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Stinson - Corporate & Securities Law Blog

CFTC Grants Family Offices Relief From Registration as Commodity Trading Advisors

Stinson - Corporate & Securities Law Blog on

The CFTC previously granted family offices no-action relief from registration as commodity pool operators. That letter did not provide an exemption from registration as a commodity trading advisor. However, the CFTC has...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - Volume IX, Issue 6

Katten Muchin Rosenman LLP on

In this issue: - SEC Division of Corporation Finance Issues Guidance on Rule 506(c) Private Placements - SEC Issues No-action Relief Regarding Registration of M&A Brokers - CFTC Issues Guidance on New...more

Katten Muchin Rosenman LLP

NFA Provides Bylaw 1101 Guidance to Commodity Pool Operators of Investment Companies

Katten Muchin Rosenman LLP on

Under amended Commodity Futures Trading Commission Regulation 4.5, registered investment advisers (RIAs) to registered investment companies engaging in more than minimal commodity trading activities will be required to...more

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