Commodity Futures Trading Commission

2,362 documents, newest first — showing 1,801–2,000.

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• 2000-01-07CFTC Staff Letter 00-07: Withdrawal from CPO Registration and Exemption from Rule 4.22(d) for YY
• 2000-01-06CFTC Staff Letter 00-10: No-Action Position for University Trading Club
• 1999-12-30CFTC Staff Letter 00-05: Exemption from QEP Criteria for Rule 4.7(a)
• 1999-12-27CFTC Staff Letter 00-03: Exemption for Registered CPO to Treat Employee Pool as QEP
• 1999-12-23CFTC Staff Letter 00-04: Exemption from QEP Criteria of Rule 4.7 for Additional Pools
• 1999-12-23CFTC Staff Letter 00-84: Disclosure Document Delivery Requirement for Introducing Brokers Featuring CTA Performance
• 1999-12-22CFTC Staff Letter 99-66: Exemption from Rule 4.22(d) Certification Requirement for Small Pool
• 1999-12-22CFTC Staff Letter 00-09: Exemption for CPO/CTA to Treat Certain Employees as QEPs
• 1999-12-22CFTC Staff Letter 00-06: Exemption to Treat Key Employee as QEP Under Rule 4.7(a)
• 1999-12-22CFTC Staff Letter 00-02: Exemption from Disclosure Document and Annual Report Requirements for Registered CPO
• 1999-12-17CFTC Staff Letter 99-63: No-Action Relief for SIMEX ETS Access in the United States
• 1999-12-16CFTC Staff Letter 99-67: No-Action Relief for Automated Electricity Trading System
• 1999-12-16CFTC Staff Letter 99-68: Insolvency of Clearing and Non-Clearing Futures Commission Merchants
• 1999-12-14CFTC Staff Letter 99-65: Exemption from Rule 4.23 Books and Records Location Requirement for CPO Applicant X
• 1999-12-13CFTC Staff Letter 99-61: Exemption from Disclosure and Record-Keeping Rules for Offshore Commodity Pools
• 1999-12-10CFTC Staff Letter 99-60 (No-Action): Denial of Exemption for CTA Recordkeeping Failure
• 1999-12-09CFTC No-Action Letter 00-22: Montreal Exchange S&P/TSE 60 Stock Index Futures Contract
• 1999-12-07CFTC Staff Letter 99-62: Indefinite Exemption from Annual Report Time Requirements for Fund of Funds
• 1999-12-06CFTC No-Action Letter 99-56: Exemption from CTA Registration for Investment Adviser Providing Incidental Commodity Advice to Foreign Sub-Funds
• 1999-12-06CFTC Staff Letter 99-64: No-Action for Guaranteed IB Introducing Customers to Non-Guarantor FCMs
• 1999-11-30CFTC Staff Letter 99-55: Exemption for CPO to Treat Managing Member as Qualified Eligible Participant
• 1999-11-30CFTC Staff Letter 99-49 (No-Action): CPO permitted to treat a trust as a QEP where the grantor was the CFO of a company owned by a founding limited partner of the Rule 4.7 exempt pool
• 1999-11-30CFTC Staff Letter 00-01: Exemption for CTA to Treat Bankruptcy Reorganization Trust as Qualified Eligible Client
• 1999-11-30CFTC Staff Letter 99-50: CPO Permitted to Treat Employee as QEP Under Rule 4.7
• 1999-11-30CFTC Staff Letter 99-52: Exemption Permitting a CPO to Treat a Non-QEP Employee as a Qualified Eligible Participant
• 1999-11-30CFTC Staff Letter 99-54: Exemptive Relief for CPO to Treat Relatives of Principal as QEPs
• 1999-11-30CFTC Staff Letter 99-53: Exemptive Relief for CPO to Treat Non-QEP Investors as Qualified Eligible Participants
• 1999-11-29CFTC Staff Letter 00-43: No-Action Position on CPO Registration for Entity X
• 1999-11-16CFTC Staff Letter 99-51: Exemption from Rules 4.21 and 4.22 for Affiliated CPOs Operating Investee Pools
• 1999-11-15CFTC Staff Letter 99-57: Exemption from Rule 4.23(a) Books and Records Location Requirement
• 1999-11-12CFTC Staff Letter 99-69: No-Action Relief for IPE's Energy Trading System II
• 1999-10-07CFTC Staff Letter 99-47: No-Action Position for Registered IB Transferring Customer Funds
• 1999-09-29CFTC Staff Letter 99-46: No-Action Position on CPO and CTA Registration for Family Partnership
