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Commodity Pool Operator › CEA

Commodity Pool Operators are individuals who manage and secure capital for commodity pools. Most commodity pool operators are required to register as CPOs, unless they qualify for a registration exemption... more +

Commodity Pool Operators are individuals who manage and secure capital for commodity pools. Most commodity pool operators are required to register as CPOs, unless they qualify for a registration exemption under the Commodity Futures Trading Commission regulations.

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News & Analysis as of May 22, 2013

Cole-Frieman & Mallon partner/co-founder Bart Mallon Discusses CFTC Regulation 4.5, the Volcker Rule & Other Compliance Issues

Pepper Hamilton LLP

U.S. District Court Rebuffs ICI Challenge To CFTC Rule 4.5 Amendments

by John P. Falco, John M. Ford, Matthew R. Silver, Lisa D. Zeises | Pepper Hamilton LLP on 12/14/2012

On December 12, 2012, the U.S. District Court for the District of Columbia released its decision in Investment Company Institute v. U.S. Commodity Futures Trading Commission, rebuffing the Investment Company Institute (ICI)’s...more

Ropes & Gray LLP

Treasury Department Issues Final Determination Exempting Foreign Exchange Swaps and Certain Foreign Exchange Forwards from the...

by Ropes & Gray LLP on 11/26/2012

On November 16, 2012, the United States Department of the Treasury (the “Treasury Department”) issued a final determination (the “Final Determination”) regarding the treatment of foreign exchange swaps and certain foreign...more

Morrison & Foerster LLP

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

by 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

Sutherland Asbill & Brennan LLP

CFTC Affords Relief and Guidance in Light of Final Swap Definition’s Effective Date

by Sutherland Asbill & Brennan LLP on 10/22/2012

On October 12, 2012, the Commodity Futures Trading Commission’s (CFTC) and Securities and Exchange Commission’s (SEC) final rules to further define the term “swap” (among other terms) became effective. The effective date of...more

Katten Muchin Rosenman LLP

CFTC Approves Conforming Amendments for CPO and CTA Regulations

by Katten Muchin Rosenman LLP on 9/12/2012

On September 5, the Commodity Futures Trading Commission published final conforming amendments to Part 4 of its regulations, which govern the operations and activities of CPOs and CTAs. These amendments reflect changes made...more

Orrick - Structured Finance Group

New CFTC Regulatory Regime for Private Fund Managers

by Orrick - Structured Finance Group on 8/30/2012

On April 24, the U.S. CFTC repealed the exemption from registration under the U.S. Commodity Exchange Act for private investment funds provided by CFTC Rule 4.13(a)(4). This Client Alert, written by Ed Eisert and Evelyn...more

Orrick, Herrington & Sutcliffe LLP

New CFTC Regulatory Regime for Private Fund Managers

by Orrick, Herrington & Sutcliffe LLP on 8/27/2012

On April 24, 2012, the U.S. Commodities Futures Trading Commission ("CFTC") repealed the exemption from registration under the U.S. Commodity Exchange Act ("CEA") for private investment funds provided by CFTC Rule 4.13(a)(4)....more

Ropes & Gray LLP

CFTC Staff Responds to Frequently Asked Questions on CTA and CPO Registration and Compliance

by Ropes & Gray LLP on 8/16/2012

On August 14, 2012, the Commodity Futures Trading Commission (“CFTC”) Staff released guidance entitled “Division of Swap Dealer and Intermediary Oversight Responds to Frequently Asked Questions – CPO/CTA: Amendments to...more

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