Commodity Futures Trading Commission

2,362 documents, newest first — showing 2,001–2,200.

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• 1997-06-12CFTC Staff Letter 97-46: Modification of No-Action Relief for Short Option Value Charge
• 1997-06-10CFTC Staff Letter 97-54: No-Action Relief from CPO Registration and QEP Criteria for Funds I, II, and III
• 1997-06-09CFTC Staff Letter 97-43: Rule 4.14(a)(6) Exemption for Introducing Brokers Using Third-Party Trading Systems
• 1997-06-09CFTC Staff Letter 97-44: No-Action Relief from IB Registration for Company Selling Lead Database
• 1997-06-06CFTC Staff Letter 97-41: Relief from Ten Percent Restriction for Rule 4.7(a) Exempt Pools
• 1997-06-03CFTC Staff Letter 97-93: No-Action for Physical Delivery Electronic Natural Gas Trading System
• 1997-06-02CFTC Staff Letter 97-40: No-Action Position on CPO Registration for Co-General Partner
• 1997-05-28CFTC Staff Letter 97-39: No-Action Relief from CPO and CTA Registration for W
• 1997-05-28CFTC Staff Letter 97-42: Exemption from Rule 4.31 Disclosure Document Requirement for Offshore Fund
• 1997-05-09CFTC Staff Letter 98-45 (No-Action): DTB Terminals in CME Booths
• 1997-05-08CFTC Staff Letter 97-58 (No-Action): Treatment of Employee Partnership as QEP and CPO/CTA Relief
• 1997-05-06CFTC Staff Letter 97-48: No-Action Position for Foreign Fund Operator via Registered Affiliate CPO
• 1997-05-05CFTC Staff Letter 97-45: No-Action Relief from Acknowledgment Letter Requirements for FCMs
• 1997-04-29CFTC Staff Letter 97-37: No-Action Relief for Bank Holding Company Subsidiaries Acquiring General Partner and Investment Adviser Interests
• 1997-04-23CFTC Staff Letter 97-32: No-Action Relief from Ten Percent Investment Limitation for CPO U
• 1997-04-21CFTC Staff Letter 97-31: No-Action Relief for CPOs Regarding Disclosure of CTA Principals' Business Backgrounds
• 1997-04-21CFTC Staff Letter 97-30: No-Action Relief from CPO Registration for General Partner of Registered Broker-Dealer
• 1997-04-21CFTC Staff Letter 97-36: Permanent Extension for Annual Report Filing for Four Commodity Pools
• 1997-04-21CFTC Staff Letter 97-35: Extension of Time for Quarterly Report Filing for Two Commodity Pools
• 1997-04-18CFTC Staff Letter 97-27: No-Action Relief from CPO Disclosure and Reporting Rules
• 1997-04-01CFTC Staff Letter 97-24: Relief for CPO Admitting Non-QEP Trust to Pool
• 1997-03-27CFTC Staff Letter 97-25: Co-CPO Registration Relief for General Partner X
• 1997-03-27CFTC Staff Letter 97-19: Exemption from Books and Records Location Requirements for CPO/CTA
• 1997-03-26CFTC Staff Letter 97-28: No-Action Relief for CPO/CTA X Regarding Non-QEP Investors in Fund
• 1997-03-26CFTC Staff Letter 97-38: No-Action for Registered Investment Advisers Providing Cash Management to FCMs
• 1997-03-26CFTC Staff Letter 97-26: Exemption from CTA Registration Under Section 4m(1)
• 1997-03-24CFTC Staff Letter 97-18 (No-Action): Exemption from Rules 4.21, 4.22, 4.24, 4.25, and 4.26 for Additional Limited Partners
• 1997-03-24CFTC Staff Letter 97-15: No-Action Relief for Treating a Non-QEP Employee as a Qualified Eligible Participant
• 1997-03-21CFTC Staff Letter 97-21: No-Action Relief for General Partner Allowing Non-QEP Investors in Rule 4.7 Exempt Pool
