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CFTC

RIN: 3038-AC46

Publication ID: Fall 2008

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

Timetable: Action Date FR Cite NPRM  02/00/2009

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