Commodity Futures Trading Commission

2,362 documents, newest first — showing 1,601–1,800.

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2002-02-27CFTC Staff Letter 02-20: Exemption from Books and Records Location Requirements for CPO/CTA
2002-02-27CFTC Staff Letter 02-15: Exemption for 4.7 Fund of Funds Pool Quarterly Reporting Deadline
2002-02-27CFTC Staff Letter 02-14: Exemption for 4.7 Fund of Funds Pool Quarterly Reporting Timeline
2002-02-25CFTC Staff Letter 02-11: Exemption from Certified Annual Report for Small Closely Held Fund
2002-02-25CFTC Staff Letter 02-12: Exemption from Certified Annual Report for Small Closely Held Fund
2002-02-19CFTC Staff Letter 02-10: Exemption from Rule 4.22(d) Audit Requirement for Fund's 2001 Annual Report
2002-02-14CFTC Staff Letter 02-09: Exemption from Rule 4.22(d) Audit Requirement for Pool Fiscal Year 2001
2002-02-05CFTC Staff Letter 02-08: No-Action Position on CTA Registration for Streaming Video Providers
2002-01-24CFTC Staff Letter 02-06: Exemption from Rules 4.21 and 4.22 for Master Fund Operations
2002-01-24CFTC Staff Letter 02-07: No-Action Relief from CPO Registration and Confirmation of CTA Exemption for Family Fund
2002-01-08CFTC Staff Letter 02-04: Registration Exemption for Investment Club Operators Trading Off-Exchange Foreign Currency
2002-01-08CFTC Staff Letter 02-05: Regulation of Off-Exchange Foreign Currency Trading by FCMs and Licensees
2001-12-20CFTC Staff Letter 02-02: Denial of Exemption from SRO Action Disclosure for CPO/CTA
2001-12-20CFTC Staff Letter 02-03: No-Action Position on CPO and CTA Registration for SEC-Registered Investment Adviser Operating ERISA Plan LLC
2001-12-12CFTC Staff Letter 01-91: Registration Exemption for Fund Management Companies Managing Retail Off-Exchange Foreign Currency Accounts
2001-12-11CFTC Staff Letter 02-01: Registration Not Required for Staff and Employee Leasing Companies
2001-12-11CFTC Staff Letter 01-90 (No-Action): Exemption for Monthly Reporting by CPO of a 4.7 Pool
2001-12-11CFTC Staff Letter 01-92: NFA Membership Requirements for Registered CTAs
2001-12-03CFTC Staff Letter 01-88: Electronic Storage of Records in PDF Format Under Rule 1.31
2001-11-21CFTC Staff Letter 01-86: Exemption from Reporting Requirements for Master Funds
2001-11-21CFTC Staff Letter 01-85: Exemption from Rules 4.21 and 4.22 for CPO X
2001-11-02CFTC Staff Letter 01-83: Regulation of Foreign Currency Market Activities
2001-11-02CFTC Staff Letter 01-82: Interpretation of CTA Registration and Exemptions for Educational Companies
2001-10-30CFTC Staff Letter 01-84: Third-Party Technical Consultant Requirement Under Rule 1.31
2001-10-24CFTC Staff Letter 01-81: Exemption from Reporting Requirements for Master Fund CPO
2001-10-15CFTC Staff Letter 01-87: Guidance on Website Disclosures for S&P 500 Futures Forecasts
2001-10-11CFTC Staff Letter 01-80: Exemption from Rule 4.23 Books and Records Location Requirement
2001-09-28CFTC Staff Letter 01-89: Jurisdiction and Registration Requirements for Internet Foreign Currency Trading Advice
2001-09-24CFTC Staff Letter 01-79: Exemption from Rule 4.22(d) Audit Requirement for Closed Fund's 2001 Annual Report
2001-09-10CFTC Staff Letter 01-78: Exemption from Rules 4.21 and 4.22 for Master Fund CPO
2001-08-09CFTC Staff Letter 01-77: No-Action Confirmation for Puerto Rico Funds Following Name Changes and Addition of Advisors
2001-07-30CFTC Staff Letter 01-75: No-Action Relief for SFE Corporation Limited SYCOM System Access
