Commodity Futures Trading Commission

2,362 documents, newest first — showing 2,201–2,362.

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• 1994-04-18CFTC Staff Letter 94-40: No-Action Relief from CPO Registration for General Partners
• 1994-03-30CFTC Staff Letter 94-35: No-Action Relief for Sole U.S. Director of Offshore Fund Z
• 1994-03-29CFTC Staff Letter 94-39 (No-Action): Treatment of Non-QEPs as QEPs for Key Employees
• 1994-03-25CFTC Staff Letter 94-34 (No-Action): Relief from Rule 4.7 Ten Percent Limitation for CPO W
• 1994-03-24CFTC Staff Letter 94-63: No-Action for Treating Certain Non-QEPs as Qualified Eligible Participants
• 1994-03-22CFTC Staff Letter 94-37: No-Action for Treating Non-QEP Foundation as Qualified Eligible Participant
• 1994-03-17CFTC Staff Letter 94-36: No-Action Position on Treating Non-QEPs as Qualified Eligible Participants
• 1994-03-16CFTC Staff Letter 94-27: No-Action Relief from CPO Registration for General Partners of a Limited Partnership
• 1994-03-16CFTC Staff Letter 94-30: No-Action Relief for Administrative General Partner of Offshore Fund
• 1994-02-15CFTC Staff Letter 94-23: No-Action Relief from CPO Registration for Real Estate Partnerships Hedging Interest Rate Risk
• 1994-01-24CFTC Staff Letter 94-22: No-Action Relief for Offshore Fund Director CPO Registration
• 1994-01-24CFTC Staff Letter 94-21: No-Action Relief from CPO and CTA Registration for Hedging Activities
• 1993-12-28CFTC Staff Letter 94-14: Division of Trading and Markets No-Action Relief for Rule 4.7 Exempt Pools
• 1993-12-27CFTC Staff Letter 94-13 (No-Action): Treatment of Non-QEP Trust as QEP
• 1993-12-27CFTC Staff Letter 94-04: No-Action Relief for Treating Non-QEP as Qualified Eligible Participant
• 1993-12-27CFTC Staff Letter 94-18: Division of Trading and Markets No-Action Relief for CPO Rule 4.7 Compliance
• 1993-12-27CFTC Staff Letter 94-07: No-Action Relief for General Partners of a Commodity Pool
• 1993-12-27CFTC Staff Letter 94-01 (No-Action): Treating a Non-QEP as a QEP
• 1993-12-27CFTC Staff Letter 94-16 (No-Action): Treatment of Non-QEP Trust as QEP
• 1993-12-17CFTC Staff Letter 94-11 (No-Action): Part 4 Relief for CPO Subsidiary Offering Commodity Pool Participation to Employees
• 1993-12-17CFTC Staff Letter 94-17: Treatment of Non-QEP Floor Brokers as QEPs
• 1993-12-10CFTC Staff Letter 94-15 (No-Action): Relief from Rule 4.7 Ten Percent Limitation for CPO X
• 1993-12-08CFTC Staff Letter 93-112: Limited Relief for Foreign Associated Persons on Ethics Training Compliance
• 1993-11-29CFTC Staff Letter 93-111: No-Action Relief for Limited Partnership General Partner of Commodity Pool
• 1993-11-24CFTC Staff Letter 94-46: No-Action for CPO Treating Non-QEP as QEP
• 1993-11-24CFTC Staff Letter 94-19 (No-Action): Treatment of Non-QEP Participants as QEPs for Investment Limits
• 1993-11-08CFTC Staff Letter 94-08: No-Action Relief from CPO Registration for General Partner X
• 1993-11-03CFTC Staff Letter 93-108 (No-Action): CTA Registration Relief for Trust Company Sub-Adviser to Offshore Investment Companies
• 1993-10-29CFTC Staff Letter 93-113: No-Action Relief for Foreign Bank Introducing Non-U.S. Client Accounts to U.S. FCMs
• 1993-10-07CFTC Staff Letter 93-102: No-Action Relief for US Director of Offshore Commodity Pools
• 1993-10-05CFTC Staff Letter 93-100: No-Action Relief for General Partners and Investment Adviser of a Family Limited Partnership
• 1993-09-30CFTC Staff Letter 93-99: No-Action for FCM Entering OTC Foreign Currency Options with Parent Bank
• 1993-09-28CFTC Staff Letter 93-98: No-Action Relief for Natural Person General Partner of Offshore Fund
