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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. 

 
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
Timetable:
Action Date FR Cite
NPRM  10/18/2018  83 FR 52902   
NPRM Comment Period End  12/17/2018 
Final Rule  11/00/2019 
Final Rule Effective  12/00/2019 
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
Acting Dep Director, Reg and Compliance Branch, Division of Swap Dealer and Intermediary Oversight
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, Division of Swap Dealer and Intermediary Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW.,
Washington, DC 20581
Phone:202 481-5985
Email: egroover@cftc.gov