2001-07-30CFTC Staff Letter 01-74: No-Action Relief for HKFE HKATS Access by Non-Exchange Participants
2001-07-30CFTC Staff Letter 01-76: No-Action Relief from Rule 3.32 for CTA Reorganization
2001-07-17CFTC Staff Letter 01-72: Exemption from Rule 4.22(d) Audit Requirement for Pools Y and YY
2001-07-17CFTC Staff Letter 01-71: Extension of Time to File Audited Annual Reports for Pools Y, YY, and YYY
2001-07-11CFTC Staff Letter 02-22: No-Action for Limited-Purpose FCMs and APs Trading Proprietary Electronic Futures
2001-07-06CFTC Staff Letter 01-70: Applicability of Privacy Rules to Institutional Investors
2001-07-02CFTC Staff Letter 01-69: Assets of Revocable Grantor Trusts Considered for QEP Status
2001-06-28CFTC Letter No. 01-68: Extension of Time to File 2000 Annual Report for Fund Y
2001-06-21CFTC Staff Letter 01-66: Extension of Time to File Annual Report for Commodity Pool Operator
2001-06-21CFTC No-Action Relief for Newsletter Author Not Registering as Introducing Broker
2001-06-21CFTC Staff Letter 01-73: No-Action Relief from CPO and CTA Registration for State-Regulated Insurance Companies
2001-06-19CFTC Staff Letter 01-63: Exemption from Rules 4.21 and 4.22 for Joint CPOs of Master and Feeder Funds
2001-06-14CFTC Staff Letter 01-61: No-Action Request for S&P Euro and S&P Europe 350 Index Futures on MEFF Renta Variable
2001-06-14CFTC Staff Letter 01-64: Exemption from CTA Registration for Weather Prediction Software Developer
2001-06-13CFTC Staff Letter 01-62: No-Action Position on CPO and CTA Registration for Non-U.S. Entities Advising a Cayman Islands Pool
2001-06-13CFTC Staff Letter 01-59: Extension of Time to File Annual Report for Commodity Pool Y
2001-06-13CFTC Staff Letter 01-60: Requirements for Hypothetical and Proprietary Performance Presentations on a CTA Website
2001-06-13CFTC Staff Letter 01-58: Extension of Time to File Audited Reports for Pools Y and YY
2001-06-08CFTC Staff Letter 01-57: Extension of Time to File Audited Report for Commodity Pool Y
2001-06-08CFTC Staff Letter 01-51: Extension of Time to File Annual Report for Commodity Pool Y
2001-06-08CFTC Staff Letter 01-52: Extension of Time to File Annual Report for Commodity Pool
2001-06-08CFTC Staff Letter 01-56: Extension of Time to File Audited Reports for Pools Y, YY, and YYY
2001-06-08CFTC Staff Letter 01-54: Extension of Time to File Annual Report for Commodity Pool Y
2001-06-08CFTC Staff Letter 01-50 (No-Action): Extension of Time to File Audited Reports for Pools Y, YY and YYY
2001-06-08CFTC Staff Letter 01-53: Extension of Time to File Audited Annual Report for Commodity Pool Operator
2001-06-08CFTC Staff Letter 01-55: Extension of Time to File Audited Annual Report for Commodity Pool Operator
2001-05-31CFTC Staff Letter 01-48: Applicability of CFTC Privacy Rules to Operators of Certain Hedge Funds
2001-05-30CFTC Staff Letter 01-47 (No-Action): Permitting Offer and Sale of LIFFE Mini Futures Contract on FTSE 100 Index in the United States
2001-05-24CFTC Staff Letter 01-49: No-Action Position on Delegatee Status for Subsidiary of Securities Association
2001-05-24CFTC Staff Letter 01-46: Extension of Time to File Audited Annual Reports for Pools Y and YY
2001-05-23CFTC No-Action Letter 01-45: Offer and Sale in the U.S. of S&P/TOPIX 150 Index Futures Traded on the Tokyo Stock Exchange
2001-05-16CFTC No-Action Letter 01-42: Offer and Sale of MiniFIB Futures Contract in the U.S.
