CFTC Staff Letters

Exemptive relief for a CPO from the requirement to provide quarterly account statements within 30 days of the end of each quarter for certain pools, provided that the CPO provides monthly account statements within 45 days of the end of each month for such pool.

Exemptive relief for a CPO from the requirement to provide quarterly account statements within 30 days of the end of each quarter for one of its pools, provided that the CPO provides monthly account statements within 45 days of the end of each month for such pool.

Exemptive relief to registered Introducing Broker for filing a certified financial report under Regulation 1.10 and Regulation 1.16.

CPO exempt from the requirement to provide quarterly account statements within 30 ends of the end of each quarter, provided that the CPO provides monthly account statements within 45 days of the end of each month.  

Exemptive relief granted to a CPO to permit the CPO to provide monthly account statements to participants in specific commodity pools it operates within 45 days of the month end, rather than quarterly account statements within 30 days of the quarter end as required by Commission Regulation 4.7(b)(2).

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

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).  

Exemptive relief from the provisions of Commission Regulation 4.7 to prepare and distribute quarterly account statements within 30 days of the end of the quarter and instead prepare monthly account statements within 45 days of month end.  

Exemption Pursuant to Commission Regulation 1.16(f)(2) for Audit Standards Requirements for FCM Certified Financial Statements for Year Ending December 31, 2018.  

Commission Regulation 30.7 – Staff No-Action Position Regarding Futures Commission Merchant’s Deposit of Customer-Owned Securities as Margin with a Foreign Broker.