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CPOs/CTAs

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 ...
The CPO of an exempt commodity pool requested relief from the audit requirement in Regulation 4.22(d)(1), on the basis that the sole participant is the ...
Exemptive relief granted to a CPO of certain segregated series of a pool from the audit requirements of Commission regulation 4.22(d) with respect to the ...
Exemptive relief that was provided in CFTC Staff Letter 14-49 was granted with respect to additional proprietary commodity pools operated by a CPO referenced in ...
These proceedings arise from material misstatements and omissions made by Equinox in the offer and sale of units in the Frontier Fund (“TFF”), a publicly ...
The CFTC requires any person that claims an exemption from CPO registration under CFTC Regulation 4.13(a)(1), 4.13(a)(2), 4.13(a)(3), 4.13(a)(5), an exclusion from CPO registration under ...
Based on feedback from CPO Members, NFA has made some slight enhancements to the CPO Form PQR, available in EasyFile, effective for the quarter ending ...
The Division of Swap Dealer and Intermediary Oversight provided no-action relief from CPO and CTA registration to the Board of Trustees of a pension plan ...
CFTC rules require principals involved in futures or swaps deals with registered entities to submit fingerprints so the FBI can look for any criminal past. ...
Tawachi made a series of materially false claims to bolster the credibility of his trading system, including making false claims about the profitability of ...
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