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CFTC | RIN: 3038-AC46 | Publication ID: Spring 2009 |
Title: Exemption From Subpart B for Certain Commodity Pool Operators Where Units of Pool Participation Are Listed for Trading on a National Securities Exchange | |
Abstract: The proposed regulation would provide the registered commodity pool operator of a commodity pool whose units of participation are listed for trading on a national securities exchange certain exemptions from: (1) The Disclosure Document delivery and acknowledgement requirements of Regulation 4.21; (2) the Account Statement distribution requirement of Regulation 4.22; and (3) the books and records location requirement of Regulation 4.23, provided the CPO complies with the alternative requirements specified in the proposed regulation. | |
Agency: Commodity Futures Trading Commission(CFTC) | Priority: Substantive, Nonsignificant |
RIN Status: Previously published in the Unified Agenda | Agenda Stage of Rulemaking: Proposed Rule Stage |
Major: No | Unfunded Mandates: No |
CFR Citation: 17 CFR 4.12(c) | |
Legal Authority: 7 USC 1a 7 USC 2 7 USC 6b to 6c 7 USC 6l to 6o 7 USC 12a |
Legal Deadline:
None |
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Timetable:
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Regulatory Flexibility Analysis Required: No | Government Levels Affected: None |
Small Entities Affected: No | Federalism: No |
Included in the Regulatory Plan: No | |
RIN Data Printed in the FR: No | |
Agency Contact: Barbara Gold Associate Director, Division of Swap Dealer and Intermediary Oversight Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581 Phone:202 418-5441 Email: bgold@cftc.gov |