• 1997-03-21CFTC Staff Letter 97-16: Charitable Foundation Treated as Qualified Eligible Participant
• 1997-03-21CFTC Staff Letter 97-22: No-Action Relief for Unregistered Vice President of a CTA
• 1997-03-21CFTC Staff Letter 97-29: Partnership of Family Members and Trusts Not a Commodity Pool
• 1997-03-21CFTC Staff Letter 97-20: No-Action Relief for Commodity Pool Operator Under Rule 4.7(a) Regarding Non-QEP Investors
• 1997-03-18CFTC Staff Letter 97-34: No-Action Letter Regarding X Securities Linked to Individual Equity Prices
• 1997-03-18CFTC Staff Letter 97-33: No-Action for X Securities Linked to Individual Equity Prices
• 1997-03-11CFTC Staff Letter 97-11: No-Action Relief from CPO Registration for Co-General Partner
• 1997-03-07CFTC Staff Letter 97-12: No-Action Relief for Variable Annuity CPO Registration and Rule 4.7 Waiver
• 1997-02-27CFTC Staff Letter 97-23: No-Action Relief for CPO Treating Non-QEP Investor as Qualified Eligible Participant
• 1997-02-27CFTC Staff Letter 97-10: No-Action Relief from Rule 4.26(b) Annual Report Delivery for Public Pools
• 1997-02-21CFTC Staff Letter 98-04: Confirmation that Service Provider 'S' is Not a CPO and Exemption for Recordkeeping Location for CPOs 'T' and 'B'
• 1997-02-14CFTC Staff Letter 97-06: No-Action Relief for Employee Investment Trust QEP/QEC Treatment and CPO Registration
• 1997-02-12CFTC Staff Letter 97-05: No-Action for Exemption from CTA Registration for Offshore Fund Advice
• 1997-02-07CFTC Staff Letter 97-07: Limited Partnership Investing in Land and Real Estate Not a Commodity Pool Under Rule 4.10(d)
• 1997-02-06CFTC Staff Letter 97-09: Exemption for CTA 'W' from Rule 4.31 Disclosure Document Requirement
• 1997-02-06CFTC Staff Letter 97-04: Relief from Disclosure and Reporting Requirements for a Registered CPO
• 1997-01-28CFTC Staff Letter 97-08: No-Action Relief for CPO Operating Partnership as Rule 4.7 Exempt Pool
• 1997-01-15CFTC Staff Letter 97-03: Relief from CPO Registration and CTA Disclosure Requirements for Canadian Entities
• 1997-01-10CFTC Staff Letter 97-02: No-Action Relief for CPO to Treat Non-QEP Investor as Qualified Eligible Participant
• 1996-12-24CFTC Staff Letter 97-13: No-Action Position on FCM Registration for Introducing Broker Fund Transfers
• 1996-12-12CFTC Staff Letter 97-01: Applicability of Commodity Futures Regulations to Gold Coin and Bullion Transactions
• 1996-12-04CFTC Staff Letter 96-85: No-Action for Guaranteed IB and Guarantor FCM on Execution-Only Services
• 1996-12-03CFTC Staff Letter 96-84: No-Action Relief for CPO/CTA Registration Regarding Rules 4.5 and 4.14(a)(8)
• 1996-11-27CFTC Staff Letter 97-14: No-Action Position for UK-Organized CTA Owned by US Persons
• 1996-11-25CFTC Staff Letter 96-86: No-Action on FCM Account Reclassification Following Parent's Minority Acquisition
• 1996-11-20CFTC Staff Letter 96-83: No-Action Relief for CPOs Soliciting QEPs with Summary Disclosure
• 1996-11-01CFTC Staff Letter 96-80: Denial of CTA Registration Relief for Introducing Broker Hotline Service
• 1996-10-28CFTC Staff Letter 96-78 (No-Action): V Interest Earning Facility
• 1996-10-21CFTC Staff Letter 96-76: No-Action Relief from CPO and CTA Registration for Investment Adviser Services to Offshore Fund
