On September 9, 2014, the CFTC issued the following exemptive letters:
- The CFTC's DSIO issued a letter
providing relief from certain provisions of CFTC regulations
restricting marketing to the public in order to harmonize such
regulations with amendments to the Jumpstart our Business Startups
("JOBS") Act which permits general solicitation or
advertising subject to specific conditions.
The full text of the CFTC exemptive letter is available at: http://www.cftc.gov/ucm/groups/public/@lrlettergeneral/documents/letter/14-116.pdf - The CFTC's DSIO issued a letter
providing exemptive relief for certain registered commodity pool
operators ("CPOs") from filing CFTC Form CPO-PQR. The
relief is available for CPOs that are registered but have no
reporting obligations under part 4 of the CFTC's
regulations.
The full text of the CFTC exemptive letter is available at: http://www.cftc.gov/ucm/groups/public/@lrlettergeneral/documents/letter/14-115.pdf - The CFTC's DSIO issued an
exemptive letter providing relief to CPOs and expanding the list of
permissible third-party record-keepers that CPOs may use. The
relief allows CPOs to use additional record-keepers beyond those
specifically listed in CFTC regulations 4.7(b)(4) and
4.23(c).
The full text of the CFTC exemptive letter is available at: http://www.cftc.gov/ucm/groups/public/@lrlettergeneral/documents/letter/14-114.pdf
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