• 1999-09-15CFTC Staff Letter 99-44: No-Action Relief from CTA Registration for Energy Management Services
• 1999-09-15CFTC Staff Letter 99-45: No-Action Position on CPO Registration for Private Investment Fund Operator
• 1999-09-15CFTC Staff Letter 99-43: No-Action Position on CPO Registration for Family Partnership
• 1999-09-15CFTC Staff Letter 99-58: Exemption for CPO to Treat Affiliate Employees as QEPs
• 1999-08-31CFTC Staff Letter 99-38: Exemption from Filing Certified Annual Report for Commodity Pool Operator
• 1999-08-31CFTC Staff Letter 99-39: Exemption from Certified Annual Report for Partnership
• 1999-08-27CFTC Staff Letter 99-41: Exemption from $200,000 Capital Limitation for CPOs
• 1999-08-20CFTC Staff Letter 99-32: Interim Financial and Segregation Interpretation No. 4-2 Risk-Based Auditing
• 1999-08-16CFTC Staff Letter 99-34: Exemption for CPO to Treat Non-QEP Employee as QEP
• 1999-08-16CFTC Staff Letter 99-35: Exemption from Books and Records Location Requirements for CPO and CTA
• 1999-08-11CFTC Staff Letter 99-42: Denial of Request to Treat Individual as Qualified Eligible Participant
• 1999-08-11CFTC Staff Letter 99-59: Exemption to Treat an LLC as a Qualified Eligible Client
• 1999-08-11CFTC Staff Letter 00-31: Continued Relief from Rules 4.21, 4.22, and 4.23(a)(10) and (a)(11) for Registered CPO
• 1999-08-05CFTC Staff Letter 99-40: Exemption for CPO to Maintain Books and Records at Trading Manager's Office
• 1999-07-16CFTC Staff Letter 99-29: Exemption to Treat Non-QEP Employees of a Trading Manager as Qualified Eligible Participants
• 1999-07-16CFTC Staff Letter 99-36: Exemption for CPO to Treat Non-QEP Officer as Qualified Eligible Participant
• 1999-07-14CFTC Staff Letter 99-30: No-Action Position on CPO Registration for Co-General Partner
• 1999-07-14CFTC Staff Letter 99-27: Exemption from QEP Criteria for Commodity Pool Participants
• 1999-07-14CFTC Staff Letter 99-25: No-Action Letter for HKFE Taiwan Index Futures Contract Offered in the United States
• 1999-07-09CFTC Staff Letter 99-28: No-Action Request Regarding Introducing Broker Registration for Grain Elevators
• 1999-07-07CFTC Staff Letter 99-26: No-Action Position on Post-Execution Order Allocation for Small Commodity Pools
• 1999-06-03CFTC Staff Letter 99-24: Denial of Waiver to Exclude Settlement Amount from Adjusted Net Capital Liabilities
• 1999-05-20CFTC Staff Letter 00-29: Clerical Capacity Exception to AP Registration for Order Takers
• 1999-05-19CFTC Staff Letter 99-23: Denial of No-Action Request and Grant of Exemptive Relief Regarding Entity O
• 1999-05-11CFTC Staff Letter 99-21: CTA Performance Presentation Requirements for Interest Income and Wrap Fees
• 1999-04-27CFTC Staff Letter 99-22: Denial of Rule Change or Exemptive Relief for IRA and Sibling-Owned Accounts
• 1999-04-05CFTC Staff Letter 99-16: Exemption from 1998 Annual Report Audit Requirement for Commodity Pool A
• 1999-04-05CFTC Staff Letter 99-17: Denial of No-Action Relief for Including Proprietary Accounts in Composite Performance Tables
• 1999-03-29CFTC Staff Letter 99-15: Exemption from Rule 4.22(d) Certification for Small Pool with No Trading
• 1999-03-23CFTC Letter No. 99-18: Denial of Exemption from Rule 155.3(c)(3) Order Ticket Delivery Requirements
• 1999-03-12CFTC Staff Letter 99-13: Treatment of Accounts Funded at 90 Percent or Greater as Part of the Fully-Funded Subset
• 1999-03-12CFTC Staff Letter 99-12: Exemption from Certified Annual Report Requirement for Partnership
• 1999-03-03CFTC Staff Letter 99-14: Declining to Extend No-Action Letter for Eurex Automated Trading
• 1999-02-24CFTC Staff Letter 99-11: Denial of No-Action Relief for New Eurex Terminal Placement in the U.S.