• 1996-09-30CFTC Staff Letter 96-69: No-Action Relief for CPO Under Rule 4.7(a) with Non-QEP Investors
• 1996-09-18CFTC Staff Letter 96-70: Firm Providing Commodity Trading Advice via Seminars and Phone Service Must Register as CTA
• 1996-09-11CFTC Staff Letter 98-31: No-Action Letter for Electronic Physical Natural Gas Trading System
• 1996-09-04CFTC Staff Letter 96-75: Treatment of Employee Partnership as QEP and Investment in Rule 4.7 Exempt Pools
• 1996-09-03CFTC Staff Letter 96-68: Registration Requirements for APs Recommending Commodity Trading Software
• 1996-08-13CFTC Staff Letter 96-65: Exemptive Relief for Rule 4.7 Pool with Non-QEP Accredited Investor
• 1996-08-12CFTC Staff Letter 96-64: No-Action Relief for CPO to Treat Non-QEP Investors as Qualified Eligible Participants
• 1996-08-06CFTC Staff Letter 96-61: No-Action Relief for CPO X Under Rule 4.7(a)
• 1996-07-23CFTC Staff Letter 96-59: No-Action Relief from Rule 4.7(a) Ten Percent Restriction for Pool Investment
• 1996-07-23CFTC Staff Letter 96-54: No-Action Letter for OMLX OMX Index Futures Contracts
• 1996-07-22CFTC Staff Letter 96-60: No-Action Relief from CPO and CTA Registration for Investment Adviser and Trustee of Canadian Pension Plan Trust
• 1996-07-12CFTC Staff Letter 96-58: Ethics Training Requirements for Registered APs Not Conducting Business
• 1996-07-08CFTC Staff Letter 96-56: Denial of No-Action Request for CTA Registration Relief
• 1996-07-08CFTC Staff Letter 96-57: Denial of Request to Treat CTA Mother's Account as Non-Proprietary
• 1996-06-26CFTC Staff Letter 96-53: Relief for CPO to Treat Family Trusts as Qualified Eligible Participants
• 1996-06-14CFTC Staff Letter 96-66 (No-Action): Relief from CPO Registration for Sole General Partner of 4.7 Pools
• 1996-06-12CFTC Staff Letter 96-55 (No-Action): Regarding questions concerning the characterization of certain contracts in foreign currency interests under Section 2 of the Commodity Exchange Act (Act) and the legality of trading in such contracts under Section 5 and 6 of the Act, the Division of Trading and…
• 1996-06-05CFTC Staff Letter 96-48: CPO Registration Relief for General Partners of Three Commodity Pools
• 1996-05-30CFTC Staff Letter 96-46: No-Action Relief from CPO and CTA Registration for Fund of Funds
• 1996-05-17CFTC Staff Letter 96-44: No-Action Relief from CPO and CTA Registration for General Partners of Offshore Funds and Their Directors
• 1996-05-15CFTC Staff Letter 96-43: No-Action Relief for Registered CPO Advising Rule 4.5 and 4.7 Clients
• 1996-05-14CFTC Staff Letter 96-42: No-Action Letter for Financiele Termijnmarkt Amsterdam N.V. Eurotop 100 Index Futures Contract
• 1996-05-07CFTC Staff Letter 96-37: No-Action Relief from CPO Registration for Newco Managers
• 1996-05-06CFTC Staff Letter 96-38: No-Action Relief from CTA Registration for Foreign Corporation Licensing Trading Program
• 1996-05-06CFTC Staff Letter 96-39: No-Action Relief for Unregistered IB to Collect Finder's Fees
• 1996-05-06CFTC Staff Letter 96-40: Denial of No-Action Relief for Farmers Cooperative IB Board Members
• 1996-05-02CFTC Staff Letter 96-52: No-Action Relief for Administrative Manager CPO and Exemption for Record Location
