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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.
05/18/2017
17-28 PDF Image; CFTC Regulation 4.7(b)(3); Exemption
Exemptive relief granted to a CPO from filing with NFA and distributing to participants annual reports for certain pools, subject to certain conditions.
05/18/2017
17-29 PDF Image; CFTC Regulation 4.7(b)(3); Exemption
Exemptive relief granted to a CPO from filing with NFA and distributing to participants annual reports for certain pools, subject to certain conditions.
07/24/2017
17-35 PDF Image; CFTC Regulations 39.11, 39.12, 39.13, 39.15, 39.19, and 39.21; Exemption
Exemption from specified Part 39 regulations applicable to derivatives clearing organizations due to LedgerX’s fully-collateralized clearing model.
07/27/2017
17-44 PDF Image; Commission regulation 4.7(b)(2); Exemption
Exemptive relief granted to a CPO to permit the CPO to provide monthly account statements to participants within 45 days of the month end rather than quarterly account statement within 30 days of the quarter end pursuant to Commission regulation 4.7(b)(2).