2001-05-16CFTC Staff Letter 01-43: Exemption from Rule 4.22(d) Audit Requirement for Fund Y
2001-05-02CFTC Staff Letter 01-44: Exemption from Reporting Requirements for Master Fund CPO
2001-04-23CFTC Staff Letter 01-41: No-Action Position for CPO Registration of Grain Farmer Marketing Club
2001-04-20CFTC Staff Letter 01-38: Extension to File Audited Annual Reports for Pools Y, YY, and YYY
2001-04-20CFTC Staff Letter 01-39: Extension to File Audited Annual Reports for Pools Y, YY, and YYY
2001-04-20CFTC Staff Letter 01-40: Treatment of Petition for Hybrid Instrument Exclusion as Withdrawn
2001-04-17CFTC Staff Letter 01-37: Exemption from Rule 4.22(c) Annual Report Distribution for Pool Y
2001-04-17CFTC Staff Letter 01-36: Exemption from Rule 4.22(c) Annual Report Distribution for Pool YY
2001-04-04CFTC Staff Letter 01-34: Extension of Time to File Annual Reports for Pools under Rule 4.22(f)(1)
2001-04-03CFTC Staff Letter 01-33: Exemption from Audit and Certification Requirements for a Liquidating Pool's Annual and Closeout Reports
2001-04-03CFTC Staff Letter 01-32: Exemption from Rule 4.22 Audit Requirements for Partnership Fiscal Year 2000
2001-04-02CFTC Staff Letter 01-30: Exemption from Rule 4.23(a) Books and Records Location Requirement
2001-04-02CFTC Staff Letter 01-31: Interpretation of Rule 1.25(c)(5) Redemption Requirements for Money Market Mutual Funds
2001-03-30CFTC Staff Letter 01-29: Exemption from Rule 4.22(d) Audit for Pool Commencing September 1, 2000
2001-03-29CFTC Staff Letter 01-27: Exemption from Rule 4.22(d) Audit Requirement for Fund Fiscal Year 2000
2001-03-29CFTC Staff Letter 01-25: Extension of Time to File Annual Report for Commodity Pool
2001-03-29CFTC Staff Letter 01-24: Exemption from Rule 4.22(c) and (d) for CPO Y
2001-03-29CFTC Staff Letter 01-28: Exemption from Rule 4.22(d) Certification for Dissolved Pool
2001-03-29CFTC Staff Letter 01-26: Exemption from Rule 4.22(c) and (d) for CPO of Liquidated Partnership
2001-03-29CFTC Letter No. 01-23: Exemption from Certified Annual Report for Small Closely Held Partnership
2001-03-28CFTC Staff Letter 01-22: Extension of Time to File Annual Report for Pool Y
2001-03-26CFTC No-Action Relief for Guaranteed Introducing Broker Carrying Accounts with Non-Guarantor FCMs
2001-03-23CFTC Staff Letter 01-19: Exemption from Reporting Requirements for Master Fund Operation
2001-03-23CFTC Staff Letter 01-21: No-Action Regarding CPO Registration Exemption for Dual Fund Manager
2001-03-19CFTC Staff Letter 01-17: Exemption from Rule 4.22(d) Audit Requirement for Pool Commencing September 1, 2000
2001-03-16CFTC Staff Letter 01-15: Exemption from Rule 4.22(d) Audit Requirement for WW and W
2001-03-16CFTC Letter No. 01-16: Exemption from Certified Annual Report for Fund Y
2001-03-16CFTC Staff Letter 01-14: Exemption from Certified Annual Report for Small Closely Held Fund
2001-03-15CFTC Letter No. 01-13: Denial of Exemption from Audited Annual Report Requirement for Commodity Pool
2001-03-14CFTC Letter No. 01-12: Exemption from Rule 4.23 Books and Records Location Requirement for Non-U.S. Commodity Pool Z
2001-03-13CFTC Staff Letter 01-18: Exemption from Certified Form 1-FR-FCM Filing for Firm X
2001-03-12CFTC Staff Letter 01-35: Registration Requirements for Internet Website Operators Providing Commodity Interest Advice and Account Management
2001-03-12CFTC Staff Letter 01-11: No-Action Relief for London Metal Exchange Limited
2001-02-23CFTC Staff Letter 01-09: Exemption from Audited Annual Report Requirement for Commodity Pool Y
2001-02-22CFTC Staff Letter 01-10: No-Action Relief from CPO Registration for Administrative General Partner