• 1996-05-02CFTC Staff Letter 96-36: No-Action Relief for Treating Certain Employees as Qualified Eligible Participants
• 1996-04-25CFTC Staff Letter 96-63: No-Action Relief from CPO Registration for US Director of Offshore Funds
• 1996-04-23CFTC Staff Letter 96-32: Continued No-Action Relief from CPO Registration and Annual Report Filing
• 1996-04-22CFTC Staff Letter 96-31: No-Action Relief for Offshore CPO and CTA of British Virgin Islands Fund
• 1996-04-12CFTC Staff Letter 96-29: No-Action Relief for CPO Hedging CBOE Market-Making Activities with SPX Futures
• 1996-04-11CFTC Staff Letter 96-34: Treatment of Deposits in Taiwanese Banks for FCMs
• 1996-03-29CFTC Staff Letter 96-30: Relief for CPOs Allowing Non-QEP Investors in Foundation and Trust Pools
• 1996-03-05CFTC Staff Letter 96-22: No-Action Relief for CPO to Form Account Partnerships Under Rule 4.20(c)
• 1996-03-04CFTC Staff Letter 96-24: No-Action for CPO Withdrawal for Family-Only Limited Partnership
• 1996-02-29CFTC Staff Letter 96-21: No-Action Relief for Attestation of Financial Reports by Partnership-Organized FCMs
• 1996-02-29CFTC Staff Letter 96-28 (No-Action): DTB Screen Trading in the United States
• 1996-02-28CFTC Staff Letter 96-18: No-Action Relief for FCMs Sending Confirmation Statements via Facsimile
• 1996-02-27CFTC Staff Letter 96-20: No-Action Relief for CPO Treating Non-QEP Investors as Qualified Eligible Participants
• 1996-02-22CFTC Staff Letter 96-19: Relief for CPOs to Treat Non-QEP Investors as Qualified Eligible Participants
• 1996-02-20CFTC Staff Letter 96-27: No-Action Relief from CPO Registration for General Partners of Converted Fund
• 1996-02-14CFTC Staff Letter 96-26: No-Action Relief from CPO and CTA Registration for Fund General Partner and Investment Manager
• 1996-01-31CFTC Staff Letter 96-12: Margin Requirements Under the Commodity Exchange Act
• 1996-01-29CFTC Staff Letter 96-14: Relief from CPO Registration for Funds Owned by Principals, Affiliates, and Employees with Minimal Commodity Interest Trading
• 1996-01-24CFTC Staff Letter 96-13: No-Action for Three Individuals as Qualified Eligible Participants Under Rule 4.7
• 1996-01-18CFTC Staff Letter 96-11: No-Action Relief for CPO Registration Exemption for Fund President with Related Members
• 1996-01-17CFTC Staff Letter 96-16: No-Action Relief for CPO Admitting Non-QEP Accredited Investors to Rule 4.7 Pool
• 1996-01-04CFTC Staff Letter 96-01: Relief from Rule 4.35(b) Disclosure for CTA Principals with Different Functions
• 1995-12-28CFTC Staff Letter 96-09: Denial of Request to Withdraw IB Registration While Engaging in Solicitation Activities
• 1995-12-22CFTC Staff Letter 96-05: No-Action Relief for CTA Providing Advice to Offshore Fund
• 1995-12-18CFTC Staff Letter 96-07 (No-Action): Guaranteed Introducing Broker and Guarantor FCM
• 1995-12-13CFTC Staff Letter 95-110: No-Action Letter for Singapore International Monetary Exchange Nikkei Stock Index 300 Futures Contract
• 1995-11-29CFTC Staff Letter 95-109: No-Action Position on CPO and CTA Registration for Luxembourg Management Company and US Investment Adviser
• 1995-11-27CFTC Staff Letter 95-108: No-Action for Certain Fund Directors Not Registering as CPOs
• 1995-11-22CFTC Staff Letter 95-107: No-Action Position on Rule 4.7 Relief for Non-QEP Investors
