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CFTC Publishes Long-Awaited JOBS Act Relief

The staff of the Commodity Futures Trading Commission (CFTC) published a no-action letter on September 9, 2014 (available here) that permits certain commodity pool operators (CPOs) to conduct general solicitation in private...more

9/12/2014 - CFTC CPO Disclosure Requirements Exemptions General Solicitation JOBS Act No-Action Letters Private Offerings Reporting Requirements Rule Rule 144A Rule 506(c) SEC

CFTC Staff Announces Streamlined Process for CPO Delegation

On March 12, 2014, the Commodity Futures Trading Commission (CFTC) staff issued the long-awaited guidance letter relating to the delegation of commodity pool operator (CPO) functions from persons that might otherwise be...more

5/15/2014 - CFTC CPO No-Action Letters No-Action Relief

CFTC Amends Certain Record Retention and Document Distribution Requirements for All CPOs and CTAs

On August 13, 2013, the Commodity Futures Trading Commission (CFTC) adopted amendments to certain provisions of Part 4 of the CFTC regulations that are applicable to all commodity pool operators (CPOs) and commodity trading...more

8/21/2013 - CFTC Commodity Pool CPO CTA Disclosure Requirements Distribution Rules Documentation Investment Company Act of 1940 Recordkeeping Requirements RICs SEC

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