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CFTC | RIN: 3038-AE76 | Publication ID: Fall 2019 |
Title: Codification of Relief for Commodity Pool Operators and Commodity Trading Advisors | |
Abstract:
The Commodity Futures Trading Commission ("Commission") is proposing to amend its regulations governing Commodity Pool Operators ("CPOs") and Commodity Trading Advisors ("CTAs") in part 4 of its regulations. The proposed amendments would codify longstanding relief available to qualifying registered CPOs with respect to their offshore commodity pools under Advisory 18-96. The Commission is also proposing to add a requirement that CPOs claiming exemption under Regulation 4.13 represent that neither they nor their principals are subject to a statutory disqualification that would otherwise prevent them from registering in any capacity with the Commission. The proposal would also codify registration relief currently provided through staff letter to family offices and business development companies, as well as exemptive relief from the prohibitions against general solicitation for pools operated under Regulations 4.7 and 4.13(a)(3), and relief with respect to Form CPO-PQR for certain CPOs and CTAs. |
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Agency: Commodity Futures Trading Commission(CFTC) | Priority: Other Significant |
RIN Status: Previously published in the Unified Agenda | Agenda Stage of Rulemaking: Final Rule Stage |
Major: No | Unfunded Mandates: No |
EO 13771 Designation: Independent agency | |
CFR Citation: 17 CFR 4 | |
Legal Authority: 7 U.S.C. 4m 7 U.S.C. 4n |
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: Amanda L. Olear Director, Market Participants Division Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581 Phone:202 418-5283 Email: aolear@cftc.gov Elizabeth Groover Special Counsel, Market Participants Division Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581 Phone:202 481-5985 Email: egroover@cftc.gov |