• 1995-11-21CFTC Staff Letter 95-100: No-Action Position on Treating Non-QEP Investors as Qualified Eligible Participants Under Rule 4.7(a)
• 1995-11-15CFTC Staff Letter 95-97: No-Action Relief for International Labor Union CPO Registration
• 1995-11-15CFTC Staff Letter 95-93: No-Action Relief from CTA Registration for Advisory Services to General Partners
• 1995-11-15CFTC Staff Letter 95-98: No-Action Relief from CPO and CTA Registration for Common Members of a Guaranteed Investment Contract Issuer
• 1995-11-09CFTC Staff Letter 95-106: No-Action Position on Treating Certain Foreign Clients as Qualified Eligible Clients
• 1995-10-30CFTC Staff Letter 95-95: No-Action Relief for Corporate Affiliates and Employee Regarding CPO and AP Registration
• 1995-10-26CFTC Staff Letter 95-92: No-Action Relief from CPO Registration for Administrative General Partner of Offshore Fund
• 1995-10-10CFTC Staff Letter 95-88: Limited Partners Treated as Qualified Eligible Participants
• 1995-09-20CFTC Staff Letter 95-83: No-Action Position on Order Transmittal Procedures for FCMs with Japanese and Hong Kong Affiliates
• 1995-09-19CFTC Staff Letter 95-87: No-Action on CTA Registration for FCM Derivatives Activities
• 1995-09-05CFTC Staff Letter 95-80: No-Action for General Partners of Commodity Pools Not Registering as CPOs
• 1995-08-30CFTC Staff Letter 95-74: No-Action for MIB 30 Futures on IDEM
• 1995-08-21CFTC Staff Letter 95-72 (No-Action): Charitable Foundation Treated as QEP
• 1995-08-14CFTC Staff Letter 95-70: No-Action Relief for Offshore Fund Participants
• 1995-07-26CFTC Staff Letter 95-67: No-Action Relief from CTA and CPO Registration for Registered Investment Advisers and Companies Trading CME Foreign Currency Interests
• 1995-07-26CFTC Staff Letter 95-65: No-Action Relief for Professional Traders and Market Makers on Short Option Value Charges
• 1995-07-24CFTC Staff Letter 95-91: No-Action Relief from CTA Registration for Advisers to Offshore Funds
• 1995-07-21CFTC Staff Letter 95-79: Floor Brokers Who Are Also APs of CPOs Need Not Register as CTAs for Fund Advice
• 1995-07-19CFTC Staff Letter 95-66: No-Action Position on 10% Investment Restriction in Rule 4.7 for Rule 4.12(b) Pools
• 1995-07-19CFTC Staff Letter 95-71: Conditions for Relief from Introducing Broker Registration
• 1995-07-17CFTC Staff Letter 95-63: No-Action for Registered Investment Advisor Bunching Customer and Proprietary Orders
• 1995-07-10CFTC Staff Letter 95-77: No-Action Relief from CPO and CTA Registration for Puerto Rico Fund Directors and Adviser
• 1995-06-21CFTC Staff Letter 95-62: Disclosure Document Delivery Requirements for a Registered CTA Previously Exempt Under Section 4m(1)
• 1995-06-05CFTC Staff Letter 95-89: No-Action for Registered Investment Adviser Operating Test Partnership
• 1995-06-01CFTC Staff Letter 95-60: No-Action Relief from Four-Hour Ethics Training for Two Associated Persons
• 1995-05-26CFTC Staff Letter 95-59 (No-Action): Average Pricing for Non-Domestic Exchanges
• 1995-05-23CFTC Staff Letter 95-64: No-Action for Co-General Partner Failing to Register as CPO
• 1995-05-01CFTC Staff Letter 95-51: No-Action Regarding IB Registration for Information Services Subsidiary
• 1995-04-26CFTC Staff Letter 95-47: No-Action Relief for Classifying Director Accounts as Customer Accounts