• 1999-02-11CFTC Staff Letter 99-19: Exemption from Rule 4.21 Disclosure Document Delivery for Registered CPO
• 1999-02-11CFTC Staff Letter 99-10: Exemption from CTA Registration for Introducing Broker Under Rule 4.14(a)(6)
• 1999-02-04CFTC Staff Letter 99-09: DSROs exempted from monthly subordinated loan reports
• 1999-01-25CFTC Staff Letter 99-07: Registration Requirements for Proposed Hedging Vehicle
• 1999-01-11CFTC Staff Letter 99-20: Exemption for CPO from Annual Report Filing and Books and Records Location Rules
• 1998-12-31CFTC Staff Letter 99-04: Confirmation of Continued CTA Registration Exemption Under Rule 4.14(a)(8)
• 1998-12-23CFTC Staff Letter 99-01: Application of Rule 1.57(a) to Entities Registered as Both IBG and CPO
• 1998-12-23CFTC Staff Letter 99-02: IB Registration Requirements for Commodity Futures Seminar Organizers
• 1998-12-23CFTC Staff Letter 99-03: Exemption for Registered CPO to Treat Employees as Qualified Eligible Participants
• 1998-12-22CFTC Staff Letter 99-08: No-Action Position on Clearing Activities for Eurex Deutschland
• 1998-12-14CFTC Staff Letter 98-83 (No-Action): Exemption from 10 Percent Restriction for CPO X
• 1998-12-14CFTC Staff Letter 98-82: Exemption for Treating Certain Employees as Qualified Eligible Participants
• 1998-11-30CFTC Staff Letter 98-81: No-Action on Treating Non-QEP Investors as QEPs in Master Fund
• 1998-11-25CFTC Staff Letter 98-80: No-Action Confirmation for Offshore Fund Director and CTA Disclosure Exemption
• 1998-11-20CFTC Staff Letter 98-79: Denial of No-Action Relief from CPO and CTA Registration Requirements
• 1998-11-18CFTC Staff Letter 98-76: No-Action Request for Commodity Trading Advisor and Introducing Broker Registration Denied
• 1998-11-12CFTC Staff Letter 98-77: Denial of Request to Treat Non-QEP Trusts as Qualified Eligible Participants
• 1998-11-12CFTC Staff Letter 98-75: Denial of Exemptive Relief to Treat Non-QEP Trusts as Qualified Eligible Participants
• 1998-10-23CFTC Staff Letter 98-78: Exemption for CPO to Accept Non-QEP Investor and Exceed 10% Asset Limit
• 1998-10-22CFTC Staff Letter 99-06: Exemption from CPO Disclosure and Reporting Requirements for Affiliated Investee Funds
• 1998-10-22CFTC Staff Letter 98-74: Exemption for CPO to Treat Non-QEP Trust as Qualified Eligible Participant
• 1998-10-08CFTC Staff Letter 98-73: Declining No-Action Request for Gold and Silver Transactions
• 1998-09-29CFTC Staff Letter 98-71: No-Action Request Declined for Foreign Board of Trade Order Entry Systems
• 1998-09-29CFTC Staff Letter 98-72: Division Declines to Reconsider Denial of No-Action Request by Introducing Broker
• 1998-09-24CFTC Staff Letter 98-69: Exemption for Non-QEP Investors in Rule 4.7 Commodity Pool
• 1998-09-15CFTC Staff Letter 98-67: Exemption for CPO to Treat Certain Employees as Qualified Eligible Participants
• 1998-08-24CFTC Staff Letter 98-65: Exemption to Treat Certain Employees as Qualified Eligible Participants
• 1998-08-21CFTC Staff Letter 98-61: Denial of No-Action Relief for LLC Seeking DTB Membership and Terminal Placement
• 1998-08-21CFTC Staff Letter 98-70: Order Routing Systems
• 1998-08-19CFTC Staff Letter 98-62: Denial of No-Action Relief for DTB Terminal Placement
• 1998-08-17CFTC Staff Letter 98-63: Exemption for CPO to Treat Employee Partnership as Qualified Eligible Participant
• 1998-08-10CFTC Staff Letter 98-66: Denial of No-Action Request for CPO and CTA Registration Relief
• 1998-08-04CFTC Staff Letter 98-60: Exemptive Relief for CPO to Accept Non-QEP Investment and Waive Ten Percent Limitation
• 1998-07-22CFTC Staff Letter 98-46: Exemption from Books and Records Location Requirements for CPO/CTA