2001-02-09CFTC Staff Letter 01-06: Exemption from Rule 4.23 Books and Records Location Requirement
2001-01-30CFTC Staff Letter 01-05: Exemption from Certified Annual Report for Pool with Affiliated Participants
2001-01-25CFTC Staff Letter 01-04: Exemption from Audited Annual Report for Dissolved Pool
2001-01-17CFTC Staff Letter 01-01: Exemption from Audited Annual Report Requirements for Fund Y
2001-01-16CFTC Staff Letter 01-03: Exemption from Reporting Requirements for CPO X
2001-01-11CFTC Staff Letter 01-07: No-Action for Administrative General Partner and Directors of Tax-Exempt Investor Pool
2000-12-08CFTC Staff Letter 00-107: Exemption from Audit Requirement for Fund 4.22(d) Annual Report
2000-12-04CFTC No-Action Letter 00-108: U.K. Electronic Trading Platform for Physical Commodity Swaps
2000-12-01CFTC Staff Letter 01-02: No-Action Position for Registered IB Transferring Customer Funds Without FCM Registration
2000-11-22CFTC Staff Letter 00-106: Obligations of FCMs Regarding Deficits and Assigned Claims
2000-11-16CFTC Staff Letter 00-104: No-Action Relief for Eurex Zurich Ltd. Electronic Trading System
2000-11-15CFTC Staff Letter 00-105: No-Action Relief for Online Agricultural Marketplace Linking Elevators to FCMs
2000-11-14CFTC Staff Letter 00-102: Exemption from Rule 4.22(c) and (d) for Fund Annual and Closing Reports
2000-11-13CFTC No-Action Letter 00-103: SPI 200 Futures Contract Offer and Sale in the U.S.
2000-11-07CFTC Staff Letter 00-101: No-Action Position on Capital Charges for Inter-Exchange Spreads
2000-11-01CFTC Staff Letter 00-100: Limited Partnership of Family Members Not a Commodity Pool
2000-10-17CFTC Staff Letter 00-99: No-Action Position for Unregistered Co-Managing Member in Master-Feeder Structure
2000-10-04CFTC Staff Letter 00-96: No-Action Position on CPO and CTA Registration for Offshore Fund Management Company and Adviser
2000-10-03CFTC Staff Letter 00-95: No-Action Position on CPO and CTA Registration for Foreign Investment Funds
2000-09-27CFTC Staff Letter 00-94: No-Action Relief for New York Branch of French Bank as Introducing Broker
2000-09-24CFTC Staff Letter 00-97: Extension of No-Action Relief from CPO and CTA Registration for State-Regulated Insurance Company
2000-09-21CFTC No-Action Letter 00-93: OM London Exchange Limited Electronic Trading and Clearing Systems
2000-09-20CFTC Staff Letter 00-92: Exemption from QEP Criteria for Rule 4.7 Exempt Pool
2000-09-13CFTC Staff Letter 00-91: No-Action on Rule 1.46 Same-Day Closing Requirement for Combined Trading Programs
2000-09-11CFTC Staff Letter 00-88: Exemption for CPO from Rule 4.7(b) Filing and Record Location Requirements
2000-09-11CFTC Staff Letter 00-89: Interpretation That a Limited Partnership Engaged in Pork Production Is Not a Commodity Pool
2000-09-11CFTC Staff Letter 00-87: Exemption from Rules 4.21 and 4.22 for Master Fund CPO
2000-08-30CFTC Staff Letter 00-90: Exemption from Certification Requirement for Fund of Funds Annual Report
2000-08-11CFTC Staff Letter 01-08: No-Action Positions for CPO and CTA Registration Regarding Pension Plan Group Trusts and Insurance Accounts
2000-08-09CFTC Staff Letter 00-86: Exemption from Disclosure, Reporting, and Recordkeeping for Registered CPO W
2000-08-09CFTC Staff Letter 00-85: Exemption from Reporting Requirements for Sub-Funds
2000-07-05CFTC Staff Letter 00-82: No-Action Relief from CPO Registration for Co-General Partner
2000-07-05CFTC Staff Letter 00-83: Confirmation of Continued Effectiveness of Prior CPO and CTA No-Action Positions for Puerto Rico Funds Following Manager Substitution