• 1993-09-28CFTC Staff Letter 93-97: No-Action Relief from CPO Registration for Offshore Company
• 1993-09-27CFTC Staff Letter 93-105: Relief from Principal Disclosure Requirements for Passive CPO/CTA
• 1993-09-22CFTC Staff Letter 93-96: CPO Registration No-Action Relief for Associated Persons
• 1993-09-07CFTC Staff Letter 93-91: No-Action Relief for Investment Manager and Trustee of Group Trust from CPO and CTA Registration
• 1993-08-30CFTC Staff Letter 93-89: Disclosure Relief for CPO/CTA Operating a High Net Worth Pool with Limited Commodity Interest Exposure
• 1993-08-20CFTC Staff Letter 93-84: Relief from Rule 4.31(a)(3) Disclosure for Proprietary Trading Strategy Performance
• 1993-08-16CFTC Staff Letter 93-93: No-Action Relief from CPO Registration for Fund Investing in Pool with Limited Commodity Interest Trading
• 1993-08-12CFTC Staff Letter 93-87: No-Action Relief from CPO and CTA Registration for Three-Person LLC
• 1993-08-09CFTC Staff Letter 93-83: No-Action Relief for CME and CBOT Members Regarding Foreign Affiliate Order Handling
• 1993-07-30CFTC Staff Letter 93-78: No-Action Relief for Introducing Broker from Rule 1.55 Risk Disclosure and Rule 1.57 Order Transmission Requirements
• 1993-07-29CFTC Staff Letter 93-76: No-Action for FCM and Guaranteed IB Providing Execution Only for Introduced Institutional Customers
• 1993-07-26CFTC Staff Letter 93-73: No-Action Relief for Unregistered General Partner of Commodity Pool
• 1993-07-23CFTC Staff Letter 93-88: No-Action Relief for Interim Execution and Clearing Services During FCM Account Transfer
• 1993-07-21CFTC Staff Letter 93-70: No-Action Relief for CPO Registration
• 1993-07-21CFTC Staff Letter 93-80: No-Action for Abbreviated AP Registration Following FCM Asset Acquisition
• 1993-07-07CFTC Staff Letter 93-64: No-Action Relief from Introducing Broker Registration for CPO/CTA Referring Clients to Fund
• 1993-06-24CFTC Staff Letter 93-58: No-Action Relief from CPO Registration for Family and Friends Fund
• 1993-06-18CFTC Staff Letter 93-66 (No-Action): University of Iowa Non-Profit Electronic Market
• 1993-06-10CFTC Staff Letter 93-60: No-Action Relief for Chicago Mercantile Exchange Trading Cards
• 1993-06-03CFTC Staff Letter 93-54: No-Action Relief for CPO Disclosure and CTA Registration
• 1993-05-21CFTC Staff Letter 93-49: No-Action Relief for Unregistered General Partner of Commodity Pool
• 1993-05-21CFTC Staff Letter 93-50: No-Action Relief for General Partner of Commodity Pool
• 1993-05-12CFTC Staff Letter 93-47: No-Action Relief for General Partners of Commodity Pools
• 1993-05-03CFTC Staff Letter 93-39: No-Action Relief for General Partners of Partnership with Incidental Commodity Trading
• 1993-05-03CFTC Staff Letter 93-59: No-Action Relief from CPO Registration for General Partners of Broker-Dealer X
• 1993-04-29CFTC Staff Letter 93-44: Relief from Disclosure and Financial Reporting for Rule 4.7 Pool Participants
• 1993-04-27CFTC Staff Letter 93-52: No-Action Relief from CPO and CTA Registration for Offshore Fund
• 1993-04-26CFTC Staff Letter 93-42: Non-QEP Treated as QEP for CPO Pool Operation
• 1993-04-20CFTC Staff Letter 93-36: No-Action Relief for FCM Bulk Transfer of Accounts
• 1993-04-12CFTC Staff Letter 93-34: Relief from Listing Principals for CPO Partnership
• 1993-04-06CFTC Staff Letter 93-32: No-Action Relief for Bank and Trust Company Employees Selling Pool Participations to QEPs
• 1993-03-31CFTC Staff Letter 93-33 (No-Action): Treatment of Non-QEPs as QEPs for CPO Rule 4.7 Relief