• 1998-07-22CFTC Staff Letter 98-47: Exemptive Relief for CPO to Treat Parents of Sole Owner as QEPs
• 1998-06-24CFTC Staff Letter 98-56: Confirmation of Prior Relief for Predecessor Firms and QEP Exemption for Non-QEP Employee
• 1998-06-24CFTC Staff Letter 98-54: Exemptive Relief for CPO to Treat Employees as Qualified Eligible Participants
• 1998-06-22CFTC Staff Letter 98-50: Exemption from Reporting Requirements for CPO X
• 1998-06-22CFTC Staff Letter 98-48: Exemptive Relief for CPO to Treat Trust as Qualified Eligible Participant
• 1998-06-22CFTC Staff Letter 98-53: Exemptive Relief for CPO to Treat Employees as Qualified Eligible Participants
• 1998-06-22CFTC Staff Letter 98-59: Exemptive Relief for CPO to Treat Family Trust as Qualified Eligible Participant
• 1998-06-22CFTC Staff Letter 98-55: Exemptive Relief for CPO to Treat Employees and Fund as Qualified Eligible Participants
• 1998-06-22CFTC Staff Letter 98-51: Exemptive Relief for Treatment of Investor as Qualified Eligible Participant
• 1998-06-16CFTC Staff Letter 98-39: Denial of Exemptive Relief for QEP Treatment and Ten Percent Limitation
• 1998-06-16CFTC Staff Letter 98-40: Denial of Request to Treat CPO Employee as Qualified Eligible Participant
• 1998-06-12CFTC Staff Letter 98-49: Exemption for Non-QEP Investors and Ten Percent Limitation Waiver
• 1998-06-12CFTC Letter No. 98-57: Denial of No-Action Request for IB Commission Splitting with Grain Elevators
• 1998-06-12CFTC Staff Letter 98-58: No-Action Relief for Successor Entity
• 1998-06-05CFTC Staff Letter 98-38: Exemptive Relief for CPO to Treat Children as Qualified Eligible Participants
• 1998-06-05CFTC Staff Letter 98-37: Exemption from Ten Percent Limitation on Investments in Exempt Pools under Rule 4.7
• 1998-06-03CFTC Staff Letter 98-42: Status of DTB No-Action Letter Regarding Terminal Placement Following Merger with SOFFEX
• 1998-06-03CFTC Staff Letter 98-41: No-Action Letter for OM Stockholm AB OMX Stock Index Futures Contract
• 1998-05-22CFTC Staff Letter 98-34: Exemptive Relief for CPO to Treat Certain Employees as Qualified Eligible Participants
• 1998-05-22CFTC Staff Letter 98-36: Exemption for CTA from Rule 4.33 Books and Records Location Requirement
• 1998-05-12CFTC Staff Letter 98-35: Exemptive Relief for CPO to Treat Non-QEPs as Qualified Eligible Participants
• 1998-05-05CFTC Staff Letter 98-33: No-Action Position on IB Registration Requirement for Continued Receipt of Finder's Fees
• 1998-04-28CFTC Staff Letter 98-32: Confirmation of Exemptive Relief for Registered CPO J
• 1998-04-27CFTC Staff Letter 98-30: Exemptive Relief from Books and Records Location Requirements for CPO and CTA
• 1998-04-07CFTC Staff Letter 98-26: Denial of No-Action Request for CPO Registration Relief for LLC Managing Member
• 1998-04-01CFTC Staff Letter 98-29: Denial of No-Action Request Regarding Principal Listing and Disclosure Document Amendments
• 1998-03-31CFTC Staff Letter 98-28: Confirmation of Exemptive Relief from Rule 4.7(a) Ten Percent Investment Limitation
• 1998-03-31CFTC Staff Letter 98-25: Denial of No-Action Request for CPO Registration Relief
• 1998-03-25CFTC Staff Letter 98-22: Use of Former IB Name by Branch Offices of Another IB
• 1998-03-24CFTC Staff Letter 98-24: Exemption from Rule 4.21 Disclosure Document Delivery for Master Fund CPO
• 1998-03-24CFTC Staff Letter 98-27: Exemption for CTA from Rule 4.33 Books and Records Location Requirement
• 1998-03-24CFTC Staff Letter 98-23: Exemptive Relief for CPO/CTA Books and Records Location
• 1998-03-24CFTC Staff Letter 98-20: No-Action Position on CPO Registration and Rule 4.7(a) Exemptions
