Commodity Pool, CPO

CFTC Proposes Relief for Non-US Commodity Pool Operators

Morgan Lewis on 6/9/2020

The US Commodity Futures Trading Commission has proposed amendments to CFTC Regulation 3.10(c)(3) to allow non-US commodity pool operators to claim an exemption from registration with respect to their offshore commodity pools...more

CFTC Proposes to Narrow its CPO-PQR to Conform to the NFA Form PQR and Add LEIs

Akin Gump Strauss Hauer & Feld LLP on 4/16/2020

On April 14, 2020, the Commodity Futures Trading Commission (CFTC) proposed, among other things, to narrow and revise the scope of information that it collects from commodity pool operators (CPOs) on its Form CPO-PQR to: ...more

CFTC Proposes to Codify Relief for CPOs and CTAs

K&L Gates LLP on 11/1/2018

Introduction - The U.S. Commodity Futures Trading Commission (“CFTC” or “Commission”) is proposing amendments to its regulations governing commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) to codify...more

CFTC Proposes to Streamline Regulations for Commodity Pool Operators and Commodity Trading Advisors

Orrick - Finance 20/20 on 10/18/2018

On October 9, the Commodity Futures Trading Commission (“CFTC“) unanimously approved proposed rules as a part of its KISS initiative to simplify regulations for commodity pool operators (“CPOs“) and commodity trading advisors...more

CFTC Proposes to Codify Existing Staff-Issued Relief from Registration and Other Compliance Requirements for CPOs and CTAs

Akin Gump Strauss Hauer & Feld LLP on 10/17/2018

• CPOs and CTAs of offshore commodity pools, family offices and business development companies would be exempt from registering with the CFTC. • Certain registered CPOs and CTAs would not be required to file Form CPO-PQR...more

A Light Lift: CFTC Proposes to Codify Existing No-Action Relief and Other Relief Applicable to CPOs and CTAs

Morgan Lewis on 10/12/2018

The US Commodity Futures Trading Commission has proposed a rule to streamline its regulation of commodity pool operators and commodity trading advisors, with most proposed amendments codifying, and in some cases broadening,...more

Affirmations of CPO and CTA registration exemptions are due by March 1, 2018

Eversheds Sutherland (US) LLP on 2/14/2018

Persons claiming exemptions from registration as a commodity pool operator (CPO) or a commodity trading advisor (CTA) must affirm their exemptions by March 1, 2018. Pursuant to Commodity Futures Trading Commission (CFTC)...more

CFTC Permits Unaudited Financial Statements Upon Liquidation of a Series of a Pool That is Also a Registered Investment Company

K&L Gates LLP on 2/7/2017

The Commodity Futures Trading Commission (“CFTC” or “Commission”) has provided general exemptive relief to persons registered as commodity pool operators (“CPO”) under the Commodity Exchange Act that operate commodity pools...more

CFTC Unanimously Approves Final Rule Amendments to Its Regulations Regarding CPO Financial Reports

Orrick - Finance 20/20 on 11/30/2016

On November 21, 2016, the U.S. Commodity Futures Trading Commission (“CFTC“) announced that it had approved amendments to its regulations applicable to commodity pool operators and the financial reports they are required to...more

NFA Proposal Would Require CFTC-Registered Asset Managers to Report on Financial Condition

Morgan Lewis on 9/16/2016

The National Futures Association’s (NFA’s) latest proposal would require registered commodity pool operators and commodity trading advisors to provide new information about their financial condition in quarterly reports to...more

Financial Services Weekly News Roundup - September 2014

Goodwin on 9/18/2014

In This Issue: The CFTC provided long-awaited exemptive relief for commodity pool operators that wish to offer their funds in private offerings using general solicitation under Rule 506(c) of the SEC’s Regulation D. ...more

Corporate and Financial Weekly Digest - Volume IX, Issue 36

Katten Muchin Rosenman LLP on 9/15/2014

In this issue: - Bylaw of Delaware Corporation Providing for Exclusive Forum in North Carolina Upheld - FINRA Board to Consider Rule Proposals Regarding Private Trading Platforms - CBOE and C2 in...more