• 1995-04-20Instant Filing Procedure for Commodity Pool and Commodity Trading Advisor Documents
• 1995-03-23CFTC Staff Letter 95-42: No-Action for CTA Not Registering as IB Under Specific Fee Arrangement
• 1995-03-16CFTC Staff Letter 95-41: No-Action Relief for Foreign Administrative General Partner of a Pool
• 1995-03-15CFTC Staff Letter 95-26: No-Action Relief from CPO Registration for Offshore Pool Operator
• 1995-03-15CFTC Staff Letter 95-50: Fund-of-funds QEP Partnership Treatment of Non-QEP Limited Partners
• 1995-03-14CFTC Staff Letter 95-25: No-Action Relief from CPO Registration for Bank Holding Company Affiliates
• 1995-03-13CFTC Staff Letter 95-53: Relief from Rules 4.21(a)(4), 4.21(a)(5), and 4.21(f) for Registered CPO X
• 1995-03-13CFTC Staff Letter 95-23: Rule 4.7 Relief for CPO Managing Non-QEP Officer as Participant
• 1995-03-13CFTC Staff Letter 95-28: Relief from Introducing Broker Registration for CPO Owned by IB Associated Person
• 1995-03-13CFTC Staff Letter 95-24: New General Partner of Rule 4.12(b) Partnership Not Required to Register as CPO
• 1995-03-10CFTC Staff Letter 95-22 (No-Action): A registered CPO may treat a pool as an exempt pool under Rule 4.7(a), where the sole non-QEP investor: (1) is an accredited investor under SEC Regulation D; (2) is a vice president of the CPO; and (3) has applied for registration as an AP of the CPO
• 1995-02-24CFTC Staff Letter 95-19 (No-Action): (denied) - A CTA is required to list its corporate secretary as a principal of the CTA (and that person, like all corporate officers, must file a Form 8-R and a fingerprint card), even though the CTA claims that the corporate secretary performs only clerical func…
• 1995-02-23CFTC Staff Letter 95-16: No-Action Relief for Introducing Broker Discretionary Accounts
• 1995-02-16CFTC Staff Letter 95-27: No-Action Relief from CPO and CTA Registration for Mortgage Company Hedging
• 1995-02-15CFTC Staff Letter 95-14: No-Action Relief from CPO Registration for New General Partner of Rule 4.12(b) Partnership
• 1995-02-10CFTC Staff Letter 95-30 (No-Action): Exemption from CPO and CTA Registration for Puerto Rico-Based Entities Operating a Local Investment Fund
• 1995-02-09CFTC Staff Letter 95-11 (No-Action): Electronic Transmission of Statements to Account Controllers
• 1995-02-02CFTC Staff Letter 95-09: No-Action Relief for CTA Providing Advice to Non-US Accredited Investor
• 1995-01-17CFTC Staff Letter 95-13: Investor Pool Treated as QEP Despite Non-QEPs
• 1994-12-29CFTC Staff Letter 95-05: Non-QEP Pool Participants Deemed QEPs for Rule 4.7(a) Exempt Pool Treatment
• 1994-12-22CFTC Staff Letter 95-07: No-Action for Foundation as QEP under Rule 4.7
• 1994-12-22CFTC Staff Letter 95-40: No-Action for CPO Claiming Rule 4.7 Relief When a Trust Participant Has One QEP Trustee
• 1994-12-12CFTC Staff Letter 95-01: No-Action Relief from Past Performance Disclosure for CTA Principal
• 1994-12-05CFTC Staff Letter 95-39: No-Action Relief from CPO Registration for Fund Restructuring
• 1994-11-23CFTC Staff Letter 95-35: Exemption from CPO Registration and CTA Disclosure Requirements for Family Joint Ventures
• 1994-11-22CFTC Staff Letter 95-45: No-Action for CPO Claiming Rule 4.7 Relief with Non-QEP Investors