• 1993-03-26CFTC Staff Letter 93-23: Temporary No-Action Relief for Inter-Crop Spread Positions in Agricultural Futures
• 1993-03-08CFTC Staff Letter 93-14 (No-Action): IB Permitted to Be Party to Guarantee Agreements with Two FCMs
• 1993-03-04CFTC Staff Letter 93-30 (No-Action): Relief for CBOE Market Maker Hedging OEX with S&P Futures
• 1993-03-03CFTC Staff Letter 93-22: No-Action Relief for Cotton Warehouse Acting as FCM Intermediary for NYCE Deliveries
• 1993-02-25CFTC Staff Letter 93-12: No-Action Relief from CPO and CTA Registration for Offshore Fund with Single Japanese Institutional Investor
• 1993-02-16CFTC Staff Letter 93-09: No-Action Relief for General Partner B Pending CPO Registration
• 1993-02-10CFTC Staff Letter 93-11: No-Action Relief for CTAs Regarding Confidential QEC Client Identity
• 1993-02-09CFTC Staff Letter 93-15 (No-Action): Exemption from Listing Subordinated Note Holder as Principal
• 1993-02-03CFTC Staff Letter 93-08: No-Action Relief for CPO Under Regulation 4.7
• 1993-01-25CFTC Staff Letter 93-07: No-Action Relief from Regulation 1.46 for FCM Managing Customer Accounts via IB's AP
• 1992-12-21CFTC Staff Letter 93-03: No-Action Relief for CPOs Converting Part 4 Pools to Rule 4.12(b) Status
• 1992-12-10Advisory 2-93: Two Interpretative Letters Concerning Rule 4.7 Relief for Pools With Non-QEPs
• 1992-12-10CFTC Staff Letter 93-02 (No-Action): The Division of Trading and Markets permitted a CPO to claim relief under Regulation 4.7, where the non-QEP in the pool was an accredited investor who had been employed by the CPO for 16 years. (T&M)
• 1992-11-06CFTC Staff Letter 92-20: No-Action Relief for FCM and Agricultural Cooperative on Joint Commodity Interest Trading Accounts
• 1992-10-09CFTC Staff Letter 92-19: No-Action Relief for Foreign Bank Introducing Broker Registration
• 1992-09-23CFTC Staff Letter 92-16: Direct Order Transmittal Between FCM and Foreign Broker Affiliate
• 1992-09-02CFTC Staff Letter 92-14 (No-Action): No-Action Relief for J. Aron & Company Regarding GSCI Spread Trading
• 1992-06-25CFTC Staff Letter 92-11: No-Action for U.S. Customer Orders in Globex via Foreign Affiliates
• 1992-06-09CFTC Staff Letter 92-10: No-Action Relief for Philbro Energy, Inc. Regarding Agricultural Commodity Options
• 1992-06-01CFTC Staff Letter 92-09: Conditional No-Action for Two-Part Disclosure Document
• 1992-05-20CFTC Staff Letter 92-08: No-Action Relief for Union Death Benefit Fund CPO Registration
• 1992-05-01CFTC Staff Letter 92-7: No-Action Relief for Inter-Crop Spread Positions in CBT Agricultural Futures
• 1992-04-20CFTC Staff Letter 92-06: Interim No-Action Relief for CTAs Pending Rule 4.7 Adoption
• 1992-04-14CFTC Staff Letter 92-05: No-Action for Single Customer Acknowledgments for Institutional and Accredited Investors
• 1992-02-05CFTC Staff Letter 92-04a: No-Action Relief for University of Iowa Electronic Markets
• 1992-01-10CFTC Staff Letter 92-04: No-Action Relief for International Labor Union CPO Registration
• 1991-10-09CFTC Staff Letter 91-8: No-Action Relief for Reuters Information Services Inc. Foreign Currency Trading System
• 1991-07-17CFTC Staff Letter 91-1 DEA: Temporary No-Action Relief for Chicago Board of Trade Soybean Oil Position Limits
• 1991-06-28CFTC Staff Letter 91-07: No-Action Relief from CTA Registration for Investment Adviser Providing Advice to Foreign Subsidiary
• 1991-06-13CFTC Staff Letter 91-06: No-Action Relief for CPO Registration of Natural Person General Partners in a Rule 4.12(b) Commodity Pool
• 1991-05-30CFTC Staff Letter 91-1 OETF (No-Action): GaiaCorp U.S. Limited