2000-07-05CFTC Staff Letter 00-81: Exemptive Relief for CPO to Treat Fund Manager Employees as Qualified Eligible Participants
2000-06-30CFTC Staff Letter 00-78: Policy Statement on Listing New Futures and Option Contracts by Foreign Boards of Trade with US-located Trading Systems
2000-06-30CFTC Staff Letter 00-79: No-Action Position on Capital Charge for Hedged GSCI Futures Positions
2000-06-30CFTC Staff Letter 00-80: No-Action Relief for Electronic Commodities Trading Platform
2000-06-21CFTC No-Action Letter for MSCI Singapore Free Stock Index Futures on SGX-DT
2000-06-13CFTC Staff Letter 00-76: Exemption from Certified Annual Report Requirement for Fund Ceased Operations
2000-06-09CFTC Staff Letter 00-75: No-Action Relief for HKFE HKATS Access in the US
2000-06-08CFTC Staff Letter 00-74: Exemption from Rule 4.22(d) Certification for Pool Cessation Report
2000-05-30CFTC Staff Letter 00-72: Exemption from Certification Requirement for Commodity Pool Annual Reports
2000-05-26CFTC Staff Letter 00-70: Exemption from Rule 4.7(a)(2)(ii) Account Statement Delivery for Master Fund Feeder Funds
2000-05-26CFTC Staff Letter 00-67: Confirmation of No-Action Relief for Expanded Employee Participation in CPO Investment Vehicles
2000-05-26CFTC Staff Letter 00-71: Exemptive Relief for Treating Parent Organization Employee as QEP
2000-05-25CFTC Staff Letter 00-73: No-Action for OM Exchange Limited and OM Stockholm Futures on the OMXCAP Index
2000-05-22CFTC Staff Letter 00-68: Exemption from Rule 4.7(a) for Knowledgeable Employees
2000-05-22CFTC Staff Letter 00-98: Family Limited Partnerships Not Commodity Pools or CPOs
2000-05-22CFTC Staff Letter 00-69: Exemptive Relief for Registered CPOs Regarding QEP Criteria and Rule 4.7(a)
2000-05-16CFTC Staff Letter 00-65: Denial of Retroactive No-Action Position for CPO Registration
2000-05-12CFTC Staff Letter 00-63: Exemption for Registered CPO to Treat Knowledgeable Employees as Qualified Eligible Participants
2000-05-12CFTC Staff Letter 00-61: No-Action Position for Registered Investment Adviser to a Family of Canadian Mutual Funds
2000-05-09CFTC Staff Letter 00-66: Exemption from CPO Reporting Requirements for Sub-Funds
2000-05-09CFTC Staff Letter 00-62: Exemption from Rule 4.7(a) for Family Members of CPO Principals
2000-05-08CFTC Staff Letter 00-64: No-Action Relief for Electronic Commodities Trading Platform
2000-05-02CFTC Staff Letter 00-59: No-Action on Using Fannie Mae or Freddie Mac Debt Securities to Offset Customer Account Deficits for Segregation
2000-04-28CFTC Staff Letter 00-60: Exemption from Books and Records Location Requirements for CPO and CTA
2000-04-13CFTC Staff Letter 00-56: Revision of Guidance on Exchange Disciplinary Actions for Floor Broker/Trader Registration
2000-04-06CFTC Staff Letter 00-52: No-Action Relief for Offer and Sale of Eurex Deutschland Futures Contracts on STOXX 50 and EURO STOXX 50 Indices
2000-04-06CFTC No-Action Letter Permitting U.S. Offer and Sale of LIFFE Futures on MSCI Pan-Euro and Euro Indices
2000-04-05CFTC Staff Letter 00-55: No-Action Relief for LIFFE Futures Contracts on FTSE Eurobloc 100, Eurotop 300, and Eurotop 300 (Ex. U.K.) Indices
2000-04-04CFTC Staff Letter 00-58: Exemption from Audit Requirement for Small Pool's 1999 Annual Report
2000-04-03CFTC Staff Letter 00-47: Exemption from Separate Financial Reporting for Interrelated Commodity Pools
2000-04-03CFTC Staff Letter 00-48: Segregation of Customer Funds for LMEX Contracts on the LME
2000-03-31CFTC Staff Letter 00-44: No-Action Position on IB Registration for US Bank Foreign Branches