CFTC Eliminates Barrier to Hedge Funds Using JOBS Act General Solicitation

Stinson - Corporate & Securities Law Blog on 9/10/2014

Many hedge funds have been reluctant to use general solicitation to offer securities because of the possibility it would be inconsistent from exemptions related to CPO (commodity pool operator) regulations administered by the...more

NFA Issues Notice Regarding Changes to Form PQR and Form PR

Katten Muchin Rosenman LLP on 6/11/2014

On June 5, National Futures Association issued a notice to its members informing them that NFA has made several minor changes to the commodity pool operator Form PQR and commodity trading advisor Form PR...more

Broker, Two Employees Alleged to Violate SEC Market Access Rule

Dorsey & Whitney LLP on 6/11/2014

The Commission’s inspection program, conducted by the Office of Compliance Inspections and Examinations or OCIE, has been the source of a number of enforcement actions. One example is the recently filed case against dark pool...more

Corporate and Financial Weekly Digest - Volume IX, Issue 23

Katten Muchin Rosenman LLP on 6/9/2014

In this issue: - SEC Chair Gives Speech on Equity Market Structure - New CFTC Commissioners Confirmed; Chairman Sworn In - CFTC Extends No-Action Relief for Certain Transaction-Level Requirements...more

CFTC Provides Streamlined No-Action Relief Filing Procedure to Certain Commodity Pool Operators Who Delegate Responsibilities to...

K&L Gates LLP on 6/9/2014

The Division of Swap Dealer and Intermediary Oversight (the “Division”) of the Commodity Futures Trading Commission (“CFTC” or the “Commission”) recently issued CFTC Letter No. 14-69 (May 12, 2014) (the “Letter”), which...more

Commodity Pool › Commodity Pool Operator

CFTC Proposes Relief for Non-US Commodity Pool Operators

CFTC Proposes to Narrow its CPO-PQR to Conform to the NFA Form PQR and Add LEIs

CFTC Proposes to Codify Relief for CPOs and CTAs

CFTC Proposes to Streamline Regulations for Commodity Pool Operators and Commodity Trading Advisors

CFTC Proposes to Codify Existing Staff-Issued Relief from Registration and Other Compliance Requirements for CPOs and CTAs

A Light Lift: CFTC Proposes to Codify Existing No-Action Relief and Other Relief Applicable to CPOs and CTAs

Affirmations of CPO and CTA registration exemptions are due by March 1, 2018

CFTC Permits Unaudited Financial Statements Upon Liquidation of a Series of a Pool That is Also a Registered Investment Company

CFTC Unanimously Approves Final Rule Amendments to Its Regulations Regarding CPO Financial Reports

NFA Proposal Would Require CFTC-Registered Asset Managers to Report on Financial Condition

Financial Services Weekly News Roundup - September 2014

Corporate and Financial Weekly Digest - Volume IX, Issue 36

CFTC Eliminates Barrier to Hedge Funds Using JOBS Act General Solicitation

NFA Issues Notice Regarding Changes to Form PQR and Form PR

Broker, Two Employees Alleged to Violate SEC Market Access Rule

Corporate and Financial Weekly Digest - Volume IX, Issue 23

CFTC Provides Streamlined No-Action Relief Filing Procedure to Certain Commodity Pool Operators Who Delegate Responsibilities to...

CFTC Implements Standard Approach for CPO Delegated Investment Management Authority

Orrick's Financial Industry Week in Review

CFTC Staff Announces Streamlined No-Action Relief Process for Certain CPOs

Legal Alert: CFTC Adopts Streamlined Approach for Delegation of CPO Registration

Corporate and Financial Weekly Digest - Volume IX, Issue 20

"Parallel Fund Structures Under the Volcker Rule"

CFTC Issues Advisory on Compliance with Gramm-Leach-Bliley Act Security Safeguards

"NFA Requests Comments on Capital Requirements and Additional Customer Protection Measures for CPOs and CTAs"

Commodity Pool › Commodity Pool Operator

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