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RELEASE: pr6485-12

  • December 21, 2012

    CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter for Certain Persons Required to Register Pursuant to Recent Changes to Commission Regulations

    Washington, DC — The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a letter providing that DSIO will not recommend that the CFTC take enforcement action against certain commodity pool operators (“CPOs”), commodity trading advisors (“CTAs”) or any principal or associated person (“AP”) thereof who will be required to register with the CFTC pursuant to the recent amendment to Commission Regulation 4.5 or the rescission of Commission Regulation 4.13(a)(4).

    Last Updated: December 21, 2012

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