• 1998-03-23CFTC Staff Letter 98-21: Denial of No-Action Request for CTA Exemption from Rule 4.31 Disclosure Document Delivery
• 1998-03-16CFTC Staff Letter 98-19: Denial of No-Action Request for CPO and CTA Registration Relief
• 1998-03-12CFTC Staff Letter 98-17: Requirement to Register Associated Person's Home as Branch Office
• 1998-03-12CFTC Staff Letter 98-18: Denial of No-Action Request for CPO and CTA Registration Relief
• 1998-02-27CFTC Staff Letter 98-15: Exemptive Relief for CPO to Accept Non-QEP Investment and Exceed 10% Limitation
• 1998-02-27CFTC Staff Letter 98-16: Exemptive Relief for CPO to Accept Non-QEP Investor and Exceed 10% Investment Limitation
• 1998-02-27CFTC Staff Letter 98-14: Exemptive Relief for CPO X Regarding Insider and Outsider Funds
• 1998-02-23CFTC Staff Letter 98-11: Denial of Request to Treat Investor as Qualified Eligible Participant
• 1998-02-05CFTC Staff Letter 98-10: Exemptive Relief for CPO to Treat Certain Investors as QEPs
• 1998-01-26CFTC Staff Letter 98-06: Denial of Reconsideration for QEP Relief Under Rule 4.7(a)
• 1998-01-22CFTC Staff Letter 98-07: Registration Requirements for Entity Advising Farmers on Hedging via Futures
• 1998-01-12CFTC Staff Letter 98-05: No-Action Relief for Repurchase Agreements in Interest Earning Facility Program
• 1998-01-07CFTC Staff Letter 98-01: Part 35 Relief for U.S. Eligible Swaps Participants
• 1997-12-30CFTC Staff Letter 98-12: Denial of Relief Under Part 30 Order for Firm Domiciled Outside the United Kingdom
• 1997-12-29CFTC Staff Letter 97-99: No-Action Relief for CPO Treating Affiliated Employees as Qualified Eligible Participants
• 1997-12-24CFTC Staff Letter 98-02: Denial of Request for Relief from Commodity Pool Operator Registration
• 1997-12-24CFTC Staff Letter 98-03: Denial of Registration Relief for Farm Management Company Using Options to Hedge Client Farms
• 1997-11-24CFTC Staff Letter 97-91: No-Action Relief Denied for Agricultural Marketing Service Provider
• 1997-11-21CFTC Staff Letter 97-94: No-Action Relief from CPO and CTA Registration for ERISA Group Trust Sponsor and Trustee
• 1997-11-21CFTC Staff Letter 97-92 (No-Action): Relief for CPO Regarding Non-QEP Employee Investor and Ten Percent Restriction
• 1997-11-18CFTC Staff Letter 97-97: Ability of an FCM to Register as a CPO or CTA
• 1997-11-18CFTC Staff Letter 97-96: No-Action Relief from CPO and CTA Registration for Offshore Fund Investment Manager
• 1997-11-13CFTC Staff Letter 98-09: No-Action for CPO Registration Relief Under Rule 4.13(a)(2)
• 1997-11-12CFTC Staff Letter 98-08 (No-Action): Exemption from Rule 4.23(a) Books and Records Location Requirement
• 1997-11-10CFTC Staff Letter 97-98: No-Action Relief for CPO Investment Limitation and CPO/CTA Registration
• 1997-10-29CFTC Staff Letter 97-90: No-Action Relief from Disclosure and Reporting Rules for CPO T
• 1997-10-29CFTC Staff Letter 97-87: Exemption from Disclosure and Reporting Rules for a Registered CPO's Fund
• 1997-10-27CFTC Staff Letter 97-89: No-Action Position for CPO and CTA Registration Exemption
• 1997-10-17CFTC Staff Letter 97-84: Continued Relief Under Rule 4.7(a) for Non-QEP Investor
• 1997-10-10CFTC Staff Letter 97-88: No-Action Relief from CTA Registration for Subadvisor to Canadian Funds
• 1997-10-08CFTC Staff Letter 97-85: No-Action for Separately Incorporated Affiliates of an FCM Referring Business
• 1997-09-29CFTC Staff Letter 97-79: No-Action Position on CPO Registration for General Partner
• 1997-09-25CFTC Staff Letter 97-75: No-Action Relief for CPO Admitting Non-QEP Trust to Pool Under Rule 4.7(a)
• 1997-09-24CFTC Staff Letter 97-81: Denial of No-Action Request for Senior Vice President to be Listed as Principal