• 1991-05-28CFTC Staff Letter 91-05: No-Action Relief for Employee Welfare Benefit Plan CPO Registration
• 1991-04-25CFTC Staff Letter 91-04: No-Action Relief from CPO and CTA Registration for Offshore Fund Directors
• 1991-04-12CFTC Staff Letter 91-03: No-Action for Partnership Employee Trading Proprietary Commodity Interests Pending Floor Broker Registration
• 1991-01-18CFTC Staff Letter 91-01: No-Action Relief for CTAs Regarding Disclosure of Past Performance
• 1990-11-19CFTC Staff Letter 90-18 (No-Action): CPO Exemption from Disclosure Document Delivery for Sole Limited Partner Additional Subscriptions
• 1990-07-24CFTC Staff Letter 90-14: No-Action Regarding Solicitations in the United States by Firms Granted 30.10 Relief
• 1990-07-24CFTC Staff Letter 90-4 DEA (No-Action): Mint Investment Management and Northfield Trading Position Limits
• 1990-06-05CFTC Staff Letter 90-09: No-Action Relief for London Branch of U.S. FCM Regarding Risk Disclosure Statements
• 1990-04-25CFTC Staff Letter 90-4 OETF: No-Action Relief for Salomon Entities Regarding Light Sweet Crude Oil Contracts
• 1990-03-02CFTC Staff Letter 90-02: No-Action for NY-Regulated Foreign Bank Branches Selling Hybrid Instruments
• 1989-11-09CFTC Staff Letter 89-13: No-Action for U.S. IB Principal Designation
• 1989-10-18CFTC Staff Letter 89-12: No-Action on Cash Flow Statement for Commodity Pools
• 1989-08-15CFTC Staff Letter 89-11: No-Action Relief for Foreign Bank Carrying U.S. FCM Omnibus Accounts
• 1989-06-22CFTC Staff Letter 89-07: Foreign Bank Exemption from FCM Registration
• 1989-06-05CFTC Staff Letter 89-06: Risk Disclosure Requirement for Pre-Existing U.K. Customers
• 1989-03-01CFTC Staff Letter 89-02: No-Action Relief for CTA Registration of Investment Adviser Providing Commodity Advice to Insurance Clients
• 1988-12-08CFTC Staff Letter 89-05: No-Action Relief for Foreign Bank U.S. Branch and Affiliates Under Regulation 30.10
• 1988-11-21CFTC Staff Letter 89-18: No-Action Relief for Goldman Sachs Commercial Paper Notes
• 1988-11-02CFTC Staff Letter 89-17: No-Action Relief for Magma Copper Company's Commodity-Indexed Notes
• 1988-09-30CFTC Staff Letter 89-16: No-Action Relief for Inco Limited Floating Rate Notes
• 1988-09-23CFTC Staff Letter 88-18: No-Action Relief for Gold-Indexed Certificates of Deposit
• 1988-09-06CFTC Staff Letter 88-17: No-Action Relief for Forrest Oil Corp Debentures
• 1988-08-26CFTC Staff Letter 88-16: No-Action Relief for Federally Chartered Corporation Issuing Inflation-Indexed Notes
• 1988-07-22CFTC Staff Letter 88-12: No-Action Relief for Morgan Stanley and Associates on Foreign Currency-Indexed Notes
• 1988-07-13CFTC Staff Letter 88-11: No-Action Relief for Morgan Stanley and General Motors Regarding Dollar/Yen Indexed Notes
• 1988-06-20CFTC Staff Letter 88-10: No-Action Relief for Stockholder-Owned Corporation Issuing Yen-Indexed Notes
• 1988-04-08CFTC Staff Letter 88-08: No-Action Relief for Foreign Associated Persons of U.S. CTAs
• 1988-02-02CFTC Staff Letter 88-05: No-Action Relief for CTAs Advising Foreign Funds
• 1988-01-28CFTC Staff Letter 88-06: No-Action Relief for CPO and CTA Registration of Offshore Fund Directors and Advisors
• 1987-12-04CFTC Staff Letter 87-11: No-Action Relief from CPO Registration for Church Plan Trustees
• 1987-12-02CFTC Staff Letter 87-09: No-Action Relief for Risk Disclosure and Discretionary Authorization Requirements
• 1987-11-09CFTC Staff Letter 87-08: No-Action Relief for CPO Registration of Partnership General Partners
• 1987-09-29CFTC Staff Letter 87-05: No-Action Relief for Educational Marketing Club CPO Registration
