News & Analysis as of September 23, 2024

Swaps

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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... more +

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

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

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

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

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Commodity Pool Operator › Commodity Pool › Swaps

CFTC Proposes to Codify Relief for CPOs and CTAs

Financial Services Weekly News Roundup - September 2014

Corporate and Financial Weekly Digest - Volume IX, Issue 36

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...

Advertising Restrictions Apply to Commodity Pools

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

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

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

"CFTC Delays Registration Deadline for Certain Commodity Pool Operators and Commodity Trading Advisors"

Commodity Pool Operator › Commodity Pool › Swaps

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