• 1997-09-24CFTC Staff Letter 97-78: No-Action for Family Limited Partnership Regarding Commodity Pool and QEP Status
• 1997-09-24CFTC Staff Letter 97-76: No-Action Relief for CPO Treating Certain Employees as QEPs Under Rule 4.7(a)
• 1997-09-23CFTC Staff Letter 97-82: No-Action Relief from CPO and CTA Registration for Trust Investment Manager and Trustee
• 1997-09-17CFTC Staff Letter 97-95: No-Action Relief for Employee Partnership Under Rule 4.7
• 1997-09-16CFTC Staff Letter 97-77: No-Action Relief from CPO Registration for T Operating R
• 1997-09-15CFTC Staff Letter 97-86: No-Action Relief for Rule 4.7 Exempt Pool Admission of Employee Investment Vehicle
• 1997-09-10CFTC Staff Letter 97-80: FCM CTA Registration Exclusion for Managed Accounts
• 1997-09-05CFTC Staff Letter 97-83: No-Action Relief from CPO Registration for Fund and Board of Managers
• 1997-08-29CFTC Staff Letter 97-71: No-Action Letter for Simex MSCI Taiwan Index Futures Contract
• 1997-08-28CFTC Staff Letter 97-72: No-Action for CPO Claiming QEP Status for Joint Account Under Rule 4.7(a)
• 1997-08-25CFTC Staff Letter 97-74: Regulatory Requirements for Forming an FCM or IB
• 1997-08-21CFTC Staff Letter 97-69: Exemption from Quarterly and Annual Reporting for Commodity Pool
• 1997-08-20CFTC Staff Letter 97-73: No-Action for Directors of Fund X and Exemption from Record Location Rule
• 1997-08-19CFTC Staff Letter 97-70: Exemption from Disclosure, Reporting, and Recordkeeping Requirements for a Family-Only Commodity Pool
• 1997-08-06CFTC Staff Letter 97-68: Confirmation of Rule 4.31 Relief for CTA Advising Fund with Non-U.S. Persons and U.S. QECs
• 1997-08-01CFTC Staff Letter 97-67: No-Action Relief for CPOs Admitting Non-QEP Trusts to Rule 4.7(a) Pools
• 1997-07-31CFTC Staff Letter 97-65: General Partner of Cayman Islands Limited Partnership Not Required to Register as CPO
• 1997-07-15CFTC Staff Letter 97-62: Exemption from Rule 4.21 Disclosure and Rule 4.23(a) Record Location Requirements
• 1997-07-15CFTC Staff Letter 97-63: Exclusion of News Wire Service from CTA Definition for Commodity Pool Data Listings
• 1997-07-15CFTC Staff Letter 97-64: Application of Rules 4.7, 4.31, and 4.33 to Registered CTAs Located Outside the United States
• 1997-07-14CFTC Staff Letter 97-100: No-Action Position for CTA Registration Exemption for Series Trust Investment Manager
• 1997-07-09CFTC Staff Letter 97-66: Exemption from Books and Records Location Requirements for CPO/CTA
• 1997-07-02CFTC Staff Letter 97-57: No-Action Relief for CPO Operating Exempt Pool with Non-QEP Principal Investor
• 1997-07-01CFTC Staff Letter 97-60: No-Action Relief for CPO Registration and QEP Criteria for Funds I, II, and III
• 1997-06-26CFTC Staff Letter 97-56: No-Action Relief from CPO Registration for Sole General Partner of Limited Partnership
• 1997-06-24CFTC Staff Letter 97-52: Limited Partnership Not Considered a Commodity Pool
• 1997-06-24CFTC Staff Letter 97-51: Exemption from Rule 4.22(d) Certification Requirement for Commodity Pool Financial Statements
• 1997-06-24CFTC Staff Letter 97-53: No-Action Relief from CPO and CTA Registration for Insurance and Trust Companies
• 1997-06-23CFTC Staff Letter 97-55: Exemption from Rule 4.7(a)(2)(iv) Recordkeeping Requirements for Offshore Fund CPO
• 1997-06-23CFTC Staff Letter 97-50: No-Action Relief for Managing General Partner of General Partnership
• 1997-06-20CFTC Staff Letter 97-49: No-Action Relief for Introducing Broker Providing Agricultural Market Commentaries
• 1997-06-16CFTC Staff Letter 97-47: Waiver of Subordination Agreement Requirement for Foreign-Domiciled Customers