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All Letters

Date
All Letters
09/29/1987
87-05 PDF Image; Section 2(a)(1)(A) and Regulation 4.10(d); No-Action
The Division of Trading and Markets granted CPO registration no-action relief to a school and its agents and employees in connection with an educational marketing club, provided certain conditions were met. (T&M)
11/09/1987
87-08 PDF Image; Section 4m(1); No-Action
The Division of Trading and Markets granted CPO registration no-action relief to the general partners of a partnership because of the longstanding investment affiliation of the partners, the nature of the commodity interest trading, and the limited assets which would be dedicated to commodity futures and options. (T&M)
12/02/1987
87-09 PDF Image; Regulations 30.6 and 166.2; No-Action
The Division of Trading and Markets granted no-action relief from requirements applicable to risk disclosure and discretionary authorization to FCMs and IBs in connection with clients solicited prior to January 4, 1988, the effective date of the amendment to Regulation 166.2, subject to limitations outlined by Division staff. (T&M)
12/04/1987
87-11 PDF Image; Section 4m(1); No-Action
The Division of Trading and Markets granted CPO registration no-action relief in connection with the operation of an employee retirement plan. (T&M)

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