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Cftc regulation 4.13 a

WebJun 4, 2024 · The Commission unanimously approved a final rule amendment to Regulation 4.13 in 17 CFR part 4, which contains the regulations applicable to commodity pool … WebFeb 28, 2012 · On February 9, 2012, the U.S. Commodity Futures Trading Commission (CFTC) rescinded CFTC Rule 4.13 (a) (4), which is the exemption from CFTC registration as a Commodity Pool Operator (CPO) that is commonly used by general partners, managers and sponsors of private funds that trade futures.

CFTC Closes a Loophole for Exempt Commodity Pool Operators

WebMay 2, 2012 · The CFTC had previously provided guidance to fund-of-funds managers on the ways in which they could comply with the requirements of Rule 4.13(a)(3). The … WebJan 17, 2024 · require firms claiming an exemption from CPO registration under CFTC Rule 4.13 to certify that neither they nor their principals are subject to a statutory disqualification under the CEA.... speight clinic munford tn https://forevercoffeepods.com

CFTC Unanimously Approves Final Rule at June 4 Open …

WebFeb 14, 2012 · The CFTC did not, as it had proposed, rescind the exemption from CPO registration under Rule 4.13(a)(3) for hedge funds that conduct a de minimis amount of trading in futures, commodity options ... WebThe commodity pool operator of a pool whose units of participation meet the criteria of paragraph (c) (1) (ii) of this section may claim the following relief: ( i) The pool operator of … WebJun 11, 2024 · The CFTC recently adopted an amendment to CFTC Regulation 4.13 for exemption from CPO registration, requiring a person claiming such exemption to represent that neither it nor any of its principals have incurred any of the statutory disqualifications set out in Section 8a (2) of the Commodity Exchange Act. speight chiropractic

CFTC Part 4 Exemption Easy Reference Guide

Category:Britain recognises CFTC oversight of US clearing houses in UK

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Cftc regulation 4.13 a

Effective September 8 - New CFTC Requirement for CPOs

WebFeb 27, 2024 · The amendment to Regulation 4.13(a)(3) is consistent with existing CFTC guidance and is not intended to affect the substance of the exemption. VI. Amended CFTC Regulation 4.5 Relating to Exclusion for RICs and BDCs On November 25, 2024, the CFTC approved amendments to Regulation 4.5. WebFeb 14, 2012 · Rule 4.7. The CFTC also adopted two minor amendments to Rule 4.7. First, the CFTC amended Rule 4.7(a)(3)(ix) and (a)(3)(x) to incorporate by reference the accredited investor standard from SEC Regulation …

Cftc regulation 4.13 a

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WebSep 23, 2024 · CFTC Regulation 4.13 provides an exemption from these CPO registration requirements for certain categories of persons and entities, including those engaged in … WebDec 16, 2024 · The US Commodity Futures Trading Commission (CFTC or Commission) recently voted 4-1 in an open meeting to codify existing staff no-action letters, permanently exempting qualified family offices from having to register as commodity pool operators (CPOs) and commodity trading advisors (CTAs), and waiving the notice filing obligation …

WebOct 11, 2012 · The CFTC stated that a fund manager may rely on CFTC Rule 4.13 (a) (3) with respect to a fund that will predominantly invest in non-derivatives even when its first position is a swap. The CFTC has acknowledged that a fund manager should be afforded a “reasonable time” to comply with the limitations set forth in CFTC Rule 4.13 (a) (3). WebJan 4, 2012 · • Rule 4.13 (a) (3): The so-called ‘limited trading’ exemption rule: under this rule, a CPO can be exempted from CFTC registration if the pool is not marketed as a vehicle for trading commodity interests or …

WebCFTC Regulation 4.13(a)(3) requires that interests in an applicable pool must be “offered and sold without marketing to the public in the United States” and CFTC Regulation 4.7(b) requires the CPO to offer or sell interests in a pool solely to qualified eligible persons (“QEPs”) in an offering which qualifies for a registration ... WebRule 4.13(a)(3) as it had proposed to do. The CFTC elected to rescind the Rule 4.13(a)(4) exemption for non-U.S. commodity pool operators and chose not to adopt an alternative exemption for non-U.S. commodity pool operators at this time. This was despite acknowledging that there had been significant comments arguing against this approach …

WebApr 14, 2024 · The BoE signed an agreement with the U.S. Commodities and Futures Trading Commission (CFTC) in 2024 to share information, and Friday’s announcement …

WebNov 25, 2024 · General Solicitation: CFTC Regulations 4.7 and 4.13 were amended to permit the exemptions under those rules to apply to offerings involving general solicitation as permitted under SEC Rule 506(c) (codifying relief previously granted in CFTC Letter 14-116), and to clarify that non-U.S. persons participating in exempt offerings under those … speight builtWebIn addition, the CFTC provides an affirmative means for CPOs to seek relief from the effects of the new regulation. CFTC Rule 4.12(a) permits the CFTC to exempt persons from … speight counseling services llcWeb(A) ( 1) Make and keep all books and records prepared in connection with its activities as a trading advisor, including all books and records demonstrating eligibility for and compliance with the applicable criteria for exemption under this section, for a period of five years from the date of preparation; and speight drilling