Source: http://www.nfa.futures.org/NFA-compliance/NFA-commodity-pool-operators/cpo-exemptions.HTML
Timestamp: 2014-09-01 11:18:13
Document Index: 553701991

Matched Legal Cases: ['§4', '§4', '§4', '§4', '§4', '§4', '§4', '§4', '§4', 'art 4', 'art 4', 'art 4']

Exemptions Available to CPOs
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Home	> Compliance	> Commodity Pool Operators (CPOs)	> Exemptions Available to CPOs
A CPO may request relief for its pools pursuant to certain CFTC Regulations. A CPO must claim relief electronically through NFA's Exemption System. Below are regulations that may offer such relief: Pursuant to CFTC Regulation §4.7, commodity pools whose participants are limited to qualified eligible persons (QEPs) may claim relief from providing such participants with a Disclosure Document and other CFTC requirements. More...
Pursuant to CFTC Regulation §4.7(b)(4), a CPO of a commodity pool may claim relief from maintaining books and records at the main business office. More...
Pursuant to CFTC Regulation §4.12(b), a CPO may claim relief from specific requirements if the pool routinely invests in securities and less than 10% of the pool's assets invest in futures. More...
Pursuant to CFTC Regulation §4.12(c)(2), a CPO of a commodity pool whose units of participation are listed and traded on a national securities exchange may claim relief from certain disclosure, reporting, and recordkeeping requirements. More...
Pursuant to CFTC Regulations §4.12(c)(3), a CPO of a Registered Investment Company may claim relief to use substituted compliance in connection with certain requirements. More...
Pursuant to CFTC Regulations §4.13(a)(3), commodity pools whose pool trades minimal amount of futures may claim relief from preparing a Disclosure Document and from other CFTC requirements. More ...
Pursuant to CFTC Regulation §4.13(a)(5), certain independent directors or trustees of actively-managed commodity pools operated by a CPO that is eligible to claim relief under CFTC Regulation §4.12(c) may claim relief from CPO registration. More...
Pursuant to CFTC Regulation §4.23(c), a CPO and its pools may claim relief from maintaining books and records at the main business office. More...
Pursuant to CFTC Advisory No. 18.96, a CPO who operates offshore commodity pools may be eligible for relief from preparing a Disclosure Document and from other CFTC requirements. More... *
*Exemptions pursuant to CFTC Advisory No. 18.96 must be filed with NFA in hardcopy. Please note that NFA's address listed in the CFTC advisory is incorrect. The correct address is: National Futures Association (Attn: Director of Compliance, Compliance Department), 300 South Riverside Plaza, Suite 1800, Chicago, Illinois, 60606.
File a Part 4 Exemption
File Annual Affirmation
Regulatory Requirements for Previously Exempt Commodity Pools (webinar)
CFTC Part 4 Exemption - Easy Reference Guide
CFTC Part 4 Exemption Regulations
CFTC's DSIO Issues No-Action Relief from Rescission of Regulation 4.13(a)(4) and Amendments to Regulation 4.5