News & Analysis as of September 19, 2024

Dodd-Frank Wall Street Reform and Consumer Protection Act

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A Commodity Pool is an investment structure or enterprise where funds from a number of participants are combined into a single entity for the purpose of trading futures contracts, options on contracts, retail... more +

Customer Segregation: Keep It Separate

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

Orrick's Financial Industry Week In Review - November 12, 2013

Orrick, Herrington & Sutcliffe LLP on 11/12/2013

CFTC Proposed Rule on Commodity Pools - On November 5, the CFTC issued a proposed rule that would require that all registered introducing brokers (IBs), commodity pool operators (CPOs) and commodity trading advisors...more

Legal Alert: The CPO and CTA Regulatory Regimes: What Operators of and Advisers to Commodity Pools Should Expect in 2013

Eversheds Sutherland (US) LLP on 1/18/2013

There were a number of significant changes to the regulatory regime for commodity pool operators (CPOs) and commodity trading advisors (CTAs) in 2012. As a result of these changes, various types of collective investment...more

NFA Issues Guidance on Reaffirmation of CPO/CTA Exemptions

K&L Gates LLP on 12/13/2012

Introduction - Earlier this year, the Commodity Futures Trading Commission (“CFTC”) promulgated amendments to its regulations governing commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) that now...more

The CFTC’s Interpretive Letters Regarding Securitizations, REITs and the Definition of “Commodity Pool”

Morrison & Foerster LLP on 11/1/2012

In two interpretive letters issued on October 11, 2012 (collectively, the “Interpretive Letters”), the Division of Swap Dealers and Intermediary Oversight (the “Division”) of the Commodity Futures Trading Commission (the...more

"CFTC Issues Interpretive Guidance for Securitizations and Defers Registration Deadline for Certain Persons"

Skadden, Arps, Slate, Meagher & Flom LLP on 10/19/2012

Securitization entities and most issuers of similar structured products (collectively, structured finance entities) historically have not been regulated as commodity pools by the Commodity Futures Trading Commission (CFTC)1...more

CFTC Sheds Light on Definition of Commodity Pool

Stinson - Corporate & Securities Law Blog on 10/15/2012

Perhaps one of the most important questions since the Dodd-Frank Act is “What is a commodity pool”? Close behind is “Who is a commodity pool operator”? The CFTC has begun to shed light on these questions by issuance of...more

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