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CFTC RIN: 3038-AC46 Publication ID: Spring 2011 
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. The proposed regulation would codify relief given in several previous exemptive letters. 
Agency: Commodity Futures Trading Commission(CFTC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final 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  09/09/2010  75 FR 54794   
NPRM Comment Period End  10/25/2010    
Final Action  06/00/2011    
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