CFTC Staff Letters

No-action relief granted to an entity (LLC) from CPO registration under CEA Section 4m(1) with respect to certain commodity pools; provided, that it delegates its CPO responsibilities to a registered CPO, subject to certain conditions.

No-Action relief granted to an entity from registering as a CPO or CTA with regard to managing the investing activities of its affiliate, which owns mineral and royalty interests in crude oil and natural gas properties.

No-Action relief granted to the general partner of a commodity pool from the Commission’s registration requirements, and to delegate certain of its responsibilities to a registered CPO.

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

No-Action relief granted to the general partner of a commodity pool from the Commission’s registration requirements, and to delegate certain of its responsibilities to a registered CPO.  

This no-action letter provides relief from compliance with certain position aggregation requirements under Commission Regulation 150.4. 

No-Action Relief to Eurex Clearing AG to allow certain modifications to the acknowledgment letter that Eurex is required to obtain from the Deutsche Bundesbank

Conditional No-Action Relief to Eurex Clearing AG and its FCM Clearing Members to hold customer margin in the form of securities at Clearstream Banking AG

This no-action letter provides relief from compliance with certain position aggregation requirements under Commission Regulation 150.4.   

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