Section 4m(1);; No-Action The Division of Trading and Markets granted CPO registration no-action relief to certain general partners of a limited partnership that intended to trade commodity interests, where the other general partner would be registered as a CPO and the no-actioned general partners were not involved in any of the partnership?s activities. (T&M)
02/15/1994	94-23 ; Section 4m(1);; No-Action The Division of Trading and Markets granted CPO registration no-action relief to the operator of partnerships formed for real estate investment purposes, who intended to trade commodity interests solely for hedging purposes. (T&M)
01/24/1994	94-22 ; Section 4m(1);; No-Action The Division of Trading and Markets granted CPO registration no-action relief to the director of an offshore fund that sought to trade commodity interests, where the other three directors of the fund, and its investors, were foreign. (T&M)
01/24/1994	94-21 ; Section 4m(1);; No-Action The Division of Trading and Markets granted CPO and CTA registration no-action relief to the general partnership of a limited partnership, where the partnership would trade commodity interests solely for hedging purposes, the limited partners were large institutional investors, and 95 percent of the partnership?s assets came from majority-owned subsidiaries that were financial, insurance, or mortgage companies. (T&M)
12/28/1993	94-14 ; 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 a trust, the pool?s financial officer, and the pool?s counsel. (T&M)