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CPOs/CTAs
The CPO of an exempt pool, with the CPO as the only participant, requested relief from the audit requirement in Regulations 4.7(b)(3) and 4.22(d)(1). ...
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 ...
The CPO of an exempt commodity pool with three participants, all of whom are managing members of the CPO, requested relief from the audit requirement ...
Ryan Magee fraudulently solicited and accepted at least $2 million from at least 30 individuals from the U.S. and Canada, claiming that he would trade ...
Exemptive relief granted to a CPO of a pool from the audit requirements of Commission regulation 4.22(d) with respect to the financial statements in the ...
The Requestors asked for relief from the registration requirements in the Commodity Exchange Act (“CEA”)1 for certain intermediaries located outside of the United States (“Foreign ...
The CPO of an exempt commodity pool with two participants, a controlling principal of the CPO and an LLC owned by the principal, requested relief ...
Cox allegedly fraudulently solicited prospective customers on websites such as Craigslist and falsely claimed that he had been a successful full-time futures trader for years ...
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 ...