Commodity futures trading commission regulation 4.7
26 Dec 2019 [CFTC] regulations, and to generally reduce the regulatory burden without certain CPO compliance obligations under CFTC Regulation 4.7,. 31 Jan 2014 U.S. COMMODITY FUTURES TRADING COMMISSION exemption from the requirement of Commission regulations 4.7(b)(3) and 4.22(d) to 12 Sep 2014 The first exemption, CFTC Regulation 4.7, provides limited relief from disclosure, reporting and recordkeeping requirements that are otherwise 14 Jun 2012 In February 2012, the US Commodity Futures Trading Commission (CFTC) This article explains the CFTC's technical rule changes, describes other Act. As qualified purchasers are 'QEPs' per rule 4.7 under the CEA,
commodity pool operator with the Commodity Futures Trading Commission ( CTC), of a qualified eligible person (QEP) as defined in CFTC Regulation 4.7.
Rule 4.7 ( 17 C.F.R. 4.7) makes available an exemption from certain Part 4 requirements with respect to the operators of commodity pools whose participants are Commodity Futures Trading Commission (“CFTC”) and the National Futures. Association regulated by the CFTC and the NFA [CFTC Regulations § 4.5]. • There are, in discussed below, CFTC Regulation § 4.7 provides an exemption for. 1 Feb 2019 CPO Exemptive Notice Filing Requirements. CPOs relying on relief from registration under the 4.5 Exclusion, CFTC Rule 4.7,25 the 4.13(a)(3). “knowledgeable employee” of the manager, or a qualified eligible person as defined under CFTC. Regulation 4.7. The 4.13(a)(3) exemption is not self- executing Commodity Futures Trading Commission. ACTION: Final rule. SUMMARY: The Under the CFTC's Rule 4.7, a CPO may be exempt from certain disclosure and reporting requirements if
Rule 4.7 (17 C.F.R. 4.7) makes available an exemption from certain Part 4 requirements with respect to the operators of commodity pools whose participants are limited to "qualified eligible persons" and with respect to commodity trading advisors who advise "qualified eligible persons," as defined in the Rule. Briefly stated, "QEPs" include such
part 148 - implementation of the equal access to justice act in covered adjudicatory proceedings before the commission (§§ 148.1 - 148.30) part 149 - enforcement of nondiscrimination on the basis of handicap in programs or activities conducted by the commodity futures trading commission (§§ 149.101 - 149.170) the commodity futures trading commission does not pass upon the merits of participating in a trading program or upon the adequacy or accuracy of commodity trading advisor disclosure. consequently, the commodity futures trading commission has not reviewed or approved this trading program or of any of the information presented on this web site. The SEC administers and enforces the federal laws that govern the sale and trading of securities, such as stocks, bonds, and mutual funds, but we do not regulate futures trading. We refer questions and complaints about futures to the Commodity Futures Trading Commission (CFTC)—the federal agency that does regulate futures trading. Commodity Futures Trading Commission - CFTC: An independent U.S. federal agency established by the Commodity Futures Trading Commission Act of 1974. The Commodity Futures Trading Commission
part 148 - implementation of the equal access to justice act in covered adjudicatory proceedings before the commission (§§ 148.1 - 148.30) part 149 - enforcement of nondiscrimination on the basis of handicap in programs or activities conducted by the commodity futures trading commission (§§ 149.101 - 149.170)
Law & Regulation. Commodity Exchange Act & Regulations; How Rules Are Made; Law & Regulation. Commodity Exchange Act & Regulations The laws authorizing CFTC’s activities and the regulations issued by CFTC to carry out those activities, as well as related rulemaking, enforcement, and adjudicatory references. Written guidance from CFTC the commodity futures trading commission does not pass upon the merits of participating in a trading program or upon the adequacy or accuracy of commodity trading advisor disclosure. consequently, the commodity futures trading commission has not reviewed or approved this trading program or this brochure or account document.”
Rule 4.7 (17 C.F.R. 4.7) makes available an exemption from certain Part 4 requirements with respect to the operators of commodity pools whose participants are limited to "qualified eligible persons" and with respect to commodity trading advisors who advise "qualified eligible persons," as defined in the Rule. Briefly stated, "QEPs" include such
10 Dec 2019 Commission's regulations are found at 17 CFR Ch. I (2019). 3 7 U.S.C. Regulation 4.7 and operates Pools pursuant to CFTC. Regulation
the commodity futures trading commission does not pass upon the merits of participating in a trading program or upon the adequacy or accuracy of commodity trading advisor disclosure. consequently, the commodity futures trading commission has not reviewed or approved this trading program or this brochure or account document.” cftc regulation 4.7 for registered ctas and cpos. leave a reply “lite-touch” regulatory approach for certain cftc registrants. the commodity futures trading commission does not pass upon the merits of participating in a trading program or upon the adequacy or accuracy of commodity trading advisor disclosure. consequently, the commodity Exemptions Available to CTAs. A commodity trading advisor (CTA) may request relief from certain Commodity Futures Trading Commission (CFTC) regulations. Below are regulations that may offer such relief: CFTC Regulation 4.7: Exemption from certain part 4 requirements for commodity trading advisors with respect to advising qualified eligible persons. The laws authorizing CFTC’s activities and the regulations issued by CFTC to carry out those activities, as well as related rulemaking, enforcement, and adjudicatory references. Public Comments Comments submitted to the Commission are available online for public review. Advisory providing further guidance on certain requirements applicable to swap dealers, futures commission merchants, and major swap participants in connection with the preparation and submission of chief compliance officer annual compliance reports pursuant to § 3.3. 19-23: Letter Type: No-Action Division: DCR Regulation Parts: 2(h), 50.2, 50.4