CFTC Staff Letters
CFTC Staff Letters provides Letters from 2008 and later. For Letters published before 2008 visit the Letters Archive page.
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14-44 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.22 Tags: Pool Participant, Reporting Issuance Date: Description: The CPO of a commodity pool requested relief from the Annual Report filing and certification requirements in Regulations 4.22(c) and (d). In support of its request, the CPO represented that the commodity pool is currently proprietary, consisting solely of the managing member’s initial capital contribution, though the CPO is actively soliciting contributions from potential participants. DSIO granted exemptive relief pursuant to Regulations 4.12(a) and 140.93 from the certification requirement in Regulation 4.22(d), conditioned upon the CPO’s filing of an unaudited Annual Report otherwise in compliance with Regulation 4.22(c). |
14-43 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.7(b)(3), 4.22 Tags: Annual Report, CPO, Exemptions, Pool Participant, Reporting Issuance Date: Description: The CPO of a commodity pool requested relief from the Annual Report filing and certification requirements in Regulations 4.7(b)(3) and 4.22(d). The CPO requested permission to file an uncertified annual report for fiscal year 2013. The CPO represented that the pool has two participants who are principals of the CPO. DSIO granted exemptive relief pursuant to Regulations 4.12(a) and 140.93 permitting the filing and distribution of an uncertified annual report for fiscal year 2013. |
14-42 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.7(b)(3), 4.22 Tags: Annual Report, CPO, Exemptions, Pool Participant, Reporting Issuance Date: Description: The CPO of a commodity pool requested relief from the Annual Report filing and certification requirements in Regulations 4.7(b)(3) and 4.22(d). The CPO requested permission to file an uncertified annual report for fiscal year 2013. The CPO represented that the pool has two participants who are principals of the CPO. DSIO granted exemptive relief pursuant to Regulations 4.12(a) and 140.93 permitting the filing and distribution of an uncertified annual report for fiscal year 2013. |
14-40 | Letter Type: Interpretative Division: DSIO Regulation Parts: 1.16 Tags: Issuance Date: Description: Interpretation with respect to certain auditor independence requirements under Commission Regulation 1.16. |
14-37 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.7(b)(3), 4.22 Tags: Annual Report, CPO, Exemptions, Pool Participant, Reporting Issuance Date: Description: The CPO of a commodity pool requested relief from the Annual Report and certification requirements in Regulations 4.7(b)(3) and 4.22(d), in order to permit it to file an Annual Report for the pool for the period from the date the pool began trading, July 12, 2013 to December 31, 2014. In support of its request, the CPO submitted waivers from the pool’s sole non-proprietary participant evidencing their consent to the relief requested. DSIO granted relief pursuant to Regulations 4.12(a) and 140.93 conditioned upon (1) the distribution of unaudited financial statements and tax information for the 2013 fiscal year to the non-proprietary participant, as the CPO proposed in its request, and (2) the future filing and distribution to the participant of a certified Annual Report for the period from July 8, 2013 (the date the pool received non-proprietary funds) to December 31, 2014, in compliance with Regulations 4.7(b)(3) and 4.22(d). |
14-36 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.21, 4.24, 4.25 Tags: Disclosure, Disclosures Issuance Date: Description: The CPO of a commodity pool organized as a Delaware statutory trust requested relief to provide investors with disclosure documents for certain of the series of the trust separate from the disclosure document for the rest of the trust’s series due to compliance requirements pursuant to securities laws and regulations. The Division granted exemptive relief. |
14-35 | Letter Type: Exemption Division: DSIO Regulation Parts: 4.21, 4.24, 4.25 Tags: Disclosure, Disclosures Issuance Date: Description: The CPO of a commodity pool organized as a Delaware statutory trust requested relief to provide investors with disclosure documents for certain of the series of the trust separate from the disclosure document for the rest of the trust’s series due to compliance requirements pursuant to securities laws and regulations. The Division granted exemptive relief. |
14-34 | Letter Type: No-Action Division: DSIO Regulation Parts: 1.3(ggg)(4) Tags: De Minimis, Exception, Swap Dealer Issuance Date: Description: Staff No-Action Relief: Revised Relief from the De Minimis Threshold for Certain Swaps with Utility Special Entities |
14-33 | Letter Type: No-Action Division: DMO, DSIO Regulation Parts: 1.35 Tags: Cash, Forward Issuance Date: Description: Time-Limited No-Action Relief for Certain Members of a Designated Contract Market from the Requirement to Record Oral Communications, Pursuant to Commission Regulation 1.35(a), in Connection with the Execution of Swap Transactions |
14-32 | Letter Type: No-Action Division: DSIO Regulation Parts: 3.3 Tags: CCO Issuance Date: Description: No-Action Relief from Compliance with Certain Requirements of Commission Regulation 3.3 Relating to the Chief Compliance Officer Annual Report (Mitsui & Co. Precious Metals, Inc.) |