WebDec 5, 2012 · Compliant with CFTC Rule 4.13 (a) (3) (i), (iii), and (iv) The claim for relief will be effective upon filing and must do the following: State the name, main business address, and main business telephone number of the CPO claiming the relief. State the capacity (i.e., CPO) and the name of the pool (s) for which the claim is being filed. WebJun 11, 2024 · The CFTC acknowledges that a CPO seeking to claim or reaffirm an exemption under CFTC Regulation 4.13 may be required to devote time and resources …
NFA issues notice on annual affirmation of exemption or exclusion …
WebJan 17, 2024 · Firms conducting Regulation S offerings (sometimes referred to as “Super Regulation S Offerings”) of interests in Commodity Pools operated under CFTC Rule 4.13 (a) (3) must continue to qualify... WebCommodity Futures Trading Commission ♦Market Participants Division ♦202-418-6700 . 8 ---- --3 The Commission has, however, amended 17 CFR 4.27 to include substituted compliance with respect to NFA ... Therefore, a dually registered IA-CPO may meet its filing obligations with both the SEC and the CFTC by completing and filing Form PF and NFA ... illinois power of attorney form healthcare
Reliance on the 4.13(a)(3) Exemption from Registration as a
WebSep 23, 2024 · CFTC Regulation 4.13 provides an exemption from these CPO registration requirements for certain categories of persons and entities, including those engaged in … WebDec 19, 2024 · The CFTC notably did not adopt proposed amendments to Rule 4.13 that would: (i) generally codify Advisory 18-96 pertaining to non-U.S. pools and (ii) add a … WebJul 13, 2024 · CFTC Adopts Amendment to Rule 4.13 to Prevent “Bad Actors” from Cla... PDF Share Client memorandum July 13, 2024 This communication is for general information only. It is not intended, nor should it be relied upon, as legal advice. In some jurisdictions, this may be considered attorney advertising. illinois power of attorney for property 2019