2000-03-31CFTC Staff Letter 00-45: Exemption from Disclosure and Recordkeeping for Offshore Commodity Pool
2000-03-31CFTC Staff Letter 00-46 (No-Action): Denial of Exemption from Annual Report Filing for Commodity Pool Operator
2000-03-30CFTC Staff Letter 00-54: Exemption for CPO Treating Employee Pool as QEP
2000-03-24CFTC Staff Letter 00-53: No-Action Position on CPO and CTA Registration for REIT Directors and Advisors
2000-03-24CFTC Staff Letter 00-50: No-Action Position on CPO and CTA Registration for REIT Hedging
2000-03-24CFTC Staff Letter 00-49: No-Action Position on CPO and CTA Registration for Real Estate Investment Trust Hedging
2000-03-20CFTC Staff Letter 00-42: Net Capital Treatment of Investment in Affiliate Money Market Fund
2000-03-16CFTC Staff Letter 00-40: Exemption from Rule 4.22(d) Audit Requirement for Small Pool
2000-03-15CFTC Staff Letter 00-39: Exemption from Rule 4.22(c) Audit Requirements for Small Pool Y
2000-03-14CFTC Staff Letter 00-41: Extension of No-Action Relief for FTSE Euro Symbol Stars Index
2000-03-10CFTC Staff Letter 00-33: Exemption from Rule 4.7(a) for Knowledgeable Employees
2000-03-10CFTC Staff Letter 00-28: Exemption for CPO Employee Investment in Rule 4.7 Exempt Pool
2000-03-10CFTC Staff Letter 00-27: No-Action Letter for LIFFE FTSE Eurotop 100 Index Futures
2000-03-09CFTC Staff Letter 00-37: Exemption from Certified Annual Report for CPO of Family Pool
2000-03-08CFTC Staff Letter 00-35: Exemption from Time Requirements of Rule 4.7(a)(2)(iii) for Funds of Funds
2000-03-07CFTC Staff Letter 00-34: Exemption from Audit Requirement for Small Pool
2000-03-06CFTC Staff Letter 00-36: Exemption from Rule 4.22(d) Audit Requirement for Small Fund
2000-03-03CFTC Staff Letter 00-23: Exemption from Audit Requirement for Fund Liquidation
2000-03-02CFTC Staff Letter 00-26: Exemption from Certified Annual Report for Small Pool
2000-02-29CFTC Staff Letter 00-25: Exemption from Rule 4.22(d) Certification for Small Commodity Pool
2000-02-29CFTC Staff Letter 00-32: Exemptive Relief for CPO to Treat Managing Directors as Qualified Eligible Participants
2000-02-29CFTC No-Action Letter 00-21: MONEP Exchange Futures Contracts on Dow Jones STOXX 50 and EURO STOXX 50 Indices
2000-02-29CFTC Staff Letter 00-57: Exemption for Managing Members of Law Firm Investment LLC
2000-02-24CFTC Staff Letter 00-18: Exemption from Audit Requirement for Small Pool
2000-02-23CFTC Staff Letter 00-30: No-Action Relief for FCMs Carrying CME Market Maker Accounts
2000-02-18CFTC Staff Letter 00-19: Exemption from Books and Records Location Requirement for Offshore CTA
2000-02-16CFTC Staff Letter 00-20: Exemption for CPO to Treat Non-QEP Employee as QEP Under Rule 4.7(a)
2000-02-11CFTC Staff Letter 00-24: Exemption from Rule 4.22(d) Certification for Fund XX
2000-02-01CFTC Staff Letter 00-13: Exemption from Audit Requirement for Small Fund
2000-01-31CFTC Staff Letter 00-12: Exemption from Certified Audit Requirement for Rule 4.22 Annual Report
2000-01-28CFTC Staff Letter 00-11: Exemption from Rule 4.22(d) Certification for Small Pool Dissolution
2000-01-28CFTC Staff Letter 00-16: Exemption for Registered CPO to Treat Certain Employees as Qualified Eligible Participants
2000-01-28CFTC Staff Letter 00-14: Exemption for Registered CTA to Treat Fund as Qualified Eligible Client
2000-01-28CFTC Staff Letter 00-17: Exemption for CPOs to Treat Non-QEP Employees as QEPs Under Rule 4.7(a)
2000-01-28CFTC Staff Letter 00-15: Exemption from Rule 4.33 Books and Records Location Requirement for Registered CTA
2000-01-12CFTC Staff Letter 00-08: Exemption for Knowledgeable Employees to Invest in Rule 4.7 Exempt Pools