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
11/29/1993	93-111 ; Section 4m(1);; No-Action The Division of Trading and Markets granted CPO registration no-action relief to a limited partnership that served as a general partner of a commodity pool, where the pool?s other general partner was also the general partner of the limited partnership, and a registered CPO. (T&M)
11/24/1993	94-46 ; Regulation 4.7;; No-Action The Division of Trading and Markets permitted a CPO to treat a non-QEP as a QEP, where the non-QEP was the sole shareholder, director and president of a registered CPO and CTA. (T&M)
11/24/1993	94-19 ; 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 employees of the CPO in executive or trading positions, had investment acumen, and had ready access to information about the pool?s operations. (T&M)
11/08/1993	94-08 ; Section 4m(1);; No-Action The Division of Trading and Markets granted CPO registration no-action relief to one general partner of a commodity pool, where the other general partner was a registered CPO and both general partners were owned by family members. (T&M)
11/03/1993	93-108 ; Section 4m(1);; No-Action The Division of Trading and Markets granted CTA registration no-action relief to a trust company acting as a sub-adviser to offshore investment companies. (T&M)
10/29/1993	93-113 ; Section 4d;; No-Action The Division of Trading and Markets granted FCM registration no-action relief to a foreign firm that planned to introduce accounts of its foreign banking clients to its U.S. affiliates and other firms, each of which was a registered FCM. (T&M)
10/07/1993	93-102 ; Section 4m(1);; No-Action The Division of Trading and Markets granted CPO registration no-action relief to a director of a commodity pool, where the director was registered as an associated person and all of the other directors were non-U.S. persons. (T&M)
10/05/1993	93-100 ; Section 4m(1);; No-Action The Division of Trading and Markets granted CPO registration no-action relief to the general partners of a limited partnership, where the partnership?s commodity interest trading will be solely incidental to its securities trading and the partnership will commit no more than five percent of its assets to establish its commodity interest positions. (T&M)
09/30/1993	93-99 ; Regulation 1.19;; No-Action The Division of Trading and Markets permitted an FCM to enter into OTC options on certain foreign currencies as principal with its parent bank. (T&M)
09/28/1993	93-98 ; Section 4m(1);; No-Action The Division of Trading and Markets provided CPO registration no-action relief to a natural person general partner of an offshore fund, who was already registered as an AP and where the other general partners were non-U.S. persons. (T&M)