CPOs/CTAs

You state that “A” is owned by “C” and “D”, who are brothers, with each owning % of “A”. You state that “B” was formed ...

Consistent with CFTC Staff Letters 12-37 and 14-143, and its past practice in this area, the Division granted no-action relief from CPO and CTA registration ...

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 ...

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 ...

You request, on behalf of “A”, relief from the requirement in Commission regulation 4.22(d) to have an independent public accountant audit the financial statements in ...

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 ...

The relief granted in this letter is conditioned on the CPO’s distribution to the Pool participant, and filing with NFA, an Annual Report containing combined ...

The relief granted in this letter is conditioned on the CPO’s distribution to Pool participants, and filing with NFA, an Annual Report for the fiscal ...

The participant has agreed in writing to waive the right to receive separate audited financial statements for the Pool for the 2015 fiscal year and ...

The CPO of an exempt commodity pool requested relief from the audit requirement in Regulation 4.22(d)(1), on the basis that the pool’s two participants are ...