• 1986-12-11CFTC Staff Letter 86-31 (No-Action): CTA Registration Relief for National Bank
• 1986-12-11CFTC Staff Letter 86-30: No-Action Relief for General Partner of Limited Partnership
• 1986-10-01CFTC Staff Letter 86-24: No-Action on Commodity Trading Advisor Regulation for Insurance Companies
• 1986-07-03CFTC Staff Letter 86-19: No-Action Relief for CPO Registration
• 1986-06-17CFTC Staff Letter 86-05: No-Action Relief for Export Trading Company Hedging Services
• 1986-05-07CFTC Staff Letter 86-12: No-Action Relief for Bank Employees Not Involved in Managing Investment Funds
• 1986-04-29CFTC Staff Letter 86-11: No-Action Relief for CPO Registration of Partnership with Foreign Participants
• 1986-04-04CFTC Staff Letter 86-08: No-Action Relief for CPO and CTA Registration Regarding Multiple-Employer Pension Trust
• 1986-02-06CFTC Staff Letter 86-07: No-Action Relief for U.S. Citizen Director of Foreign Fund
• 1985-11-20CFTC Staff Letter 85-22: No-Action Relief for Non-Profit Educational Fund from CPO Registration
• 1985-11-08CFTC Staff Letter 85-21: No-Action Relief for CTA Registration Regarding Single Registered Investment Company
• 1985-10-16CFTC Staff Letter 85-18: No-Action Relief for Foreign Commodity Pool Engaging in Securities Arbitrage
• 1985-09-10CFTC Staff Letter 85-17: No-Action Relief for Prepayment of Subordinated Debt Without Commission Approval
• 1985-08-15CFTC Staff Letter 85-15: Application of Rule 4.5 to Single Employer Pension Plan Master Trusts
• 1985-08-12CFTC Staff Letter 85-3: Use of Segregated Funds by Clearing Organizations Upon Default by Member Firms
• 1985-08-06CFTC Staff Letter 85-02: Precious Metals Transactions by Banks
• 1985-08-02CFTC Staff Letter 85-12: No-Action Relief for CME Regarding Mutual Offset System Omnibus Accounts
• 1985-07-16CFTC Staff Letter 85-09: No-Action Relief for Bank as Discretionary Trustee of Commingled Investment Trust
• 1985-02-08CFTC Staff Letter 85-08: No-Action Relief for Employees' Security Companies Regarding CPO Registration
• 1984-09-07CFTC Staff Letter 84-16: No-Action Relief for Non-Depository Trust Company Trading in Futures Markets
• 1984-08-01CFTC Staff Letter 84-13 (No-Action): CPO Registration Relief for Registered Investment Company
• 1984-07-17CFTC Staff Letter 84-11 (No-Action): CPO Registration Relief for Registered Investment Company
• 1984-02-24CFTC Staff Letter 84-05 (No-Action): The Division of Trading and Markets granted CPO registration no-action relief to the operator of an investment company registered with the SEC
• 1984-02-24CFTC Staff Letter 84-04: No-Action Relief for Registered Investment Company Commodity Pool Operator Registration
• 1977-09-01CFTC Staff Letter 77-13: Withdrawal from Registration of Advisor
• 1976-09-09CFTC Staff Letter 76-13A: FCMs Trading London Options Must Register as CTAs with No-Action Relief on Principal Position Disclosures
• 1976-08-15CFTC Staff Letter 76-21: No-Action Relief for Foreign CPOs and CTAs
• 1976-06-24CFTC Staff Letter 76-14: No-Action Relief for Company Promoting Commodity Trading Advisory Letter
• 1976-05-04CFTC Staff Letter 76-11: No-Action Relief for New York Cocoa Exchange Rule 3 Amendments
• 1976-04-12CFTC Staff Letter 76-05: No-Action Relief for Metals Dealer Distributing Commodity Information
• 1976-02-13CFTC Staff Letter 76-02: No-Action Relief for Kansas City Board of Trade Regarding Cash Market Rules
• 1975-12-05CFTC Staff Letter 75-20: No-Action Relief for FCM and Associated Persons Trading Solely for Affiliated Proprietary Accounts
• 1975-09-17CFTC Staff Letter 75-10: No-Action Relief for Trade Association CTA Registration