WebNov 16, 2024 · The CFTC expressly provided in the adopting release, and in the rule amendments, that a foreign CPO may “stack” exemptions, claiming 3.10(c) exemptive relief for pools with no U.S. investors, and, for example, Rule 4.13(a)(3) relief with respect to de minimis use of commodity interests by pools with U.S. investors. Web(2) If a person operates one or more commodity pools described in paragraph (a)(3) of this section, and one or more commodity pools for which it must be, and is, registered as a …
CFTC Adopts Rule Changes and Rescinds Rule 4.13(a)(4)
WebSep 24, 2014 · Letter 14-116 provides relief from the CFTC Rule 4.7(b) requirement that an offering be exempt pursuant to section 4(a)(2) of the Securities Act and be offered solely to qualified eligible persons ... WebDec 19, 2024 · The amendment to Rule 4.13(a)(3) is consistent with existing CFTC guidance and is not intended to affect the substance of the exemption. 15. Changes from … salem ma recycling schedule
Effective September 8 - New CFTC Requirement for CPOs
WebJun 8, 2012 · A manager claiming an exemption from CPO registration under Rule 4.13 (a) (3) is required to operate every fund it advises such that each fund meets (i) trading limitations, (ii) investor suitability requirements and (iii) offering and marketing restrictions. Exemption Discussion (i) Trading Limitations WebSummary. The Commodity Futures Trading Commission (“CFTC”) has for many years imposed limits on the size of speculative position limits that any one person may hold in certain futures contracts and options on futures contracts. Post-Dodd-Frank, the CFTC has for not quite as many years attempted also to bring similar position limits to the ... WebFeb 28, 2012 · Currently, a fund of funds relying on Rule 4.13(a)(3) must use one of the "look-through" approaches outlined in an appendix to the Rule, which illustrate the … things to do near long beach ca