The Division of Swap Dealer and Intermediary Oversight granted exemptive relief pursuant to Commission regulations 4.12(a) and 140.93 to a commodity pool operator (the “CPO”) of a commodity pool operating pursuant to an exemption under Commission regulation 4.7 that has only two participants, both of which have discretionary investment authority over a portion of the commodity pool’s portfolio according to a plan establishing by the CPO’s control affiliate’s Chief Investment Officer and one of which is also a part owner of the CPO and its control affiliate, from the requirement to have an i

The Division of Swap Dealer and Intermediary Oversight granted exemptive relief pursuant to Commission regulations 4.12(a) and 140.93 to a commodity pool operator of two commodity pools operating pursuant to an exemption under Commission regulation 4.7 that began operations in July 2013 from the requirement to distribute an annual report to the participants of each commodity pool and to have the financial statements in each commodity pool’s annual report be audited by an independent public accountant pursuant to Commission regulations 4.7(b)(3) and 4.22(d) with respect to the annual report

The Division of Swap Dealer and Intermediary Oversight granted exemptive relief pursuant to Commission regulations 4.12(a) and 140.93 to a commodity pool operator of a commodity pool operating pursuant to an exemption under Commission regulation 4.7 that undertook a significant change in its underlying strategy in 2013, subsequently gave its existing investors an opportunity to liquidate and suspended all fees beyond operational expenses, and began trading with the new models in the latter half of 2013, from the requirement to have an independent public accountant audit the financial statem

The operator of a commodity pool requested relief from the Annual Report filing and certification requirements in Regulations 4.22(c) and (d), or alternatively, relief allowing them to file a certified Annual Report covering the period from April 25, 2013, to December 31, 2014.

The CPO of a commodity pool requested, and DSIO granted pursuant to Regulations 4.12(a) and 140.93, relief from the Annual Report filing and certification requirements in Regulations 4.7(b)(3) and 4.22(d) for fiscal year 2013 due to the pool’s ongoing significant exposure to an FCM bankruptcy and permission to file uncertified annual reports in lieu thereof.

The CPO of a commodity pool requested, and DSIO granted pursuant to Regulations 4.12(a) and 140.93, relief from the Annual Report filing and certification requirements in Regulations 4.22(c) and 4.22(d) for fiscal year 2013 and permission to file uncertified annual reports in lieu thereof and attached a waiver from the non-proprietary participant.

No-action relief regarding format of acknowledgment letters and format and content of daily reports for DCO winding down operations in anticipation of vacating its DCO registration.

The CPO of a commodity pool requested, and DSIO granted pursuant to Regulations 4.12(a) and 140.93, 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 of a commodity pool requested, and DSIO granted pursuant to Regulations 4.12(a) and 140.93, relief from the Annual Report filing and certification requirements in Regulations 4.7(b)(3) and 4.22(d) for fiscal year 2013.

The CPOs of a commodity pool requested, and DSIO granted pursuant to Regulations 4.12(a) and 140.93, relief from the Annual Report filing requirements in Regulation 4.22(c) for fiscal year 2013 and requested to be permitted to file with NFA and distribute to participants an annual report for the pool covering the period from January 1, 2013 to March 24, 2014, when the pool permanently ceased trading.