• 1994-10-13CFTC Staff Letter 94-96: No-Action Relief for Investment General Partner of Commodity Pool
• 1994-10-12CFTC Staff Letter 95-04: No-Action for Omnibus Clearing of SFE Equity Futures
• 1994-10-11CFTC Staff Letter 95-34 (No-Action): Exemption from AP Registration for CTA/CPO Chief Operating Officer
• 1994-09-28CFTC Staff Letter 94-94 (No-Action): Relief from Principal Disclosure for Trading System Developer
• 1994-09-09CFTC Staff Letter 94-86: No-Action Relief for CTAs Advising Foreign Investment Companies
• 1994-09-02CFTC Staff Letter 94-85: No-Action Relief for FCM Regarding Order Entry Firm Identification
• 1994-08-30CFTC Staff Letter 94-88: Non-Action for CPO Treating Accredited Non-QEPs as QEPs
• 1994-08-29CFTC Staff Letter 95-32 (No-Action): Relief from Rule 4.7 Ten Percent Limitation for Commodity Pools with Non-QEP Participants
• 1994-08-26CFTC Staff Letter 95-31: Exemption from CPO Registration for Offshore Administrative General Partner
• 1994-07-26CFTC Staff Letter 94-79: No-Action Relief for CPO and CTA Registration Regarding CBOE Broker-Dealer General Partner and Nominees
• 1994-07-25CFTC Staff Letter 94-95: No-Action Relief for CPO Registration and QEP Status
• 1994-07-21CFTC Staff Letter 94-67: No-Action for Automated Office Order Preparation and Recordkeeping System
• 1994-07-20CFTC Staff Letter 94-73: Relief from Rule 4.7 Ten Percent Limitation
• 1994-07-18CFTC Staff Letter 94-89: No-Action Relief from CPO Registration for Natural Person General Partner
• 1994-07-07CFTC Staff Letter 94-66: Division of Trading and Markets No-Action Relief for CPO Treating Non-QEPs as QEPs
• 1994-06-23CFTC Staff Letter 94-75: No-Action for Treating Family Investment Vehicle as Qualified Eligible Participant
• 1994-06-22CFTC Staff Letter 94-65: No-Action Relief from CPO Registration for Offshore Pool Directors
• 1994-06-09CFTC Staff Letter 94-81: No-Action Relief for CTA Registration
• 1994-06-08CFTC Staff Letter 94-53 (No-Action): Interim Use of Risk Disclosure Statements by FCMs
• 1994-06-06CFTC Staff Letter 94-90: No-Action Relief from CPO Registration for Corporate General Partner
• 1994-06-01CFTC Staff Letter 94-52: No-Action Relief from CPO and CTA Registration for Registered Investment Adviser Operating a Group Trust
• 1994-06-01CFTC Staff Letter 94-62: No-Action Relief from CPO Registration for Fiduciaries of an ERISA Retirement Plan
• 1994-05-31CFTC Staff Letter 94-69 (No-Action): CPO Registration Relief for General Partner
• 1994-05-23CFTC Staff Letter 94-70 (No-Action): CPO Registration Relief for Fund General Partner
• 1994-05-17CFTC Staff Letter 94-74 (No-Action): Treatment of Non-QEP as QEP
• 1994-05-06CFTC Staff Letter 94-56: No-Action for Treating Non-QEP Founders as QEPs
• 1994-05-06CFTC Staff Letter 94-72: No-Action Relief from Rule 4.7 Ten Percent Limitation
• 1994-04-29CFTC Staff Letter 94-64: Relief from Listing Principal for CPO Officer Preparing Tax Returns
• 1994-04-29CFTC Staff Letter 94-54: No-Action Relief from CPO Registration for Limited Partnership X
• 1994-04-29CFTC Staff Letter 94-55: No-Action Relief for Corporate General Partner
• 1994-04-28CFTC Staff Letter 94-71: No-Action Relief from CPO Registration for General Partner of Affiliated Pools