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Exemptive Letters

Date
Exemptive Letters
01/26/2017
17-04 PDF Image; Regulation 4.22; Exemption
Exemptive Relief from the Requirement in Commission Regulation 4.22(c)(7) to Obtain Participant Waivers to provide Unaudited Financial Statements when Liquidating a Series of a Registered Investment Company
03/22/2017
17-20 PDF Image; Regulation 4.7 and 4.22; Exemption
Exemptive relief from the requirement in Commission Regulations 4.7(b)(3) and 4.22(c) to provide an audited Annual Report and Financial Statements when liquidating a commodity pool, if the pool instead provides a combined 13 month Annual Report and Financial Statements.
03/21/2017
17-23 PDF Image; CFTC Regulation 4.7(b)(3); Exemption
Exemptive relief granted to a CPO from filing with NFA and distributing to NFA annual reports for certain subsidiary pools, subject to certain conditions.
04/20/2017
17-24 PDF Image; Regulation 4.33, Regulation 4.7(c)(2); Exemption
Exemptive Relief from the Main Business Office Requirement in Commission Regulations 4.33 and 4.7(c)(2) to allow commodity trading advisors (CTAs) to use Third-party Recordkeepers.